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 adviserNew York, New YorkCRD 153756SEC 801-71862IAPD
Latest filing May 3, 2021
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$3.1B
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
15
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
12
$5.8B gross assets
History
13 filings and snapshots on the tape
RAUM$3.1B as of Mar 31, 2021
Mar 30, 2012$841M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 30, 20120 then
Employees (5.A)15 as of Mar 31, 2021
Mar 28, 201312 then
Private funds12 as of Mar 31, 2021
Mar 30, 20124 then
RAUM +14% over the last fiscal year-0.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 3, 2021; 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
$192MderivedRAUM 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
+14%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
$3.1B, 16 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$3.1B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
16reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$3.1B for 16 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
      14 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•• E••••••• L•••Hedge Fund$1.7B33Mar 30, 2012
      E•• E••••••• M••••• F••• L•Hedge Fund$1.7B33Mar 29, 2018
      E•• M••••• F••• L•••Hedge Fund$1.1B16Mar 30, 2012
      E•• O••••••••• L•••Hedge Fund$1.1B16Mar 30, 2012
      E•• A• L••Private Equity Fund$94.5M7Mar 31, 2017
      E•• 7• L••Real Estate Fund$89.4M6Mar 29, 2019
      T••••• F••• P••no longer reportedOther Private Fund$49.4M3Mar 30, 2012
      E•• H••• S••••• J• L•Real Estate Fund$39.5M3Mar 30, 2020
      E••••• R• L••Private Equity Fund$27.2M14Mar 31, 2021
      E•• B•• S••• L••Real Estate Fund$26.8M7Mar 30, 2020
      E•• D•• L••Private Equity Fund$19.8M3Mar 29, 2019
      E•• A•• F••• L••Private Equity Fund$19.1M5Mar 29, 2018
      E•• B•• S••• L• L••Private Equity Fund$14.7M7Mar 30, 2020
      E•• M• F••• L••Private Equity Fund$2.4M7Mar 31, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • S••••• E•••••• M•••• · Presidentcontrol
        since 06/2007 · owns 75% or more
      • S••••• E•••••• M•••• · Shareholdercontrol
        since 06/2007 · owns 75% or more of E•• C•••••• H•••••• I•••
      • L••• G•••• · General Counsel And Chief Compliance Officer
        since 09/2013 · owns less than 5%
      • P••••••• M•••••• · Chief Financial Officer
        since 03/2021 · owns less than 5%
      Entity owners
      • E•• C•••••• H•••••• I••• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • T••••• O••••••••• P••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 10 to 9
        Mar 30, 2020 to Mar 31, 2021
      • Assets in custody · $2.7B to $3.1B
        Mar 30, 2020 to Mar 31, 2021
      • Employees · 17 to 15
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $2.7B to $3.1B
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $2.7B to $3.1B
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $2.7B to $3.1B
        Mar 30, 2020 to Mar 31, 2021
      • Accounts · 13 to 16
        Sep 12, 2019 to Mar 30, 2020
      • Advisory employees · 9 to 10
        Sep 12, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 13 to 16
        Sep 12, 2019 to Mar 30, 2020
      • Assets in custody · $3.1B to $2.7B
        Sep 12, 2019 to Mar 30, 2020
      • Employees · 16 to 17
        Sep 12, 2019 to Mar 30, 2020
      • Private funds · 9 to 12
        Sep 12, 2019 to Mar 30, 2020
      • Discretionary RAUM · $3.1B to $2.7B
        Sep 12, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $3.1B to $2.7B
        Sep 12, 2019 to Mar 30, 2020
      • RAUM · $3.1B to $2.7B
        Sep 12, 2019 to Mar 30, 2020
      • Accounts · 12 to 13
        Mar 29, 2018 to Mar 29, 2019
      • Advisory employees · 8 to 9
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 12 to 13
        Mar 29, 2018 to Mar 29, 2019
      • Assets in custody · unset to 3052165299.0
        Mar 29, 2018 to Mar 29, 2019
      • Custody of client assets · false to true
        Mar 29, 2018 to Mar 29, 2019
      • Private funds · 7 to 9
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $3.1B to $3.1B
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $3.1B to $3.1B
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $3.1B to $3.1B
        Mar 29, 2018 to Mar 29, 2019
      • Accounts · 8 to 12
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 7 to 8
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 12.0
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 13 to 16
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Private funds · 5 to 7
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $2.1B to $3.1B
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 3072551007.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $2.1B to $3.1B
        Mar 31, 2017 to Mar 29, 2018
      • Accounts · 6 to 8
        Nov 29, 2016 to Mar 31, 2017
      • Advisory employees · 6 to 7
        Nov 29, 2016 to Mar 31, 2017
      • Employees · 14 to 13
        Nov 29, 2016 to Mar 31, 2017
      • Private funds · 3 to 5
        Nov 29, 2016 to Mar 31, 2017
      • Discretionary RAUM · $2.1B to $2.1B
        Nov 29, 2016 to Mar 31, 2017
      • RAUM · $2.1B to $2.1B
        Nov 29, 2016 to Mar 31, 2017
      • Advisory employees · 5 to 6
        Mar 31, 2015 to Mar 31, 2016
      Signals
      1 dated events
      • E•• C•••••• L• reported RAUM $3.1B, up 44% from $2.1B (2017-03-31 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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
      Across the graphs

      E•• C•••••• L• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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