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E••••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· Locust Valley, New York

Former SEC-registered adviser, based in Locust Valley, New York, reporting $599M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$599M
Form ADV
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 159688 · SEC 801-73002 · 4 filingsShow
CRD 159688SEC 801-73002Legal name E•••••• E••••••••• L••First filing on the tape Dec 22, 2011, latest Apr 1, 2013IAPD
RAUM
$599M
reported, Item 5.F
Discretionary
7.7%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
25
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$24.0M gross assets
History
4 filings and snapshots on the tape

Filed figures over time · the tape starts Dec 22, 2011

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$599M as of Apr 1, 2013
Dec 22, 2011$398M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2013
Apr 1, 20130 then
Employees (5.A)25 as of Apr 1, 2013
Apr 1, 201325 then
Private funds1 as of Apr 1, 2013
Dec 22, 20111 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 1, 2013; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$120MderivedRAUM over accounts (5.F.2.f)
Discretionary
7.7%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
unknownderivedbetween 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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$24.0M, 1 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$24.0M for 1 clientsreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••••••• G•••••• L••••••••• · Managing Membercontrol
        since 04/2007 · owns 25% to 50% of E•••••• H••••••• G••••• L••
      • K••••••• M•••••••• M••• · Chief Operating Officer, Chief Compliance Officer
        since 04/2007 · owns less than 5%
      • L••••••• G•••••• L••••••••• · Chief Executive Officer
        since 04/2007 · owns 10% to 25%
      • W••••••• M••• · LLC Member
        since 04/2007 · owns 5% to 10%
      Entity owners
      • E•••••• H••••••• G••••• L•• · LLC Member
        direct · owns 50% to 75%
      • R•••• T••••••• ••••••••• S• · Trustee
        indirect · owns F of X••••• T••••
      • X••••• T•••• · Owner
        indirect · owns 75% or more of N••••• C••••
      • O•••••• F••• L•• S•• · LLC Member
        direct · owns 10% to 25%
      • N••••• C•••• · Owner
        indirect · owns 25% to 50% of O•••••• F••• L•• S••
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Vila O••••••, Sp Cep, Brazil
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 5
        Dec 22, 2011 to Apr 1, 2013
      • Advisory employees · unset to 4.0
        Dec 22, 2011 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Dec 22, 2011 to Apr 1, 2013
      • Assets in custody · $21.0M to $24.0M
        Dec 22, 2011 to Apr 1, 2013
      • Employees · unset to 25.0
        Dec 22, 2011 to Apr 1, 2013
      Full history · 9 changes
      • HQ city · NEW YORK to LOCUST VALLEY
        Dec 22, 2011 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Dec 22, 2011 to Apr 1, 2013
      • Non-discretionary RAUM · $352M to $553M
        Dec 22, 2011 to Apr 1, 2013
      • RAUM · $398M to $599M
        Dec 22, 2011 to Apr 1, 2013
      Signals
      1 dated events
      • ••• Locked
        Aug 13, 2013 · ria registration change · fact
      Across DFX
      shared identifiers only, never a name match
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026