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Former SEC-registered adviser

E•••• T•••••• S•••••• I•••

Former SEC-registered adviserPrinceton, New JerseyCRD 150676SEC 801-70309IAPD
Latest filing Mar 4, 2020
First filing on the tape Mar 29, 2012 · 17 filings
RAUM
$136M
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
18
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$136M as of Mar 4, 2020
Mar 29, 2012$481M then
HNW client RAUM$0 as of Mar 4, 2020
Mar 8, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 4, 2020
Mar 29, 20120 then
Employees (5.A)18 as of Mar 4, 2020
Mar 26, 201330 then
Private funds1 as of Mar 8, 2019
Mar 29, 20123 then
RAUM -53% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 4, 2020; 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
$17.1MderivedRAUM 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
-53%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 vehiclesreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.5M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
8reported
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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•••• Q••••••••• M•••• M••••• F••• L•••no longer reportedHedge Fund$98.7M16Mar 29, 2012
      E•••• A••••••••• S••••••••• M••••• F••• S•• • E•••• G•••••• S••••••••• P••••••••Hedge Fund$83.2M15Mar 4, 2016
      E•••• G••••• L•••no longer reportedHedge Fund$47.1M16Mar 29, 2012
      E•••• D••••••••• M•••• M••••• F••• L•••no longer reportedHedge Fund$46.4M16Mar 25, 2015
      E•••• G••••• L•no longer reportedHedge Fund$43.8M8Mar 29, 2012
      E•••• Q••••••••• M•••• F••• L••no longer reportedHedge Fund$21.6M11Mar 8, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • J•••••• W••••••• E••••• · Chief Financial Officer, Chief Operating Officercontrol
        since 10/2018 · owns less than 5%
      • S••••••••• G•• · Directorcontrol
        since 05/2008 · owns less than 5%
      • S••••••••• L•••• · Shareholdercontrol
        since 05/1993 · owns 50% to 75%
      • S••••••••• M••••••• · Chief Executive Officer, Chief Compliance Officer, Chairman And Presidentcontrol
        since 01/1997 · owns 50% to 75%
      • H••••••••• F••••••• C•••• · Director Of Investment S•••••••••
        since 02/2017 · owns less than 5%
      • J•••••••• D•••••• S•••• · Director Of Investment Relations
        since 01/2013 · owns less than 5%
      • S••••••••• N••••• · General Counsel
        since 10/2019 · owns less than 5%
      Related persons
      Schedule D 7.A
      • E•••• L••• ••••••• L•••
        investment advisery
      • E•••• T•••••• S•••••• •••• L•••
        investment advisery
      Advisers that list E•••• T•••••• S•••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 11 to 8
        Nov 14, 2019 to Mar 4, 2020
      • Pooled vehicle clients · 4 to 1
        Nov 14, 2019 to Mar 4, 2020
      • Employees · 17 to 18
        Nov 14, 2019 to Mar 4, 2020
      • Private funds · 1 to unset
        Nov 14, 2019 to Mar 4, 2020
      • Discretionary RAUM · $289M to $136M
        Nov 14, 2019 to Mar 4, 2020
      • Pooled vehicle RAUM · $93.9M to $2.5M
        Nov 14, 2019 to Mar 4, 2020
      • RAUM · $289M to $136M
        Nov 14, 2019 to Mar 4, 2020
      • Assets in custody · 83208442.0 to unset
        Mar 8, 2019 to Nov 14, 2019
      • Custody of client assets · true to false
        Mar 8, 2019 to Nov 14, 2019
      • Accounts · 15 to 11
        Oct 10, 2018 to Mar 8, 2019
      • Advisory employees · 8 to 7
        Oct 10, 2018 to Mar 8, 2019
      • Pooled vehicle clients · 7 to 4
        Oct 10, 2018 to Mar 8, 2019
      • Assets in custody · $136M to $83.2M
        Oct 10, 2018 to Mar 8, 2019
      • Employees · 18 to 17
        Oct 10, 2018 to Mar 8, 2019
      • Private funds · 3 to 1
        Oct 10, 2018 to Mar 8, 2019
      • Discretionary RAUM · $268M to $289M
        Oct 10, 2018 to Mar 8, 2019
      • Pooled vehicle RAUM · $161M to $93.9M
        Oct 10, 2018 to Mar 8, 2019
      • RAUM · $268M to $289M
        Oct 10, 2018 to Mar 8, 2019
      • Accounts · 8 to 15
        Mar 8, 2018 to Apr 27, 2018
      • Advisory employees · 9 to 8
        Mar 8, 2018 to Apr 27, 2018
      • Charity clients · unset to 0.0
        Mar 8, 2018 to Apr 27, 2018
      • Corporate clients · unset to 0.0
        Mar 8, 2018 to Apr 27, 2018
      • HNW clients · unset to 0.0
        Mar 8, 2018 to Apr 27, 2018
      • Individual clients · unset to 0.0
        Mar 8, 2018 to Apr 27, 2018
      • Pension plan clients · unset to 0.0
        Mar 8, 2018 to Apr 27, 2018
      • Pooled vehicle clients · 4 to 7
        Mar 8, 2018 to Apr 27, 2018
      • Assets in custody · $162M to $136M
        Mar 8, 2018 to Apr 27, 2018
      • Employees · 21 to 18
        Mar 8, 2018 to Apr 27, 2018
      • Discretionary RAUM · $337M to $268M
        Mar 8, 2018 to Apr 27, 2018
      • HNW RAUM · unset to 0.0
        Mar 8, 2018 to Apr 27, 2018
      • Individual RAUM · unset to 0.0
        Mar 8, 2018 to Apr 27, 2018
      • Pension RAUM · unset to 0.0
        Mar 8, 2018 to Apr 27, 2018
      • Pooled vehicle RAUM · $172M to $161M
        Mar 8, 2018 to Apr 27, 2018
      • RAUM · $337M to $268M
        Mar 8, 2018 to Apr 27, 2018
      • Pooled vehicle clients · unset to 4.0
        May 8, 2017 to Mar 8, 2018
      • Assets in custody · $191M to $162M
        May 8, 2017 to Mar 8, 2018
      • Employees · 22 to 21
        May 8, 2017 to Mar 8, 2018
      • Other offices · unset to 0.0
        May 8, 2017 to Mar 8, 2018
      • Discretionary RAUM · $336M to $337M
        May 8, 2017 to Mar 8, 2018
      • Pooled vehicle RAUM · unset to 172450951.0
        May 8, 2017 to Mar 8, 2018
      Signals
      1 dated events
      • E•••• T•••••• S•••••• I••• reported RAUM $136.4M, down 53% from $289.4M (2019-11-14 to 2020-03-04)
        Mar 4, 2020 · 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.
      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