DFX Intelligence

RIA Intelligence

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SEC-registered adviser

E••••••• C••••••• L•

Asset manager (funds and pooled vehicles)CRD 160611SEC 801-73523website IAPD

Latest filing Jul 10, 2026

First filing on the tape Feb 13, 2012 · 30 filings

SEC status approved since Mar 14, 2012

RAUM

$9.8B

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

19 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

30 filings and snapshots on the tape

RAUM$9.8B as of Jul 10, 2026

Apr 1, 2013$6.6B then

HNW client RAUM$0 as of Jul 10, 2026

Mar 29, 2018$0 then

State-registered IARs (5.B.3)0 as of Jul 10, 2026

Apr 1, 20130 then

Employees (5.A)51 as of Jul 10, 2026

Apr 1, 201340 then

Private funds6 as of Jul 10, 2026

Apr 1, 20136 then

RAUM +8.2% over the last fiscal year+0.3% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jul 10, 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: unknownderivedHNW RAUM over HNW clients
Average account: $577MderivedRAUM 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: +8.2%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 vehiclesreportedItem 5.G
Custody: $8.3B, 13 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)
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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$9.8B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 17reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $8.3B for 13 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 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

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
E••••••• F••• M•••••• L•••	Hedge Fund	$3.3B	181	Feb 13, 2012
E••••••• P•••••••• L•••no longer reported	Hedge Fund	$2.6B	110	Feb 13, 2012
E••••••• F••• L••• M•••••• L•••	Hedge Fund	$2.5B	205	Mar 27, 2020
E••••••• F••• L•••• L•••no longer reported	Hedge Fund	$1.6B	68	Apr 1, 2014
E••••••• A•••• E•••••••• M••••• S••• L•••• S••••• O• B••••• O• A•• F•• T•• A•••••• O• S••••••••• P•••••••• • 1•• X• 5• P••••••••	Hedge Fund	$681M	11	Aug 16, 2023
E••••••• E•••••••• M•••••• L•••no longer reported	Hedge Fund	$679M	2	Apr 1, 2014
E••••••• P••••••• I•• L•••	Hedge Fund	$548M	79	Feb 13, 2012
E••••••• F••• I• M•••••• L•no longer reported	Hedge Fund	$456M	2	Aug 29, 2019
E••••••• P••••••• L••••••••• L•••no longer reported	Hedge Fund	$335M	27	Feb 13, 2012
E••••••• P••••••• L•••• L•••no longer reported	Hedge Fund	$333M	51	Feb 13, 2012
E••••••• F••• L•••••••• M•••••• L•••no longer reported	Hedge Fund	$309M	21	Feb 13, 2012
E• C•••••••• I• L•no longer reported	Hedge Fund	$139M	31	Feb 18, 2016
E••••••• C•••••• O••••••••• F•••• L•	Hedge Fund	$75.5M	92	Mar 31, 2022
E••••••• P••••••• L••• I•• L•	Hedge Fund	$45.8M	12	Mar 31, 2022
E••••••• P••••••• N••••••• L•••no longer reported	Hedge Fund	$23.5M	3	Aug 29, 2019

Owners and control persons

Schedule A and B, latest filing

H•••• S•••••• J••••••• · Chief Compliance Officercontrol
since 01/2015 · owns less than 5%
K••••• P•••• F•••••• · General Counselcontrol
since 06/2007 · owns less than 5%
M••••••• S•••••• · Principal And Chief Operating Officercontrol
since 01/2008 · owns 5% to 10%
O•••••• C••••• A•••••• · Chief Financial Officercontrol
since 12/2013 · owns less than 5%
S••••••• R••••• C••• · Chief Executive Officer And Chief Investment Officercontrol
since 12/1998 · owns 75% or more
S••••••• R••••• C••• · Managing Membercontrol
since 06/2014 · owns 75% or more of E••••••• C•••••• G•• L••

Entity owners

E••••••• C•••••• G•• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

E••••••• A•••• E•••••••• G•• L••
investment adviserbankpooled vehicle sponsorn
E••••••• G•• L••
investment adviserbankpooled vehicle sponsorn
E••••••• O••••••••• G•• L••
investment adviserpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

HQ city · NEW YORK to
May 14, 2026 to Jul 10, 2026
HQ state · NY to
May 14, 2026 to Jul 10, 2026
Accounts · 16 to 17
Jan 8, 2026 to Mar 30, 2026
Advisory employees · 20 to 19
Jan 8, 2026 to Mar 30, 2026
Pooled vehicle clients · 15 to 16
Jan 8, 2026 to Mar 30, 2026
Assets in custody · $7.2B to $8.3B
Jan 8, 2026 to Mar 30, 2026
Employees · 56 to 51
Jan 8, 2026 to Mar 30, 2026
Discretionary RAUM · $9.1B to $9.8B
Jan 8, 2026 to Mar 30, 2026
Pooled vehicle RAUM · $8.5B to $9.8B
Jan 8, 2026 to Mar 30, 2026
RAUM · $9.1B to $9.8B
Jan 8, 2026 to Mar 30, 2026
Financial planning clients · unset to
Mar 31, 2025 to Jun 3, 2025
Private funds · 5 to 6
Mar 31, 2025 to Jun 3, 2025
Accounts · 15 to 16
Apr 17, 2024 to Mar 31, 2025
Advisory employees · 22 to 20
Apr 17, 2024 to Mar 31, 2025
Pooled vehicle clients · 14 to 15
Apr 17, 2024 to Mar 31, 2025
Assets in custody · $7.2B to $7.2B
Apr 17, 2024 to Mar 31, 2025
Discretionary RAUM · $8.3B to $9.1B
Apr 17, 2024 to Mar 31, 2025
Pooled vehicle RAUM · $7.7B to $8.5B
Apr 17, 2024 to Mar 31, 2025
RAUM · $8.3B to $9.1B
Apr 17, 2024 to Mar 31, 2025
Accounts · 13 to 15
Aug 16, 2023 to Mar 28, 2024
Advisory employees · 25 to 22
Aug 16, 2023 to Mar 28, 2024
Pooled vehicle clients · 12 to 14
Aug 16, 2023 to Mar 28, 2024
Assets in custody · $8.5B to $7.2B
Aug 16, 2023 to Mar 28, 2024
Employees · 63 to 56
Aug 16, 2023 to Mar 28, 2024
Private funds · 6 to 5
Aug 16, 2023 to Mar 28, 2024
Discretionary RAUM · $9.7B to $8.3B
Aug 16, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $9.0B to $7.7B
Aug 16, 2023 to Mar 28, 2024
RAUM · $9.7B to $8.3B
Aug 16, 2023 to Mar 28, 2024
Private funds · 5 to 6
Mar 31, 2023 to Aug 16, 2023
Accounts · 14 to 13
Mar 31, 2022 to Mar 31, 2023
Pooled vehicle clients · 13 to 12
Mar 31, 2022 to Mar 31, 2023
Assets in custody · $9.1B to $8.5B
Mar 31, 2022 to Mar 31, 2023
Private funds · 8 to 5
Mar 31, 2022 to Mar 31, 2023
Discretionary RAUM · $11B to $9.7B
Mar 31, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $9.1B to $9.0B
Mar 31, 2022 to Mar 31, 2023
RAUM · $11B to $9.7B
Mar 31, 2022 to Mar 31, 2023
Accounts · 13 to 14
Mar 31, 2021 to Mar 31, 2022
Advisory employees · 24 to 25
Mar 31, 2021 to Mar 31, 2022
Pooled vehicle clients · 12 to 13
Mar 31, 2021 to Mar 31, 2022
Assets in custody · $10.0B to $9.1B
Mar 31, 2021 to Mar 31, 2022

Signals

3 dated events

E••••••• C••••••• L• reported RAUM $14.0B, up 66% from $8.4B (2019-08-29 to 2020-03-27)
Mar 27, 2020 · RAUM change · derived
E••••••• C••••••• L• reported RAUM $8.4B, down 28% from $11.8B (2019-02-01 to 2019-03-28)
Mar 28, 2019 · RAUM change · derived
E••••••• C••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Jul 31, 2014 · Succession (Item 4) · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Principal office phone: 212-418-2146reportedpublic record, Form ADV, Jul 10, 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