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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SEC-registered adviser
E•••••••• F•••••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 29 filings
SEC status approved since Oct 9, 2009
RAUM
$19B
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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$19B as of Mar 30, 2026
Mar 30, 2012$2.0B 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 funds: 2
RAUM +19% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $19BderivedRAUM 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
- +19%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 pooled vehiclesreportedItem 5.G
- Custody
- $19B, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$19B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $19B for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E• S••••••••• L••no longer reported | Other Private Fund | $2.0B | 1 | Sep 30, 2014 |
| E• C•• L••no longer reported | Other Private Fund | $738M | 1 | Sep 30, 2014 |
Owners and control persons
Schedule A and B, latest filing
- H••••••• J•••• R••••• · Chief Financial Officercontrolsince 04/2018 · owns less than 5%
- M••••••• P••••••• B•••• · Chief Compliance Officer & Associate General Counselcontrolsince 01/2024 · owns less than 5%
- M•••••••• D•••••• R••••• · General Counselcontrolsince 08/2013 · owns less than 5%
- P•••• L•••••••• E••• · Executive Vice Presidentcontrolsince 08/2007 · owns less than 5%
- T•••••••• M•••• I•• · Chief Investment Officercontrolsince 03/2008 · owns less than 5%
- V•••••• M••••••• W•••••• · Chief Executive Officer And Presidentcontrolsince 08/2007 · 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•• H•••••••• L••• · Memberdirect · owns 75% or more
- V• I••••••••• L••••• · Managerdirect · owns less than 5%
- 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•••••••• G••••• A•••• M••••••••• L••investment adviserbanknRAUM $9.2B
- E•••••••• M• C••••• G• L••bankpooled vehicle sponsorn
- E•••••••• M••••••••• G•••• ••• L••investment advisern
- E•••••••• M••••••••• G••••• L•••••investment adviserbankpooled vehicle sponsornRAUM $21B
- E•••••••• Credit Company Management LLCinvestment adviserbanknRAUM $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••pooled vehicle sponsorn
- N•• M• L••bankpooled vehicle sponsorn
Advisers that list E•••••••• F•••••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $16B to $19BMar 31, 2025 to Mar 30, 2026
- Employees · 160 to 164Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $16B to $19BMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $16B to $19BMar 31, 2025 to Mar 30, 2026
- RAUM · $16B to $19BMar 31, 2025 to Mar 30, 2026
- Advisory employees · 69 to 68Mar 27, 2024 to Mar 31, 2025
- Assets in custody · $15B to $16BMar 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 · $15B to $16BMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $15B to $16BMar 27, 2024 to Mar 31, 2025
- RAUM · $15B to $16BMar 27, 2024 to Mar 31, 2025
- Advisory employees · 71 to 69Jan 11, 2024 to Mar 27, 2024
- BD registered reps · 5 to 8Jan 11, 2024 to Mar 27, 2024
- Assets in custody · $14B to $15BJan 11, 2024 to Mar 27, 2024
- Discretionary RAUM · $14B to $15BJan 11, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · $14B to $15BJan 11, 2024 to Mar 27, 2024
- RAUM · $14B to $15BJan 11, 2024 to Mar 27, 2024
- Advisory employees · 84 to 71Mar 29, 2022 to Mar 30, 2023
- BD registered reps · 0 to 5Mar 29, 2022 to Mar 30, 2023
- Assets in custody · $5.2B to $14BMar 29, 2022 to Mar 30, 2023
- Employees · 173 to 162Mar 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $5.2B to $14BMar 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $5.2B to $14BMar 29, 2022 to Mar 30, 2023
- RAUM · $5.2B to $14BMar 29, 2022 to Mar 30, 2023
- Related broker-dealer · false to trueMar 29, 2022 to Mar 30, 2023
- Advisory employees · 70 to 84Oct 21, 2021 to Mar 29, 2022
- Assets in custody · $3.4B to $5.2BOct 21, 2021 to Mar 29, 2022
- Employees · 142 to 173Oct 21, 2021 to Mar 29, 2022
- Discretionary RAUM · $3.4B to $5.2BOct 21, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $3.4B to $5.2BOct 21, 2021 to Mar 29, 2022
- RAUM · $3.4B to $5.2BOct 21, 2021 to Mar 29, 2022
- Advisory employees · 61 to 70Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $0 to $3.4BMar 30, 2020 to Mar 31, 2021
- Employees · 141 to 142Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $4.3B to $3.4BMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $4.3B to $3.4BMar 30, 2020 to Mar 31, 2021
- RAUM · $4.3B to $3.4BMar 30, 2020 to Mar 31, 2021
- Advisory employees · 56 to 61Mar 30, 2019 to Mar 30, 2020
- Employees · 142 to 141Mar 30, 2019 to Mar 30, 2020
Signals
10 dated events
- Joseph Daniel Caffarelli (Chief Compliance Officer) no longer on Schedule A of E•••••••• F•••••••• M••••••••• L•• (listed 2023-11-15, absent 2024-01-11)Jan 11, 2024 · Control person left · inference
- Brady Patrick Maloney (Chief Compliance Officer & Associate General Counsel) appeared on Schedule A of E•••••••• F•••••••• M••••••••• L••Jan 11, 2024 · Control person joined · fact
- E•••••••• F•••••••• M••••••••• L•• reported RAUM $14.1B, up 172% from $5.2B (2022-03-29 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- E•••••••• F•••••••• M••••••••• L•• reported RAUM $5.2B, up 52% from $3.4B (2021-10-21 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Joseph Daniel Caffarelli (Chief Compliance Officer) appeared on Schedule A of E•••••••• F•••••••• M••••••••• L••Mar 29, 2022 · Control person joined · fact
- S Peter Lin (Chief Compliance Officer) no longer on Schedule A of E•••••••• F•••••••• M••••••••• L•• (listed 2021-05-26, absent 2021-10-21)Oct 21, 2021 · Control person left · inference
- Reuven Daniel Margolis (Chief Compliance Officer And General Counsel) appeared on Schedule A of E•••••••• F•••••••• M••••••••• L••Oct 21, 2021 · Control person joined · fact
- Charles David Rice (Chief Compliance Officer) no longer on Schedule A of E•••••••• F•••••••• M••••••••• L•• (listed 2021-03-31, absent 2021-05-26)May 26, 2021 · Control person left · inference
- S Peter Lin (Chief Compliance Officer) appeared on Schedule A of E•••••••• F•••••••• M••••••••• L••May 26, 2021 · Control person joined · fact
- E•••••••• F•••••••• M••••••••• L•• reported RAUM $4.0B, up 33% from $3.0B (2018-04-06 to 2019-03-30)Mar 30, 2019 · 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
- E••••••••.COMreportedpublic 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
- 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