DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

E•••••• A••••••••• C•••••• L••

Former SEC-registered adviserJerusalem, CRD 154135SEC 801-71805IAPD

Latest filing Apr 22, 2016

First filing on the tape Mar 30, 2012 · 17 filings

RAUM

$85.8M

reported, Item 5.F

Discretionary

58%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

9 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$49.4M gross assets

History

17 filings and snapshots on the tape

RAUM$85.8M as of Jan 14, 2016

Mar 30, 2012$109M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jan 14, 2016

Jan 29, 20130 then

Employees (5.A)9 as of Jan 14, 2016

Jan 29, 20138 then

Private funds4 as of Jan 14, 2016

Mar 30, 20122 then

RAUM -26% over the last fiscal year-22% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Apr 22, 2016; 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: $8.6MderivedRAUM over accounts (5.F.2.f)
Discretionary: 58%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: -26%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: $49.4M, 8 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

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: 10reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $49.4M for 8 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 departure Every arrival

Private funds

5 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
E•••••• I• C••••• O••••••••• F••• L••no longer reported	Hedge Fund	$35.7M	84	Mar 30, 2012
E•••••• E••••••• I••••• F••• L•no longer reported	Hedge Fund	$23.3M	69	Mar 30, 2012
E•••••• T•••• R••••• F••• L•no longer reported	Hedge Fund	$10.9M	27	Jan 29, 2013
F•••••• H••••••• L•	Private Equity Fund	$9.2M	10	Jan 14, 2016
H••••••• F•••••• I• L•	Private Equity Fund	$3.2M	3	Jan 14, 2016

Owners and control persons

Schedule A and B, latest filing

B••••••• E••••••• A•••••• · Chief Investment Officercontrol
since 06/2009 · owns 50% to 75%
D••••• E•••• B•••• · Chief Operating Officer/Chief Compliance Officercontrol
since 06/2009 · owns 50% to 75%
M•••• S••••• · Chief Strategy Officercontrol
since 01/2016 · owns 5% to 10%

Related persons

Schedule D 7.A

I••••• P••••••• L• ••••••• A•••••••
investment adviserpooled vehicle sponsorn
R••••• P••••••• L• ••••••• A•••••••
investment adviserpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

New York, NY

What changed

consecutive filings, newest first

Accounts · 2 to 10
Apr 30, 2015 to Jan 14, 2016
Advisory employees · 8 to 9
Apr 30, 2015 to Jan 14, 2016
Assets in custody · $116M to $49.4M
Apr 30, 2015 to Jan 14, 2016
Employees · 8 to 9
Apr 30, 2015 to Jan 14, 2016
Private funds · 2 to 4
Apr 30, 2015 to Jan 14, 2016
Discretionary RAUM · $116M to $49.4M
Apr 30, 2015 to Jan 14, 2016
Non-discretionary RAUM · $0 to $36.4M
Apr 30, 2015 to Jan 14, 2016
RAUM · $116M to $85.8M
Apr 30, 2015 to Jan 14, 2016
Accounts · 3 to 2
Nov 19, 2014 to Mar 4, 2015
Advisory employees · 7 to 8
Nov 19, 2014 to Mar 4, 2015
Advisory activities · 3 to 1
Nov 19, 2014 to Mar 4, 2015
Assets in custody · $35.6M to $116M
Nov 19, 2014 to Mar 4, 2015
Employees · 7 to 8
Nov 19, 2014 to Mar 4, 2015
Discretionary RAUM · $34.1M to $116M
Nov 19, 2014 to Mar 4, 2015
Non-discretionary RAUM · $9.8M to $0
Nov 19, 2014 to Mar 4, 2015
RAUM · $43.9M to $116M
Nov 19, 2014 to Mar 4, 2015
Business name · E•••••• C•••••• M••••••••• L•• to E•••••• A••••••••• C•••••• L••
May 19, 2014 to Nov 19, 2014
Legal name · E•••••• C•••••• M••••••••• L•• to E•••••• A••••••••• C•••••• L••
May 19, 2014 to Nov 19, 2014
Accounts · 4 to 3
Mar 27, 2014 to May 19, 2014
Discretionary RAUM · $35.6M to $34.1M
Mar 27, 2014 to May 19, 2014
Non-discretionary RAUM · $242M to $9.8M
Mar 27, 2014 to May 19, 2014
RAUM · $278M to $43.9M
Mar 27, 2014 to May 19, 2014
Accounts · 21 to 4
Apr 11, 2013 to Mar 27, 2014
Advisory employees · 8 to 7
Apr 11, 2013 to Mar 27, 2014
Advisory activities · 5 to 3
Apr 11, 2013 to Mar 27, 2014
Assets in custody · $25.7M to $35.6M
Apr 11, 2013 to Mar 27, 2014
Employees · 8 to 7
Apr 11, 2013 to Mar 27, 2014
Financial planning clients · 0 to unset
Apr 11, 2013 to Mar 27, 2014
HQ city · NEW YORK to JERUSALEM
Apr 11, 2013 to Mar 27, 2014
HQ state · NY to unset
Apr 11, 2013 to Mar 27, 2014
Discretionary RAUM · $168M to $35.6M
Apr 11, 2013 to Mar 27, 2014
Non-discretionary RAUM · $10.0M to $242M
Apr 11, 2013 to Mar 27, 2014
RAUM · $178M to $278M
Apr 11, 2013 to Mar 27, 2014
Accounts · 4 to 21
Jan 2, 2013 to Jan 29, 2013
Advisory employees · 4 to 8
Jan 2, 2013 to Jan 29, 2013
Advisory activities · 2 to 5
Jan 2, 2013 to Jan 29, 2013
Assets in custody · $35.7M to $25.7M
Jan 2, 2013 to Jan 29, 2013
Employees · 6 to 8
Jan 2, 2013 to Jan 29, 2013
Discretionary RAUM · $48.7M to $168M
Jan 2, 2013 to Jan 29, 2013
Non-discretionary RAUM · $60.7M to $10.0M
Jan 2, 2013 to Jan 29, 2013

Signals

No event on the tape.

Across DFX

shared identifiers only, never a name match

E•••••• A••••••••• C•••••• L•• · Private Equity
shared crd · organization

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