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•••••••• A•••• M••••••••• L••

Former SEC-registered adviserLondon, CRD 160618SEC 801-77238IAPD
Latest filing Jun 27, 2014
First filing on the tape Oct 4, 2012 · 11 filings
RAUM
$480M
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
19
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$330M gross assets
History
11 filings and snapshots on the tape
RAUM$480M as of Jun 27, 2014
Jun 27, 2013$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 27, 2014
Jun 27, 20130 then
Employees (5.A)19 as of Jun 27, 2014
Jun 27, 201327 then
Private funds1 as of Jun 27, 2014
Jun 27, 20132 then
RAUM -64% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 27, 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
$68.5MderivedRAUM 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
-64%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
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)
  • 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
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 departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• E•••••••• C••••• F•••Hedge Fund$133M35Feb 13, 2012
      T•• E•••••••• M••••• F•••Hedge Fund$37.3M115Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• H••• · Managing Partnercontrol
        since 06/2005 · owns less than 5%
      • M••••••••• M••••• · Chief Compliance Officercontrol
        since 05/2014 · owns less than 5%
      • T•••••• P••• · Chief Executive Officercontrol
        since 02/2011 · owns less than 5%
      • H•••••• H••• · Majority Shareholdercontrol
        since 03/2005 · owns 75% or more of E•••••••• M••••••••• L••••••
      Entity owners
      • E•••••••• S••••••• L•••••• · Partner
        direct · owns 50% to 75%
      • E•••••••• M••••••••• L•••••• · Majority Shareholder
        indirect · owns 75% or more of E•••••••• S••••••• L••••••
      Related persons
      Schedule D 7.A
      • E•••••••• M••••••••• L••••••
        investment adviserpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 11 to 5
        Jun 5, 2014 to Jun 27, 2014
      • Accounts · 9 to 7
        Jun 5, 2014 to Jun 27, 2014
      • Advisory activities · 3 to 2
        Jun 5, 2014 to Jun 27, 2014
      • Assets in custody · unset to 0.0
        Jun 5, 2014 to Jun 27, 2014
      • Employees · 27 to 19
        Jun 5, 2014 to Jun 27, 2014
      • Private funds · 2 to 1
        Jun 5, 2014 to Jun 27, 2014
      • Discretionary RAUM · $1.5B to $480M
        Jun 5, 2014 to Jun 27, 2014
      • RAUM · $1.5B to $480M
        Jun 5, 2014 to Jun 27, 2014
      • Assets in custody · 0.0 to unset
        May 23, 2014 to Jun 5, 2014
      • Custody of client assets · true to false
        May 23, 2014 to Jun 5, 2014
      • Discretionary RAUM · $1.3B to $1.5B
        Jun 27, 2013 to Jul 26, 2013
      • RAUM · $1.3B to $1.5B
        Jun 27, 2013 to Jul 26, 2013
      • Advisory employees · 10 to 11
        Mar 5, 2013 to Jun 27, 2013
      • Employees · 24 to 27
        Mar 5, 2013 to Jun 27, 2013
      • Discretionary RAUM · $1.3B to $1.3B
        Mar 5, 2013 to Jun 27, 2013
      • RAUM · $1.3B to $1.3B
        Mar 5, 2013 to Jun 27, 2013
      • Accounts · 8 to 9
        Nov 29, 2012 to Mar 4, 2013
      • Advisory activities · 2 to 3
        Nov 29, 2012 to Mar 4, 2013
      • Assets in custody · unset to 0.0
        Nov 29, 2012 to Mar 4, 2013
      • Custody of client assets · false to true
        Nov 29, 2012 to Mar 4, 2013
      • Employees · 22 to 24
        Nov 29, 2012 to Mar 4, 2013
      • Discretionary RAUM · $1.2B to $1.3B
        Nov 29, 2012 to Mar 4, 2013
      • RAUM · $1.2B to $1.3B
        Nov 29, 2012 to Mar 4, 2013
      • Advisory employees · unset to 10.0
        Oct 4, 2012 to Nov 9, 2012
      • BD registered reps · unset to 0.0
        Oct 4, 2012 to Nov 9, 2012
      • Employees · unset to 22.0
        Oct 4, 2012 to Nov 9, 2012
      • State-registered IARs · unset to 0.0
        Oct 4, 2012 to Nov 9, 2012
      • Private funds · 4 to 2
        Oct 4, 2012 to Nov 9, 2012
      Signals
      1 dated events
      • E•••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 4, 2012 · First SEC registration · fact
      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