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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
E•••••••• G••••• A•••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 37 filings
SEC status approved since Oct 5, 2006
RAUM
$9.2B
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
164
68 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$9.2B as of Mar 30, 2026
Mar 30, 2012$176M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)164 as of Mar 30, 2026
Mar 28, 2013123 then
Private funds4 as of Mar 30, 2026
Mar 31, 20172 then
RAUM +48% over the last fiscal year+39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $209MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 77%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
- +48%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, portfolio management for investment companiesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$7.0B79%
- Pooled investment vehicles$1.8B20%
- Investment companies$43.6M0.5%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 44reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.2 institutional_share=0.77 related_bd=true related_bank=true bd_reps=8.0derived
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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••••••• G••• M••••••• M••••• F••• L•••no longer reported | Hedge Fund | $1.9B | 2 | Jul 16, 2018 |
| C• E•••••••• S••••••••• C••••• F••• L••• | Hedge Fund | $375M | 1 | Feb 25, 2021 |
| N• P••• E•••••••• E••••••• I••••• F••• A• L•• | Hedge Fund | $350M | 2 | Mar 1, 2017 |
| E•••••••• E••••••• I••••• M••••• F••• L••• | Hedge Fund | $263M | 45 | Nov 29, 2016 |
| E•••••••• S••••••••• C••••• E•••• F•••• L••• | Hedge Fund | $130M | 5 | May 16, 2023 |
Owners and control persons
Schedule A and B, latest filing
- G••••••••• J•••• D••• · Managing Directorcontrolsince 01/2006 · owns less than 5%
- M••••••• P••••••• B•••• · Chief Compliance Officer & Associate General Counselcontrolsince 01/2024 · owns less than 5%
- M•••••••• D•••••• R••••• · General Counselcontrolsince 10/2021 · owns less than 5%
- P•••• L•••••••• E••• · Vice Chairmancontrolsince 01/2006 · owns less than 5%
- T•••••••• M•••• I•• · Vice Chairmancontrolsince 01/2006 · owns less than 5%
- V•••••• A••••• · Managing Directorcontrolsince 03/2021 · owns less than 5%
- V•••••• M••••••• W•••••• · Chief Executive Officercontrolsince 01/2006 · owns less than 5%
- V•••••• M••••••• W•••••• · Managing Membercontrolsince 08/1995 · owns 75% or more of V• I••••••••• L••
- V•••••• M••••••• W•••••• · Limited Partnercontrolsince 04/2007 · owns 25% to 50% of E•• H•••••••• L•••
Entity owners
- E•••••••• M••••••••• G••••• L••••• · Managing Memberdirect · owns 75% or more
- E•• H•••••••• L••• · Memberindirect · owns 75% or more of E•••••••• M••••••••• G••••• L•••••
- V• I••••••••• L•• · Managing Memberindirect · owns F of E•••••••• Management Group, LLC
- V• I••••••••• L•• · General Partnerindirect · owns F of E•• H•••••••• L•••
Related persons
Schedule D 7.A
- A•••••••• S••••••••• L••broker-dealern
- C•• G• L••bankpooled vehicle sponsorn
- D••• F•••••• M••••••••• L•••••investment advisernRAUM $127M
- E•• M•• G• I• L••bankpooled vehicle sponsorn
- E•• M•• G• I• L••bankpooled vehicle sponsorn
- E••• G• L••bankpooled vehicle sponsorn
- E••• G• L••bankpooled vehicle sponsorn
- E•• M• L••bankpooled vehicle sponsorn
- E•••••••• C•• M••••••••• L••investment advisern
- E•••••••• F•••••••• M••••••••• L••investment advisernRAUM $19B
- E•••••••• M• C••••• G• L••bankpooled vehicle sponsorn
- E•••••••• M••••••••• G•••• ••• L••investment advisern
- E•••••••• M••••••••• G••••• L•••••investment adviserbankpooled vehicle sponsoryRAUM $21B
- E•••••••• Credit Company Management LLCinvestment advisernRAUM $415M
- E••••• M• L••bankpooled vehicle sponsorn
- E•• G• I• L••bankpooled vehicle sponsorn
- E•• G• L••bankpooled vehicle sponsorn
- E•• G• L••bankpooled vehicle sponsorn
- E•• G• L••bankpooled vehicle sponsorn
- E•• I• G• L••bankpooled vehicle sponsorn
- E•• I•• G• L••bankpooled vehicle sponsorn
- E•• M• L••bankpooled vehicle sponsorn
- E••• G• L••bankpooled vehicle sponsorn
- E••• M• L••bankpooled vehicle sponsorn
- H•• I•••••••• I• L••bankpooled vehicle sponsorn
- N•• M• L••bankpooled vehicle sponsorn
Advisers that list E•••••••• G••••• A•••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY48 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $6,220,513,558 to $9,180,217,764 (+48.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +11.0% (66 comparable advisers, 94.0th percentile of changes)peers: institutional managers, $5B to $20B (66) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 27 to 44Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $766M to $0Mar 31, 2025 to Mar 30, 2026
- Employees · 160 to 164Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $6.2B to $9.2BMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.5B to $1.8BMar 31, 2025 to Mar 30, 2026
- RAUM · $6.2B to $9.2BMar 31, 2025 to Mar 30, 2026
- Accounts · 21 to 27Mar 27, 2024 to Mar 31, 2025
- Advisory employees · 69 to 68Mar 27, 2024 to Mar 31, 2025
- Pooled vehicle clients · 8 to 7Mar 27, 2024 to Mar 31, 2025
- Assets in custody · $768M to $766MMar 27, 2024 to Mar 31, 2025
- Employees · 162 to 160Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $3.3B to $6.2BMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.4B to $1.5BMar 27, 2024 to Mar 31, 2025
- RAUM · $3.3B to $6.2BMar 27, 2024 to Mar 31, 2025
- Accounts · 14 to 21Jan 11, 2024 to Mar 27, 2024
- Advisory employees · 71 to 69Jan 11, 2024 to Mar 27, 2024
- BD registered reps · 5 to 8Jan 11, 2024 to Mar 27, 2024
- Pooled vehicle clients · 6 to 8Jan 11, 2024 to Mar 27, 2024
- Assets in custody · $560M to $768MJan 11, 2024 to Mar 27, 2024
- Other offices · 2 to 1Jan 11, 2024 to Mar 27, 2024
- Discretionary RAUM · $3.4B to $3.3BJan 11, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · $1.1B to $1.4BJan 11, 2024 to Mar 27, 2024
- RAUM · $3.4B to $3.3BJan 11, 2024 to Mar 27, 2024
- Private funds · 3 to 4Mar 30, 2023 to May 16, 2023
- Accounts · 13 to 14Mar 30, 2022 to Mar 30, 2023
- Advisory employees · 84 to 71Mar 30, 2022 to Mar 30, 2023
- BD registered reps · 0 to 5Mar 30, 2022 to Mar 30, 2023
- Assets in custody · $662M to $560MMar 30, 2022 to Mar 30, 2023
- Employees · 173 to 162Mar 30, 2022 to Mar 30, 2023
- Other offices · 1 to 2Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $6.1B to $3.4BMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.7B to $1.1BMar 30, 2022 to Mar 30, 2023
- RAUM · $6.1B to $3.4BMar 30, 2022 to Mar 30, 2023
- Related broker-dealer · false to trueMar 30, 2022 to Mar 30, 2023
- Advisory employees · 70 to 84Feb 24, 2022 to Mar 30, 2022
- Pooled vehicle clients · 7 to 6Feb 24, 2022 to Mar 30, 2022
- Assets in custody · $617M to $662MFeb 24, 2022 to Mar 30, 2022
- Employees · 142 to 173Feb 24, 2022 to Mar 30, 2022
- Discretionary RAUM · $5.8B to $6.1BFeb 24, 2022 to Mar 30, 2022
Signals
20 dated events
- E•••••••• G••••• A•••• M••••••••• L•• reported RAUM $9.2B, up 48% from $6.2B (2025-03-31 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- E•••••••• G••••• A•••• M••••••••• L•• reported RAUM $6.2B, up 91% from $3.3B (2024-03-27 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Brady Patrick Maloney (Chief Compliance Officer & Associate General Counsel) appeared on Schedule A of E•••••••• G••••• A•••• M••••••••• L••Jan 11, 2024 · Control person joined · fact
- Joseph Daniel Caffarelli (Chief Compliance Officer) no longer on Schedule A of E•••••••• G••••• A•••• M••••••••• L•• (listed 2023-11-15, absent 2024-01-11)Jan 11, 2024 · Control person left · inference
- Henry R••••• K•••••••• (Vice Chairman) no longer on Schedule A of E•••••••• G••••• A•••• M••••••••• L•• (listed 2023-05-16, absent 2023-07-20)Jul 20, 2023 · Control person left · inference
- E•••••••• G••••• A•••• M••••••••• L•• reported RAUM $3.4B, down 44% from $6.1B (2022-03-30 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Nathan Bruce Caplain (Chief Administrative Officer) no longer on Schedule A of E•••••••• G••••• A•••• M••••••••• L•• (listed 2022-03-30, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Joseph Daniel Caffarelli (Chief Compliance Officer) appeared on Schedule A of E•••••••• G••••• A•••• M••••••••• L••Feb 24, 2022 · Control person joined · fact
- Steven Olivier Cojot-Goldberg (Vice Chairman) no longer on Schedule A of E•••••••• G••••• A•••• M••••••••• L•• (listed 2021-10-21, absent 2022-02-24)Feb 24, 2022 · Control person left · inference
- Anthony Paul Asaro (Chief Financial Officer And Managing Director) no longer on Schedule A of E•••••••• G••••• A•••• M••••••••• L•• (listed 2021-10-21, absent 2022-02-24)Feb 24, 2022 · Control person left · inference
- S Peter Lin (Chief Compliance Officer) no longer on Schedule A of E•••••••• G••••• A•••• M••••••••• L•• (listed 2021-05-26, absent 2021-10-21)Oct 21, 2021 · Control person left · inference
- Charles David Rice (Chief Compliance Officer) no longer on Schedule A of E•••••••• G••••• A•••• M••••••••• L•• (listed 2021-05-04, absent 2021-05-26)May 26, 2021 · Control person left · inference
- S Peter Lin (Chief Compliance Officer) appeared on Schedule A of E•••••••• G••••• A•••• M••••••••• L••May 26, 2021 · Control person joined · fact
- E•••••••• G••••• A•••• M••••••••• L•• reported RAUM $5.8B, up 32% from $4.4B (2021-02-25 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Andrew Vranos (Managing Director) appeared on Schedule A of E•••••••• G••••• A•••• M••••••••• L••Mar 31, 2021 · Control person joined · fact
- E•••••••• G••••• A•••• M••••••••• L•• reported RAUM $4.4B, up 27% from $3.5B (2019-06-05 to 2020-04-01)Apr 1, 2020 · RAUM change · derived
- Gregg Richard Brounstein (Vice Chairman) no longer on Schedule A of E•••••••• G••••• A•••• M••••••••• L•• (listed 2019-03-30, absent 2019-06-05)Jun 5, 2019 · Control person left · inference
- R••••• K•••••••• (Managing Director) appeared on Schedule A of E•••••••• G••••• A•••• M••••••••• L••Jun 5, 2019 · Control person joined · fact
- E•••••••• G••••• A•••• M••••••••• L•• reported RAUM $3.5B, up 166% from $1.3B (2018-07-16 to 2019-03-30)Mar 30, 2019 · RAUM change · derived
- E•••••••• G••••• A•••• M••••••••• L•• reported RAUM $1.3B, up 114% from $607.8M (2017-08-30 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/ellington-management-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-698-1200reportedpublic record, Form ADV, Mar 30, 2026
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
- Institutional managerderiveda 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