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•••••• C•••••• L••

Former SEC-registered adviserMiami, FloridaCRD 152674SEC 801-70964IAPD
Latest filing Mar 30, 2015
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$3.7B
reported, Item 5.F
Discretionary
96%
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
26
15 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
23
$5.9B gross assets
History
9 filings and snapshots on the tape
RAUM$3.7B as of Mar 30, 2015
Mar 30, 2012$2.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Feb 28, 20130 then
Employees (5.A)26 as of Mar 30, 2015
Feb 28, 201344 then
Private funds23 as of Mar 30, 2015
Mar 30, 201234 then
RAUM +45% over the last fiscal year+22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2015; 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
$138MderivedRAUM over accounts (5.F.2.f)
Discretionary
96%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
+45%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 companiesreportedItem 5.G
Custody
$3.3B, 26 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
27reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$3.3B for 26 clientsreported
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
      42 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•••••• C•••••• G••••• F•••• L•••Hedge Fund$990M50Mar 30, 2012
      E•••••• C•••••• F••••••• M•••••• F•••• L•••Hedge Fund$563M43Mar 30, 2012
      E•••••• C•••••• E••••••• M•••••• F•••• L•••Hedge Fund$482M62Mar 30, 2012
      E•••••• C•••••• G••••• L•••Hedge Fund$476M26Mar 30, 2012
      E•••••• C•••••• F••••••• M•••••• L•••Hedge Fund$420M27Mar 30, 2012
      E•••••• C•••••• F••••••• M•••••• E••••• F•••• L•••Hedge Fund$351M24Mar 30, 2012
      E•••••• C•••••• E••••••• M•••••• L•••Hedge Fund$339M23Mar 30, 2012
      E•••••• C•••••• G•••••• L•••Hedge Fund$327M24Mar 30, 2012
      E•••••• C•••••• G••••• E••••••• E••••• L•••Other Private Fund$282M5Feb 28, 2013
      E•••••• C•••••• G••••• E••••••• E••••• F•••• L•••Other Private Fund$268M8Feb 28, 2013
      E•••••• C•••••• F••••••• M•••••• E••••• L•••Hedge Fund$252M21Mar 30, 2012
      E•••••• C•••••• C•••• O••••••••• F•••• L•••no longer reportedHedge Fund$249M38Mar 30, 2012
      E•••••• C•••••• A••• F•••• L•••Hedge Fund$215M20Mar 30, 2012
      E•••••• C•••••• D••••••••• A•••• F•••• L•••Hedge Fund$179M13Mar 30, 2012
      E•••••• C•••••• C•••• O••••••••• L•••no longer reportedHedge Fund$169M23Mar 30, 2012
      E•••••• C•••••• L•••• A•••••• O••••••••• F•••• L•••Hedge Fund$160M4Mar 30, 2012
      E•••••• C•••••• E••••••• E••••• F•••• F•••• L•••Other Private Fund$140M4Nov 26, 2013
      E•••••• C•••••• E••••••• E••••• F•••• L•••Other Private Fund$137M3Nov 26, 2013
      E•••••• C•••••• A••• •••• L•••Hedge Fund$119M11Mar 30, 2012
      E•••••• C•••••• D••••••••• A•••• L•••Hedge Fund$116M8Mar 30, 2012
      E•••••• C•••••• L•••• A•••••• O••••••••• L•••Hedge Fund$101M2Mar 30, 2012
      E•••••• C•••••• F••••••• M•••••• E••••• L•••Hedge Fund$93.2M3Mar 31, 2014
      E•••••• C•••••• E••••••• M•••••• L•••Hedge Fund$91.3M40Mar 30, 2012
      E•••••• C•••••• E• C••••• F••• L••••••no longer reportedHedge Fund$86.3M8Mar 30, 2012
      E•••••• C•••••• C•••• M•• 7• L•••no longer reportedHedge Fund$65.8M14Mar 30, 2012
      E•••••• C•••••• C•••• O••••••••• L•no longer reportedHedge Fund$61.5M12Mar 30, 2012
      E•••••• C•••••• F••••••• M•••••• L•••Hedge Fund$50.4M15Mar 30, 2012
      E•••••• C•••••• F••••••• M•••••• F•••• I••••• F•••• L•••Hedge Fund$49.9M3Mar 30, 2012
      E•••••• C•••••• E••••••• M•••••• D••• F•••• L•••no longer reportedHedge Fund$21.3M4Mar 30, 2012
      E•••••• C•••••• A••• L•••Hedge Fund$15.1M6Mar 30, 2012
      E•••••• C•••••• L•••• A•••••• E••••• F•••• L•••Other Private Fund$11.6M2Nov 26, 2013
      E•••••• C•••••• C•••• O••••••••• ••••• L•••no longer reportedHedge Fund$8.8M5Mar 30, 2012
      E•••••• C•••••• D••••••••• A•••• L•••Hedge Fund$8.6M4Mar 30, 2012
      E•••••• C•••••• G••••• E••••••• E••••• L•••Other Private Fund$7.6M3Feb 28, 2013
      E•••••• C•••••• G••••• ••••• L•••Hedge Fund$7.5M3Mar 30, 2012
      E•••••• C•••••• E••••••• M•••••• E••••• F•••• L•••no longer reportedOther Private Fund$5.6M2Mar 30, 2012
      E•••••• C•••••• E••••••• M•••••• E••••• L•••no longer reportedOther Private Fund$5.5M2Mar 30, 2012
      E•••••• C•••••• F••••••• M•••••• ••••• L•••Hedge Fund$5.2M1Mar 30, 2012
      E•••••• C•••••• D••••••••• A•••• ••••• L•••Hedge Fund$3.5M4Mar 30, 2012
      E•••••• C•••••• E••••••• M•••••• ••••• L•••Hedge Fund$3.1M3Mar 30, 2012
      All funds of E•••••• C•••••• L••
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••••• M•••• · Membercontrol
        since 12/2009 · owns 75% or more
      • S••••• J•••••• M• · Chief Compliance Officer/General Counselcontrol
        since 07/2010 · owns less than 5%
      • S••••• M•••••• · Chief Operating Officercontrol
        since 10/2010 · owns less than 5%
      • D••••••••• M•••• · Ownercontrol
        since 03/1998 · owns 75% or more of E•••••• C•••••• I•••
      Entity owners
      • E•••••• C•••••• I••• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Advisers that list E•••••• C•••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 35 to 27
        Dec 15, 2014 to Mar 30, 2015
      • Advisory employees · 23 to 15
        Dec 15, 2014 to Mar 30, 2015
      • Advisory activities · 2 to 3
        Dec 15, 2014 to Mar 30, 2015
      • Assets in custody · $2.4B to $3.3B
        Dec 15, 2014 to Mar 30, 2015
      • Employees · 45 to 26
        Dec 15, 2014 to Mar 30, 2015
      • Private funds · 32 to 23
        Dec 15, 2014 to Mar 30, 2015
      • Discretionary RAUM · $2.6B to $3.6B
        Dec 15, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $0 to $150M
        Dec 15, 2014 to Mar 30, 2015
      • RAUM · $2.6B to $3.7B
        Dec 15, 2014 to Mar 30, 2015
      • Related adviser · false to true
        Mar 31, 2014 to Dec 15, 2014
      • Related bank · false to true
        Mar 31, 2014 to Dec 15, 2014
      • Accounts · 38 to 35
        Jan 7, 2014 to Mar 31, 2014
      • Advisory employees · 18 to 23
        Jan 7, 2014 to Mar 31, 2014
      • Advisory activities · 1 to 2
        Jan 7, 2014 to Mar 31, 2014
      • Assets in custody · $2.1B to $2.4B
        Jan 7, 2014 to Mar 31, 2014
      • Employees · 44 to 45
        Jan 7, 2014 to Mar 31, 2014
      • Private funds · 39 to 32
        Jan 7, 2014 to Mar 31, 2014
      • Discretionary RAUM · $2.3B to $2.6B
        Jan 7, 2014 to Mar 31, 2014
      • RAUM · $2.3B to $2.6B
        Jan 7, 2014 to Mar 31, 2014
      • Private funds · 36 to 39
        Feb 28, 2013 to Nov 26, 2013
      • Accounts · 34 to 38
        Aug 1, 2012 to Feb 28, 2013
      • Advisory employees · unset to 18.0
        Aug 1, 2012 to Feb 28, 2013
      • Assets in custody · $2.0B to $2.1B
        Aug 1, 2012 to Feb 28, 2013
      • Employees · unset to 44.0
        Aug 1, 2012 to Feb 28, 2013
      • State-registered IARs · unset to 0.0
        Aug 1, 2012 to Feb 28, 2013
      • Private funds · 34 to 36
        Aug 1, 2012 to Feb 28, 2013
      • Discretionary RAUM · $2.1B to $2.3B
        Aug 1, 2012 to Feb 28, 2013
      • RAUM · $2.1B to $2.3B
        Aug 1, 2012 to Feb 28, 2013
      Signals
      No event on the tape.
      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