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•• W•••••
Legal name E•••••••• M••••••• M••••••••• L••
Latest filing Mar 29, 2019
First filing on the tape Mar 28, 2012 · 13 filings
RAUM
$2.3B
reported, Item 5.F
Discretionary
1.1%
of RAUM
Private clients
99%
$2.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
31
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$2.3B as of Mar 29, 2019
Mar 28, 2012$2.4B then
HNW client RAUM$2.3B as of Mar 29, 2019
Mar 26, 2018$2.6B then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 28, 20130 then
Employees (5.A)31 as of Mar 29, 2019
Mar 28, 201337 then
Private funds: no history
RAUM -11% over the last fiscal year+1.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
- $21.0MderivedHNW RAUM over HNW clients
- Average account
- $17.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 1.1%derivedof RAUM
- Institutional
- 0.7%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
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $234M, 87 clientsreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.3B99%
- Individuals$10.4M0.4%
- Charitable organizations$8.5M0.4%
- Pension and profit-sharing plans$7.6M0.3%
- Individual clients
- 17reported
- HNW clients
- 109reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 132reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $234M for 87 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• D••••• E••••• · Co-Chief E•••••••• Officer And Chief Investment Officercontrolsince 03/2009 · owns less than 5%
- A••••••••• L••••• M••• · Co-Chief E•••••••• Officercontrolsince 03/2009 · owns less than 5%
- E••••• S•••••• A••••• · Chief Compliance Officercontrolsince 03/2018 · owns less than 5%
- O•••••• T•••••• J••••• · Chief Financial Officercontrolsince 11/2008 · owns less than 5%
- A••••• D••••• E••••• · Membercontrolsince 03/2009 · owns F of E•• G••••• L••
- A••••••••• L••••• M••• · Membercontrolsince 03/2009 · owns F of E•• G••••• L••
- O•••••• T•••••• J••••• · Membercontrolsince 03/2009 · owns F of E•• G••••• L••
- A••••• W••••••• E••••• · Membersince 11/2008 · owns F of E•• G••••• L••
Entity owners
- E•• G••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••• A•••••••• L••investment adviserbankpooled vehicle sponsornRAUM $366M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 123 to 132Mar 26, 2018 to Mar 29, 2019
- Business name · E•••••••• M••••••• M••••••••• L•• to E•• W•••••Mar 26, 2018 to Mar 29, 2019
- HNW clients · 111 to 109Mar 26, 2018 to Mar 29, 2019
- Individual clients · 7 to 17Mar 26, 2018 to Mar 29, 2019
- Assets in custody · $167M to $234MMar 26, 2018 to Mar 29, 2019
- Employees · 35 to 31Mar 26, 2018 to Mar 29, 2019
- Financial planning clients · 11-25 to 1-10Mar 26, 2018 to Mar 29, 2019
- Discretionary RAUM · $18.4M to $26.2MMar 26, 2018 to Mar 29, 2019
- HNW RAUM · $2.6B to $2.3BMar 26, 2018 to Mar 29, 2019
- Individual RAUM · $3.7M to $10.4MMar 26, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $2.6B to $2.3BMar 26, 2018 to Mar 29, 2019
- Pension RAUM · $5.8M to $7.6MMar 26, 2018 to Mar 29, 2019
- RAUM · $2.6B to $2.3BMar 26, 2018 to Mar 29, 2019
- Advisory employees · 18 to 17Sep 5, 2017 to Mar 26, 2018
- Advisory activities · 3 to 4Sep 5, 2017 to Mar 26, 2018
- HNW clients · unset to 111.0Sep 5, 2017 to Mar 26, 2018
- Individual clients · unset to 7.0Sep 5, 2017 to Mar 26, 2018
- Assets in custody · $19.7M to $167MSep 5, 2017 to Mar 26, 2018
- Employees · 34 to 35Sep 5, 2017 to Mar 26, 2018
- Financial planning clients · 26-50 to 11-25Sep 5, 2017 to Mar 26, 2018
- Other offices · unset to 0.0Sep 5, 2017 to Mar 26, 2018
- Discretionary RAUM · $8.3M to $18.4MSep 5, 2017 to Mar 26, 2018
- HNW RAUM · unset to 2578952991.0Sep 5, 2017 to Mar 26, 2018
- Individual RAUM · unset to 3736768.0Sep 5, 2017 to Mar 26, 2018
- Non-discretionary RAUM · $2.2B to $2.6BSep 5, 2017 to Mar 26, 2018
- Pension RAUM · unset to 5790908.0Sep 5, 2017 to Mar 26, 2018
- RAUM · $2.3B to $2.6BSep 5, 2017 to Mar 26, 2018
- Accounts · 122 to 123Sep 22, 2016 to Mar 20, 2017
- Advisory employees · 14 to 18Sep 22, 2016 to Mar 20, 2017
- Assets in custody · $34.6M to $19.7MSep 22, 2016 to Mar 20, 2017
- Employees · 35 to 34Sep 22, 2016 to Mar 20, 2017
- Financial planning clients · 51-100 to 26-50Sep 22, 2016 to Mar 20, 2017
- Discretionary RAUM · $20.3M to $8.3MSep 22, 2016 to Mar 20, 2017
- Non-discretionary RAUM · $2.2B to $2.2BSep 22, 2016 to Mar 20, 2017
- RAUM · $2.2B to $2.3BSep 22, 2016 to Mar 20, 2017
- Accounts · 130 to 122Jan 20, 2016 to Mar 24, 2016
- Advisory employees · 18 to 14Jan 20, 2016 to Mar 24, 2016
- Assets in custody · $27.3M to $34.6MJan 20, 2016 to Mar 24, 2016
- Discretionary RAUM · $23.4M to $20.3MJan 20, 2016 to Mar 24, 2016
- Non-discretionary RAUM · $2.7B to $2.2BJan 20, 2016 to Mar 24, 2016
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- E•••••••• M••••••• M••••••••• L•• · Private Equityshared crd · intermediary
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