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••• R••• C•••••• M•••••••••

Former SEC-registered adviserLondon, CRD 138783SEC 801-66817IAPD
Legal name E••• R••• C•••••• M••••••••• L••
Latest filing Nov 1, 2012
First filing on the tape Mar 30, 2012 · 2 filings
RAUM
$280M
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
12
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
10
$280M gross assets
History
2 filings and snapshots on the tape
RAUM$280M as of Nov 1, 2012
Mar 30, 2012$150M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Nov 1, 2012
Mar 30, 20120 then
Employees (5.A): 12
Private funds10 as of Nov 1, 2012
Mar 30, 20129 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 1, 2012; 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
$25.4MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
11reported
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
      11 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•• H••••••• L••Other Private Fund$127M3Nov 1, 2012
      E••• R••• U••••••••• F•••••• M••••• L••••••Other Private Fund$64.3M1Mar 30, 2012
      E••• R••• A•••• B•••• L•••••• M••••• L••••••Other Private Fund$42.5M38Mar 30, 2012
      E••• R••• F•••••• F••• L•Other Private Fund$37.4M94Mar 30, 2012
      E••• R••• D••••• L•••••• M••••• L••••••Other Private Fund$15.9M3Mar 30, 2012
      S•• A•••• B••••• F•••••• F•••Other Private Fund$12.6M25Nov 1, 2012
      E••• R••• F•••••• M••••• L••••••Other Private Fund$6.2M208Mar 30, 2012
      S•••• R••• S•••••• S••••••••• 2• L••••••Other Private Fund$4.6M12Mar 30, 2012
      S•••• R••• S•••••• S••••••••• L••••••Other Private Fund$2.8M2Mar 30, 2012
      C•••••• I••••••••• L••••••Other Private Fund$1.8M13Mar 30, 2012
      S•••• R••• L••••••••• I••••••••• L••••••Other Private Fund$1.4M26Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• E•••••• M••••• · Partnercontrol
        since 11/2004 · owns 10% to 25%
      • M•••••••• J••••• S•••••• · Partnercontrol
        since 02/2004 · owns 50% to 75%
      • S•••••••• M••••••• K•••••• · Partnercontrol
        since 04/2006 · owns 10% to 25%
      • C•••••• N•••••• J•••• · Partner
        since 01/2006 · owns less than 5%
      • D• M•••• J•••••• J••••• · Partner
        since 01/2012 · owns less than 5%
      • G••••••• D•••• · Partner
        since 01/2010 · owns less than 5%
      • H••••••• D••••• J••• · Partner
        since 01/2009 · owns less than 5%
      • L••••••••• D••••• M••••••• · Chief Compliance Officer
        since 01/2008 · owns less than 5%
      • M••••••• F••••• N••••• R••••••• · Partner
        since 01/2008 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list E••• R••• C•••••• M••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 7.0
        Mar 30, 2012 to Nov 1, 2012
      • Employees · unset to 12.0
        Mar 30, 2012 to Nov 1, 2012
      • Private funds · 9 to 10
        Mar 30, 2012 to Nov 1, 2012
      • Discretionary RAUM · $150M to $280M
        Mar 30, 2012 to Nov 1, 2012
      • RAUM · $150M to $280M
        Mar 30, 2012 to Nov 1, 2012
      • Related adviser · false to true
        Mar 30, 2012 to Nov 1, 2012
      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