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•••••••• A•••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 21, 2012 · 37 filings
SEC status approved since Sep 30, 2009
RAUM
$4.5B
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
39
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
21
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$4.5B as of Mar 26, 2026
Mar 21, 2012$506M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 21, 20120 then
Employees (5.A)39 as of Mar 26, 2026
Mar 28, 201315 then
Private funds21 as of Mar 26, 2026
Mar 21, 20125 then
RAUM +19% over the last fiscal year+4.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $166MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 25%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $3.7B, 25 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)
- 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
- Pooled investment vehicles$3.1B69%
- Sovereign wealth funds$738M16%
- Pension and profit-sharing plans$369M8.2%
- Other investment advisers$277M6.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 27reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.7B for 25 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.75 institutional_share=0.25 related_bd=false related_bank=true 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
19 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- B•••••• P•••• S••••• · Partner And Portfolio Managercontrolsince 02/2016 · owns less than 5%
- D•••••• J•••• C•••• · Founding Partner / Senior Portfolio Managercontrolsince 06/2009 · owns less than 5%
- F•••••• M••••••• M• · Managing Partner / Chief Financial Officercontrolsince 09/2012 · owns less than 5%
- R••••••• A••••••• A•••••••• · Founding Partner / Senior Portfolio Managercontrolsince 06/2009 · owns less than 5%
- W•••••• L••••••• P•••••• · Partner / Chief Compliance Officer / Chief Legal Officercontrolsince 01/2021 · owns less than 5%
- D•••••• J•••• C•••• · Trusteecontrolsince 11/2009 · owns F of J••• C• D••••• I• G••• T•••• •
- R••••••• A••••••• A•••••••• · Trusteecontrolsince 11/2009 · owns F of A•••••• A• R••••••• J•• G••• T•••• •
Entity owners
- E•••••••• H•••••••• L• · Memberdirect · owns 75% or more
- A•••••• A• R••••••• J•• G••• T•••• • · LPindirect · owns 25% to 50% of E•••••••• H•••••••• L•
- E•••••••• H••••••• G•• L•• · General Partnerindirect · owns F of E•••••••• H•••••••• L•
- J••• C• D••••• I• G••• T•••• • · LPindirect · owns 25% to 50% of E•••••••• H•••••••• L•
- W•••• M•••••••• I•••••••• G••••• L••• · Shareholderindirect · owns 75% or more of W• B••••••• L•• · public reporting company
- W• B••••••• L•• · Shareholderindirect · owns 75% or more of W• C•••••• H••••••• L•••
- W• C•••••• H••••••• L••• · LPindirect · owns 25% to 50% of E•••••••• H•••••••• L•
Related persons
Schedule D 7.A
- E•••••••• D••••••• G•• L••bankpooled vehicle sponsorn
- E•••••••• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 26, 2026institutional share of RAUM of 25% against a peer median of 0% (1506 comparable advisers, 98.0th percentile, 8.3 robust deviations)peers: asset managers, $1B to $5B (1,506) · 98% percentile
- institutional asset share shiftChange between filings · filing Mar 26, 2026institutional share of RAUM moved from 50.0% to 31.0% between the annual amendments of 2025-03-25 and 2026-03-26peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Accounts · 24 to 27Jan 21, 2026 to Mar 26, 2026
- Advisory employees · 15 to 14Jan 21, 2026 to Mar 26, 2026
- Pooled vehicle clients · 14 to 17Jan 21, 2026 to Mar 26, 2026
- Assets in custody · $3.6B to $3.7BJan 21, 2026 to Mar 26, 2026
- Employees · 42 to 39Jan 21, 2026 to Mar 26, 2026
- Private funds · 20 to 21Jan 21, 2026 to Mar 26, 2026
- Discretionary RAUM · $3.7B to $4.5BJan 21, 2026 to Mar 26, 2026
- Pension RAUM · $413M to $369MJan 21, 2026 to Mar 26, 2026
- Pooled vehicle RAUM · $1.9B to $3.1BJan 21, 2026 to Mar 26, 2026
- RAUM · $3.7B to $4.5BJan 21, 2026 to Mar 26, 2026
- Private funds · 19 to 20Jun 10, 2025 to Jan 21, 2026
- Financial planning clients · unset to Mar 25, 2025 to Jun 10, 2025
- Private funds · 18 to 19Mar 25, 2025 to Jun 10, 2025
- Accounts · 21 to 24Jul 12, 2024 to Mar 25, 2025
- Pooled vehicle clients · 11 to 14Jul 12, 2024 to Mar 25, 2025
- Assets in custody · $3.9B to $3.6BJul 12, 2024 to Mar 25, 2025
- Employees · 41 to 42Jul 12, 2024 to Mar 25, 2025
- Private funds · 17 to 18Jul 12, 2024 to Mar 25, 2025
- Discretionary RAUM · $4.1B to $3.7BJul 12, 2024 to Mar 25, 2025
- Pension RAUM · $574M to $413MJul 12, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $2.1B to $1.9BJul 12, 2024 to Mar 25, 2025
- RAUM · $4.1B to $3.7BJul 12, 2024 to Mar 25, 2025
- Private funds · 16 to 17Mar 21, 2024 to Jul 12, 2024
- Accounts · 17 to 21May 30, 2023 to Mar 21, 2024
- Advisory employees · 17 to 15May 30, 2023 to Mar 21, 2024
- Charity clients · 0.0 to unsetMay 30, 2023 to Mar 21, 2024
- Pooled vehicle clients · 8 to 11May 30, 2023 to Mar 21, 2024
- Assets in custody · $3.7B to $3.9BMay 30, 2023 to Mar 21, 2024
- Employees · 50 to 41May 30, 2023 to Mar 21, 2024
- Private funds · 15 to 16May 30, 2023 to Mar 21, 2024
- Discretionary RAUM · $3.9B to $4.1BMay 30, 2023 to Mar 21, 2024
- Pension RAUM · $634M to $574MMay 30, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $1.5B to $2.1BMay 30, 2023 to Mar 21, 2024
- RAUM · $3.9B to $4.1BMay 30, 2023 to Mar 21, 2024
- Private funds · 13 to 15Mar 29, 2023 to May 30, 2023
- Charity clients · unset to 0.0May 2, 2022 to Mar 29, 2023
- Assets in custody · $4.3B to $3.7BMay 2, 2022 to Mar 29, 2023
- Discretionary RAUM · $4.5B to $3.9BMay 2, 2022 to Mar 29, 2023
- Pension RAUM · $831M to $634MMay 2, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $1.8B to $1.5BMay 2, 2022 to Mar 29, 2023
Signals
3 dated events
- Steven Paul Barker (Partner And Portfolio Manager) appeared on Schedule A of E•••••••• A•••••••• L••Mar 21, 2024 · Control person joined · fact
- Reena Jashnani-Slusarz (Managing Director / Deputy Chief Legal Officer / Chief Compliance Officer) no longer on Schedule A of E•••••••• A•••••••• L•• (listed 2021-03-31, absent 2021-04-26)Apr 26, 2021 · Control person left · inference
- Overleese Bobbi Anderson (General Counsel) no longer on Schedule A of E•••••••• A•••••••• L•• (listed 2019-06-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
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••••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-281-4688reportedpublic record, Form ADV, Mar 26, 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