DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

E•••••• I•••••••••

Former SEC-registered adviserSao Paulo, Sp, CRD 159366SEC 801-72978IAPD
Legal name E•••••• I••••••••• G••••• D• R••••••• L•••
Latest filing Jun 3, 2014
First filing on the tape Dec 14, 2011 · 10 filings
RAUM
$435M
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
13
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$205M gross assets
History
10 filings and snapshots on the tape
RAUM$435M as of Mar 28, 2014
Mar 26, 2012$215M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Apr 1, 20130 then
Employees (5.A)13 as of Mar 28, 2014
Apr 1, 201312 then
Private funds2 as of Mar 28, 2014
Mar 26, 20122 then
RAUM -33% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 3, 2014; 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
$62.1MderivedRAUM 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
-33%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 vehicles, otherreportedItem 5.G
Custody
$205M, 2 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)
  • 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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$205M for 2 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•••••• F•••• S•• • E••••• L••• S•••• P••••••••Hedge Fund$117M13Dec 14, 2011
      E•••••• F••• S••• • E•••••• B••••• L••• O••• P••••••••Hedge Fund$88.2M14Dec 14, 2011
      E••• F•••Hedge Fund$80.9M13Apr 1, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••••• E••••••• I••••••• · Ownercontrol
        since 11/2011 · owns 50% to 75% of E•• H•••••• L••••
      • B••••••••• A•••••••• · Elected Manager
        since 03/2010 · owns less than 5%
      • H••••• M••••• · Cco, Coo
        since 01/2011 · owns less than 5%
      • I•••••• S••••• · Elected Manager, Cfo
        since 07/2007 · owns less than 5%
      • M•••••••• E••••••• I••••••• · Elected Manager, Cio
        since 07/2007 · owns less than 5%
      Entity owners
      • E•• H•••••• L•••• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 7
        Apr 30, 2013 to Mar 28, 2014
      • Advisory employees · 5 to 7
        Apr 30, 2013 to Mar 28, 2014
      • Assets in custody · $281M to $205M
        Apr 30, 2013 to Mar 28, 2014
      • Employees · 12 to 13
        Apr 30, 2013 to Mar 28, 2014
      • Private funds · 3 to 2
        Apr 30, 2013 to Mar 28, 2014
      • Discretionary RAUM · $626M to $435M
        Apr 30, 2013 to Mar 28, 2014
      • RAUM · $626M to $435M
        Apr 30, 2013 to Mar 28, 2014
      • Discretionary RAUM · $650M to $626M
        Apr 4, 2013 to Apr 30, 2013
      • RAUM · $650M to $626M
        Apr 4, 2013 to Apr 30, 2013
      • Accounts · 8 to 10
        Mar 26, 2012 to Apr 1, 2013
      • Advisory employees · unset to 5.0
        Mar 26, 2012 to Apr 1, 2013
      • Advisory activities · 1 to 2
        Mar 26, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Mar 26, 2012 to Apr 1, 2013
      • Assets in custody · unset to 280853000.0
        Mar 26, 2012 to Apr 1, 2013
      • Custody of client assets · false to true
        Mar 26, 2012 to Apr 1, 2013
      • Employees · unset to 12.0
        Mar 26, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Mar 26, 2012 to Apr 1, 2013
      • Private funds · 2 to 3
        Mar 26, 2012 to Apr 1, 2013
      • Discretionary RAUM · $215M to $650M
        Mar 26, 2012 to Apr 1, 2013
      • RAUM · $215M to $650M
        Mar 26, 2012 to Apr 1, 2013
      • Discretionary RAUM · $220M to $215M
        Dec 15, 2011 to Mar 26, 2012
      • RAUM · $220M to $215M
        Dec 15, 2011 to Mar 26, 2012
      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