DFX Intelligence
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SEC-registered adviser
E•• M••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Mar 16, 2012 · 24 filings
SEC status approved since Aug 12, 2009
RAUM
$1.4B
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
4
2 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
1
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$1.4B as of Mar 19, 2026
Mar 16, 2012$107M then
HNW client RAUM$39.1M as of Mar 2, 2023
Mar 30, 2018$11.8M then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 25, 20132 then
Employees (5.A)4 as of Mar 19, 2026
Mar 25, 20133 then
Private funds1 as of Mar 19, 2026
Mar 16, 20123 then
RAUM +27% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2026; 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
- $279MderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%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 companies, selection of other advisersreportedItem 5.G
- Custody
- $254,933, 1 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.3B96%
- Other investment advisers$48.4M3.6%
- Pooled investment vehicles$254,9330.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $254,933 for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.96 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•• F••• I• L•no longer reported | Hedge Fund | $27.3M | 13 | Mar 16, 2012 |
| T•• A•• F•••• L•no longer reported | Hedge Fund | $900,000 | 3 | Mar 16, 2012 |
| N••••• O••••••••• F•••• L• | Hedge Fund | $159,979 | 14 | Mar 16, 2012 |
| L••• T••• I•••••• C••••• F•••• L••no longer reported | Hedge Fund | $0 | 13 | Oct 30, 2018 |
Owners and control persons
Schedule A and B, latest filing
- M••••• E•••• S••••• · President And Co-Chief Investment Officercontrolsince 01/2009 · owns 25% to 50%
- V•• D• W••••• W••••••• R•••••• · Managing Director/Co-Chief Investment Officercontrolsince 12/2009 · owns 25% to 50%
- Z••••• C••••••••• J••• · Chief Compliance Officercontrolsince 10/2017 · owns 10% to 25%
- J••••••• D••••• W•••••• · Principalsince 07/2020 · owns 10% to 25%
Related persons
Schedule D 7.A
- N••••••• L•• L••n
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 6 to 5Mar 25, 2025 to Mar 19, 2026
- Assets in custody · $363,438 to $254,933Mar 25, 2025 to Mar 19, 2026
- Discretionary RAUM · $1.1B to $1.4BMar 25, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $363,438 to $254,933Mar 25, 2025 to Mar 19, 2026
- RAUM · $1.1B to $1.4BMar 25, 2025 to Mar 19, 2026
- Accounts · 5 to 6Dec 5, 2024 to Mar 25, 2025
- Assets in custody · $159,979 to $363,438Dec 5, 2024 to Mar 25, 2025
- Financial planning clients · unset to Dec 5, 2024 to Mar 25, 2025
- HQ city · unset to Dec 5, 2024 to Mar 25, 2025
- HQ state · unset to Dec 5, 2024 to Mar 25, 2025
- Discretionary RAUM · $836M to $1.1BDec 5, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $159,979 to $363,438Dec 5, 2024 to Mar 25, 2025
- RAUM · $836M to $1.1BDec 5, 2024 to Mar 25, 2025
- Accounts · 6 to 5Mar 2, 2023 to Mar 29, 2024
- HNW clients · 1.0 to unsetMar 2, 2023 to Mar 29, 2024
- Pooled vehicle clients · unset to 1.0Mar 2, 2023 to Mar 29, 2024
- Assets in custody · unset to 159979.0Mar 2, 2023 to Mar 29, 2024
- Custody of client assets · false to trueMar 2, 2023 to Mar 29, 2024
- Discretionary RAUM · $826M to $836MMar 2, 2023 to Mar 29, 2024
- HNW RAUM · 39064144.0 to unsetMar 2, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · unset to 159979.0Mar 2, 2023 to Mar 29, 2024
- RAUM · $826M to $836MMar 2, 2023 to Mar 29, 2024
- Accounts · 4 to 6Mar 4, 2022 to Mar 2, 2023
- Pension plan clients · 2.0 to unsetMar 4, 2022 to Mar 2, 2023
- Discretionary RAUM · $772M to $826MMar 4, 2022 to Mar 2, 2023
- HNW RAUM · $10.9M to $39.1MMar 4, 2022 to Mar 2, 2023
- Pension RAUM · 0.0 to unsetMar 4, 2022 to Mar 2, 2023
- RAUM · $772M to $826MMar 4, 2022 to Mar 2, 2023
- Accounts · 7 to 4Mar 23, 2021 to Mar 4, 2022
- HNW clients · unset to 1.0Mar 23, 2021 to Mar 4, 2022
- Pension plan clients · unset to 2.0Mar 23, 2021 to Mar 4, 2022
- Pooled vehicle clients · 1.0 to unsetMar 23, 2021 to Mar 4, 2022
- Assets in custody · 336000.0 to unsetMar 23, 2021 to Mar 4, 2022
- Custody of client assets · true to falseMar 23, 2021 to Mar 4, 2022
- State-registered IARs · 2 to 0Mar 23, 2021 to Mar 4, 2022
- Private funds · 2 to 1Mar 23, 2021 to Mar 4, 2022
- Discretionary RAUM · $464M to $772MMar 23, 2021 to Mar 4, 2022
- HNW RAUM · $1.7M to $10.9MMar 23, 2021 to Mar 4, 2022
- Pension RAUM · $24.4M to $0Mar 23, 2021 to Mar 4, 2022
- Pooled vehicle RAUM · 336000.0 to unsetMar 23, 2021 to Mar 4, 2022
Signals
5 dated events
- ••• LockedMar 19, 2026 · RAUM change · derived
- ••• LockedMar 25, 2025 · RAUM change · derived
- ••• LockedMar 4, 2022 · RAUM change · derived
- ••• LockedMar 23, 2021 · RAUM change · derived
- ••• LockedOct 30, 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
- Website
- w••.e•••••••••.comreportedpublic record, Form ADV, Mar 19, 2026
- Principal office phone
- 646-927-6089reportedpublic record, Form ADV, Mar 19, 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
- Asset manager (funds and pooled vehicles)deriveda 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