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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Former SEC-registered adviser

E••• S••••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 160268SEC 801-73460IAPD

Latest filing Mar 31, 2023

First filing on the tape Feb 13, 2012 · 23 filings

RAUM

$12B

reported, Item 5.F

Discretionary

100%

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

15 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$11B gross assets

History

23 filings and snapshots on the tape

RAUM$12B as of Mar 31, 2023

Mar 21, 2013$932M then

HNW client RAUM: $0

State-registered IARs (5.B.3)0 as of Mar 31, 2023

Mar 21, 20130 then

Employees (5.A)29 as of Mar 31, 2023

Mar 21, 20135 then

Private funds12 as of Mar 31, 2023

Mar 21, 20132 then

RAUM -31% over the last fiscal year+2.7% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 31, 2023; 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: $529MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 7.0%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: -31%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
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)
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

Pooled investment vehicles$11B91%
Investment companies$280M2.3%
Pension and profit-sharing plans$267M2.2%
State and municipal entities$221M1.8%
Sovereign wealth funds$189M1.6%
Charitable organizations$173M1.4%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 23reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
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

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

Fund	Type	Gross assets	Owners	First reported
E••• S••••• G••••• S••••• I•• L•	Hedge Fund	$4.6B	278	Nov 16, 2015
E••• S••••• G••••• S•••••• L•	Hedge Fund	$2.2B	546	Nov 16, 2015
E••• S••••• S••••• P••• M••••• F•••• L•	Hedge Fund	$1.6B	61	Mar 1, 2022
E••• S••••• S••••• P••• O••••••• L•••	Hedge Fund	$1.2B	42	Nov 25, 2020
E••• S••••• S••••• P•••• L•	Hedge Fund	$963M	291	Nov 25, 2020
E••• S••••• G••••• S••••• O••••••• L•••	Hedge Fund	$569M	80	Nov 16, 2015
E••• S••••• G••••• N•• W•••• M••••• F•••• L•	Hedge Fund	$392M	30	May 26, 2022
E••• S••••• G••••• N•• W••••• L•	Hedge Fund	$361M	103	May 26, 2022
F••• A•no longer reported	Other Private Fund	$138M	8	Mar 29, 2019
E••• S••••• C•••••• P••••••• •••• L•no longer reported	Hedge Fund	$66.9M	164	Feb 13, 2012
E••• S••••• C•••••• M••••• F•••• L•no longer reported	Hedge Fund	$45.6M	81	Nov 13, 2014
E••• S••••• C•••••• P•••••••• L•no longer reported	Hedge Fund	$9.3M	95	Feb 13, 2012
E••• S••••• C•••••• C• 1• L••	Private Equity Fund	$4.8M	2	Mar 1, 2022
E••• S••••• G••••• S••••• I••• L•	Other Private Fund	$4.6M	23	Nov 25, 2020
E••• S••••• C•••••• C• 2• L••	Private Equity Fund	$4.3M	2	Feb 22, 2023

Owners and control persons

Schedule A and B, latest filing

C••••••••• M••••••• A•••• · Presidentcontrol
since 11/2018 · owns less than 5%
C•••• K••••• S•••• · Chief Financial Officercontrol
since 01/2019 · owns less than 5%
P••••• G••••• · Partnercontrol
since 01/2021 · owns less than 5%
P••••• G••••••• B•••• · Managing Membercontrol
since 02/2002 · owns 75% or more
P•••••• C•••••••• B••••• · Chief Compliance Officer And G•••••• Counselcontrol
since 03/2017 · owns less than 5%

Related persons

Schedule D 7.A

E••• S••••• C•••••• A••••••• L••
bankpooled vehicle sponsorn
E••• S••••• C•••••• G• L••
bankpooled vehicle sponsorn
E••• S••••• G••••• N• G• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 20 to 23
Feb 22, 2023 to Mar 31, 2023
Advisory employees · 14 to 15
Feb 22, 2023 to Mar 31, 2023
Pooled vehicle clients · 11 to 15
Feb 22, 2023 to Mar 31, 2023
Assets in custody · 642777043.0 to unset
Feb 22, 2023 to Mar 31, 2023
Custody of client assets · true to false
Feb 22, 2023 to Mar 31, 2023
Employees · 27 to 29
Feb 22, 2023 to Mar 31, 2023
Discretionary RAUM · $18B to $12B
Feb 22, 2023 to Mar 31, 2023
HNW RAUM · unset to 0.0
Feb 22, 2023 to Mar 31, 2023
Individual RAUM · unset to 0.0
Feb 22, 2023 to Mar 31, 2023
Pension RAUM · $370M to $267M
Feb 22, 2023 to Mar 31, 2023
Pooled vehicle RAUM · $16B to $11B
Feb 22, 2023 to Mar 31, 2023
RAUM · $18B to $12B
Feb 22, 2023 to Mar 31, 2023
Private funds · 11 to 12
May 26, 2022 to Feb 22, 2023
Private funds · 9 to 11
Apr 7, 2022 to May 26, 2022
Accounts · 15 to 20
Mar 1, 2022 to Mar 31, 2022
Advisory employees · 15 to 14
Mar 1, 2022 to Mar 31, 2022
Assets in custody · $530M to $643M
Mar 1, 2022 to Mar 31, 2022
Employees · 25 to 27
Mar 1, 2022 to Mar 31, 2022
Private funds · 10 to 9
Mar 1, 2022 to Mar 31, 2022
Discretionary RAUM · $13B to $18B
Mar 1, 2022 to Mar 31, 2022
Pension RAUM · $316M to $370M
Mar 1, 2022 to Mar 31, 2022
Pooled vehicle RAUM · $12B to $16B
Mar 1, 2022 to Mar 31, 2022
RAUM · $13B to $18B
Mar 1, 2022 to Mar 31, 2022
Private funds · 9 to 10
Mar 30, 2021 to Mar 1, 2022
Accounts · 14 to 15
Nov 25, 2020 to Mar 30, 2021
Advisory employees · 18 to 15
Nov 25, 2020 to Mar 30, 2021
Assets in custody · $484M to $530M
Nov 25, 2020 to Mar 30, 2021
Employees · 28 to 25
Nov 25, 2020 to Mar 30, 2021
Discretionary RAUM · $10.0B to $13B
Nov 25, 2020 to Mar 30, 2021
Pension RAUM · $227M to $316M
Nov 25, 2020 to Mar 30, 2021
Pooled vehicle RAUM · $9.0B to $12B
Nov 25, 2020 to Mar 30, 2021
RAUM · $10.0B to $13B
Nov 25, 2020 to Mar 30, 2021
Accounts · 10 to 14
Jul 20, 2020 to Nov 25, 2020
Advisory employees · 20 to 18
Jul 20, 2020 to Nov 25, 2020
Pension plan clients · 0.0 to unset
Jul 20, 2020 to Nov 25, 2020
Pooled vehicle clients · 9 to 11
Jul 20, 2020 to Nov 25, 2020
Assets in custody · $960M to $484M
Jul 20, 2020 to Nov 25, 2020
Employees · 30 to 28
Jul 20, 2020 to Nov 25, 2020
Private funds · 7 to 9
Jul 20, 2020 to Nov 25, 2020
Discretionary RAUM · $11B to $10.0B
Jul 20, 2020 to Nov 25, 2020

Signals

8 dated events

E••• S••••• C•••••• M••••••••• L•• reported RAUM $12.2B, down 31% from $17.7B (2023-02-22 to 2023-03-31)
Mar 31, 2023 · RAUM change · derived
E••• S••••• C•••••• M••••••••• L•• reported RAUM $17.7B, up 36% from $13.0B (2022-03-01 to 2022-03-31)
Mar 31, 2022 · RAUM change · derived
George Panos (Partner) appeared on Schedule A of E••• S••••• C•••••• M••••••••• L••
Mar 31, 2022 · Control person joined · fact
E••• S••••• C•••••• M••••••••• L•• reported RAUM $13.0B, up 31% from $10.0B (2020-11-25 to 2021-03-30)
Mar 30, 2021 · RAUM change · derived
Maxwell David Elias (Chief Operating Officer) no longer on Schedule A of E••• S••••• C•••••• M••••••••• L•• (listed 2020-07-20, absent 2020-11-25)
Nov 25, 2020 · Control person left · inference
E••• S••••• C•••••• M••••••••• L•• reported RAUM $11.2B, up 76% from $6.4B (2019-03-29 to 2020-03-27)
Mar 27, 2020 · RAUM change · derived
Skura Kelly Choi (Chief Financial Officer) appeared on Schedule A of E••• S••••• C•••••• M••••••••• L••
Mar 29, 2019 · Control person joined · fact
Adams Matthew Carpenter (President) appeared on Schedule A of E••• S••••• C•••••• M••••••••• L••
Mar 29, 2019 · Control person joined · fact

Across DFX

shared identifiers only, never a name match

E••• S••••• C•••••• M••••••••• 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