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••• R••• C••••••• L••
Latest filing Jul 9, 2026
First filing on the tape Feb 10, 2012 · 25 filings
SEC status approved since Feb 27, 2012
RAUM
$4.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.8%
$37.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
38
15 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
15
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$4.8B as of Jul 9, 2026
Mar 26, 2013$1.1B then
HNW client RAUM$37.4M as of Jul 9, 2026
Mar 28, 2024$0 then
State-registered IARs (5.B.3)0 as of Jul 9, 2026
Mar 26, 20130 then
Employees (5.A)38 as of Jul 9, 2026
Mar 26, 201310 then
Private funds15 as of Jul 9, 2026
Mar 26, 20136 then
RAUM +22% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 9, 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
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $280MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%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 individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $4.8B, 17 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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 testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.7B99%
- High-net-worth individuals$37.4M0.8%
- Individual clients
- n/areported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 17reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.8B for 17 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.99 institutional_share=0.0 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
15 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••• R••• E•••••••• F•••• L••• | Hedge Fund | $989M | 5 | Feb 10, 2012 |
| E••• R••• D••• F•••• L••• | Hedge Fund | $505M | 5 | Mar 27, 2015 |
| E••• R••• G•••••• F•••• L••• | Hedge Fund | $408M | 3 | Mar 27, 2015 |
| E••• R••• F•••• F•••• L••• | Hedge Fund | $377M | 80 | Feb 10, 2012 |
| E••• R••• L•••••• F•••• L••• | Hedge Fund | $311M | 4 | Mar 26, 2014 |
| E••• R••• S•••• E•••••••• F•••• L••• | Hedge Fund | $256M | 2 | Feb 10, 2012 |
| E••• R••• V••••••• F•••• L••• | Hedge Fund | $252M | 8 | Mar 28, 2016 |
| E••• R••• O••• F•••• L••• | Hedge Fund | $236M | 5 | Mar 26, 2021 |
| E••• R••• C••••••••• F•••• L••• | Hedge Fund | $125M | 2 | Feb 10, 2012 |
| E••• R••• T••••• F•••• L••• | Hedge Fund | $108M | 2 | Mar 26, 2021 |
| E••• R••• E•• F•••• L•• • S••••• A• | Private Equity Fund | $46.7M | 25 | Mar 26, 2021 |
| E••• R••• E•• F•••• L•• • S••••• B• | Private Equity Fund | $23.9M | 26 | Mar 27, 2023 |
| E•••••• L••• | Private Equity Fund | $657,736 | 27 | Feb 10, 2012 |
| E••• R••• S•• F•••• L•••no longer reported | Hedge Fund | $329,665 | 3 | Feb 10, 2012 |
| E••••••••• L••no longer reported | Private Equity Fund | $0 | 7 | Mar 27, 2015 |
Owners and control persons
Schedule A and B, latest filing
- G•••••••• S••••• R••••• · Chief Compliance Officer / General Counselcontrolsince 03/2019 · owns less than 5%
- M••••• M••••••• S••• · Chief Operating Officercontrolsince 01/2010 · owns less than 5%
- M••••••• B••••• C••••••••• · Chief Financial Officercontrolsince 03/2019 · owns less than 5%
- S••••••• A•••• J••• · Managing Partnercontrolsince 01/2007 · owns less than 5%
- M•••••• S•••••• A••• · Partnercontrolsince 04/2005 · owns 25% to 50% of M• A•••• H••••••• L•••
- S••••••• L•••••• M••••• · Partnercontrolsince 04/2005 · owns 25% to 50% of M• A•••• H••••••• L•••
- S••••••• A•••• J••• · Managing Membercontrolsince 01/2007 · owns F of S•••••• P••••••• M••••••••• L••
Entity owners
- E• A••••••••• L•• · Memberdirect · owns 25% to 50%
- S•••••• P••••••• M••••••••• L•• · Managing Memberdirect · owns 25% to 50%
- A••• S•••••• 2••• T••••• T••••••• A••• J••• S•••••• · Managing Memberindirect · owns 50% to 75% of E• A••••••••• L••
- A••• S•••••• 2••• T••••• T••••••• A••• J••• S•••••• · Memberindirect · owns 75% or more of S•••••• P••••••• M••••••••• L••
- L•• F••••• C•••• · General Partnerindirect · owns F of M• A•••• H••••••• L•••
- M• A•••• H••••••• L••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- E••• R••• C•••••• G•• L••bankpooled vehicle sponsorn
- E••• R••• F•••• F••• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Charlotte, NC2 employees
- Miami, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 14 to 17Jul 23, 2025 to Mar 30, 2026
- Advisory employees · 16 to 15Jul 23, 2025 to Mar 30, 2026
- HNW clients · 8 to 10Jul 23, 2025 to Mar 30, 2026
- Pooled vehicle clients · 14 to 15Jul 23, 2025 to Mar 30, 2026
- Assets in custody · $3.9B to $4.8BJul 23, 2025 to Mar 30, 2026
- Private funds · 14 to 15Jul 23, 2025 to Mar 30, 2026
- Discretionary RAUM · $3.9B to $4.8BJul 23, 2025 to Mar 30, 2026
- HNW RAUM · $0 to $37.4MJul 23, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $3.9B to $4.7BJul 23, 2025 to Mar 30, 2026
- RAUM · $3.9B to $4.8BJul 23, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 28, 2025 to Jul 23, 2025
- Accounts · 13 to 14Jan 10, 2025 to Mar 28, 2025
- Advisory employees · 14 to 16Jan 10, 2025 to Mar 28, 2025
- Pooled vehicle clients · 13 to 14Jan 10, 2025 to Mar 28, 2025
- Assets in custody · $3.6B to $3.9BJan 10, 2025 to Mar 28, 2025
- Employees · 36 to 38Jan 10, 2025 to Mar 28, 2025
- Private funds · 13 to 14Jan 10, 2025 to Mar 28, 2025
- Discretionary RAUM · $3.6B to $3.9BJan 10, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · $3.6B to $3.9BJan 10, 2025 to Mar 28, 2025
- RAUM · $3.6B to $3.9BJan 10, 2025 to Mar 28, 2025
- Other offices · 1 to 2Mar 28, 2024 to Jul 15, 2024
- Advisory employees · 12 to 14Jul 5, 2023 to Mar 28, 2024
- HNW clients · unset to 8.0Jul 5, 2023 to Mar 28, 2024
- Assets in custody · $3.2B to $3.6BJul 5, 2023 to Mar 28, 2024
- Employees · 31 to 36Jul 5, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.2B to $3.6BJul 5, 2023 to Mar 28, 2024
- HNW RAUM · unset to 0.0Jul 5, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $3.2B to $3.6BJul 5, 2023 to Mar 28, 2024
- RAUM · $3.2B to $3.6BJul 5, 2023 to Mar 28, 2024
- Accounts · 12 to 13Mar 25, 2022 to Mar 27, 2023
- Advisory employees · 10 to 12Mar 25, 2022 to Mar 27, 2023
- Pooled vehicle clients · 12 to 13Mar 25, 2022 to Mar 27, 2023
- Assets in custody · $3.1B to $3.2BMar 25, 2022 to Mar 27, 2023
- Employees · 26 to 31Mar 25, 2022 to Mar 27, 2023
- Private funds · 12 to 13Mar 25, 2022 to Mar 27, 2023
- Discretionary RAUM · $3.1B to $3.2BMar 25, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $3.1B to $3.2BMar 25, 2022 to Mar 27, 2023
- RAUM · $3.1B to $3.2BMar 25, 2022 to Mar 27, 2023
- Accounts · 14 to 12Jan 24, 2022 to Mar 25, 2022
- Advisory employees · 11 to 10Jan 24, 2022 to Mar 25, 2022
Signals
3 dated events
- Angus Graham Duncan (Managing Member) no longer on Schedule A of E••• R••• C••••••• L•• (listed 2021-03-26, absent 2022-01-24)Jan 24, 2022 · Control person left · inference
- Robert Shaun Getchell (General Counsel) appeared on Schedule A of E••• R••• C••••••• L••Mar 26, 2019 · Control person joined · fact
- Christopher Bryan Molinet (Chief Financial Officer) appeared on Schedule A of E••• R••• C••••••• L••Mar 26, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- E••• R••• C••••••• L•• · Independent Sponsorsshared crd · capital_provider
- E••• R••• C••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/east-rock-capital-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- e•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-630-5000reportedpublic record, Form ADV, Jul 9, 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