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Former SEC-registered adviser

E••••••• P•••••••• L••

Former SEC-registered adviserWashington, District of ColumbiaCRD 159547SEC 801-74239IAPD
Latest filing Mar 31, 2014
First filing on the tape Feb 15, 2012 · 5 filings
RAUM
$473M
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
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$473M gross assets
History
5 filings and snapshots on the tape
RAUM$473M as of Mar 31, 2014
Apr 1, 2013$272M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Apr 1, 20130 then
Employees (5.A)15 as of Mar 31, 2014
Apr 1, 201314 then
Private funds3 as of Mar 31, 2014
Apr 1, 20133 then
RAUM +74% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$118MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+74%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
$473M, 4 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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)
  • controlled by a public reporting company (10.A)
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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$473M for 4 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
      U••• G••••••••• P••••••••• I••••• • G••••• F•••• L•••Hedge Fund$252M22Feb 15, 2012
      U••• G••••••••• P••••••••• I••••• • G••••• F••• I•• L•Hedge Fund$210M19Apr 1, 2013
      U••• I• ••••••••• F•••• L•Hedge Fund$12.0M5Apr 1, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• A•••••• M•••• · Chief Financial Officercontrol
        since 12/2011 · owns less than 5%
      • R•••• M•••• H••••• · Chief Operating Officercontrol
        since 01/2014 · owns less than 5%
      • T••••••• W••••••• C•••••• · Chief Executive Officer, Managing Partner, Chief Compliance Officercontrol
        since 08/2011 · owns less than 5%
      • C••••• D••••••• W•••••• · Majority Owner, Managercontrol
        since 08/2011 · owns 75% or more of E••••••• P•••••••• L••
      Entity owners
      • E••••••• C•••••• • L•• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Beverly, MA
      What changed
      consecutive filings, newest first
      • Assets in custody · $272M to $473M
        Apr 3, 2013 to Mar 31, 2014
      • Employees · 14 to 15
        Apr 3, 2013 to Mar 31, 2014
      • Discretionary RAUM · $272M to $473M
        Apr 3, 2013 to Mar 31, 2014
      • RAUM · $272M to $473M
        Apr 3, 2013 to Mar 31, 2014
      • Accounts · 1 to 4
        Oct 12, 2012 to Apr 1, 2013
      • Advisory employees · unset to 10.0
        Oct 12, 2012 to Apr 1, 2013
      • BD registered reps · unset to 1.0
        Oct 12, 2012 to Apr 1, 2013
      • Assets in custody · $234M to $272M
        Oct 12, 2012 to Apr 1, 2013
      • Employees · unset to 14.0
        Oct 12, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Oct 12, 2012 to Apr 1, 2013
      • Private funds · 1 to 3
        Oct 12, 2012 to Apr 1, 2013
      • Discretionary RAUM · $234M to $272M
        Oct 12, 2012 to Apr 1, 2013
      • RAUM · $234M to $272M
        Oct 12, 2012 to Apr 1, 2013
      • Assets in custody · $17.8M to $234M
        Feb 15, 2012 to Oct 12, 2012
      • Discretionary RAUM · $178M to $234M
        Feb 15, 2012 to Oct 12, 2012
      • RAUM · $178M to $234M
        Feb 15, 2012 to Oct 12, 2012
      • Related adviser · true to false
        Feb 15, 2012 to Oct 12, 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
      Across the graphs

      E••••••• P•••••••• 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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