DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

E••••••• I••••••••• P••••••• L••••••

Former SEC-registered adviserGrand C•••••, CRD 137452SEC 801-64892IAPD
Legal name E••••••• I••••••••• P••••••• • C•••••• L••••••
Latest filing Nov 6, 2014
First filing on the tape Mar 28, 2012 · 7 filings
RAUM
$278M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
10
$278M gross assets
History
7 filings and snapshots on the tape
RAUM$278M as of Mar 19, 2014
Mar 28, 2012$304M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2014
Mar 27, 20130 then
Employees (5.A)15 as of Mar 19, 2014
Mar 27, 201316 then
Private funds10 as of Mar 19, 2014
Mar 28, 20121 then
RAUM -11% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Nov 6, 2014; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$27.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-11%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, publicationsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
10reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••••••• I•••• F•••• P•• • E••••••• T••••• I•••• F•••Other Private Fund$72.0M7Apr 17, 2013
      E••••••• I•••• F•••• P•• • E••••••• M••••••• I•••• F•••Other Private Fund$47.5M8Apr 17, 2013
      E••••••• I•••• F•••• P•• • E••••••• C•••• I•••• F•••Other Private Fund$36.5M5Apr 17, 2013
      E••••••• I•••• F•••• P•• • E••••••• K•••• I•••• F•••Other Private Fund$27.0M3Apr 17, 2013
      E••••••• I•••• F•••• P•• • E••••••• P••••••••• I•••• F•••Other Private Fund$19.6M3Apr 17, 2013
      E••••••• I•••• F•••• P•• • E••••••• I•••• I•••• F•••Other Private Fund$19.4M4Apr 17, 2013
      E••••••• I•••• F•••• P•• • E••••••• I•••••••• I•••• F•••Other Private Fund$15.5M3Apr 17, 2013
      E••••••• I•••• F•••• P•• • E••••••• T••••••• I•••• F•••Other Private Fund$15.2M2Apr 17, 2013
      E••••••• I•••• F•••• P•• • E•• A•••• F•••Hedge Fund$5.8M5Apr 17, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• T••••• · Directorcontrol
        since 02/2002 · owns 75% or more
      Entity owners
      • C••• V••••••• L•••••• · Shareholder
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • E•• A•••• L••••••
        investment advisery
      Advisers that list E••••••• I••••••••• P••••••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Hong Kong, China
      What changed
      consecutive filings, newest first
      • Employees · 15 to 14
        Mar 19, 2014 to Nov 6, 2014
      • Advisory employees · 5 to 6
        Oct 22, 2013 to Mar 19, 2014
      • Advisory activities · 4 to 3
        Oct 22, 2013 to Mar 19, 2014
      • Employees · 16 to 15
        Oct 22, 2013 to Mar 19, 2014
      • HQ city · GEORGE TOWN, GRAND C••••• to GRAND C•••••
        Oct 22, 2013 to Mar 19, 2014
      • Discretionary RAUM · $340M to $278M
        Oct 22, 2013 to Mar 19, 2014
      • RAUM · $340M to $278M
        Oct 22, 2013 to Mar 19, 2014
      • Private funds · 1 to 10
        Mar 27, 2013 to Apr 17, 2013
      • Discretionary RAUM · $311M to $340M
        Mar 27, 2013 to Apr 17, 2013
      • RAUM · $311M to $340M
        Mar 27, 2013 to Apr 17, 2013
      • Advisory employees · unset to 5.0
        Jun 20, 2012 to Mar 27, 2013
      • Employees · unset to 16.0
        Jun 20, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Jun 20, 2012 to Mar 27, 2013
      • Discretionary RAUM · $304M to $311M
        Jun 20, 2012 to Mar 27, 2013
      • RAUM · $304M to $311M
        Jun 20, 2012 to Mar 27, 2013
      • Related adviser · false to true
        Jun 20, 2012 to Mar 27, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026