DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

E•••• P•••••••• L•

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

Former SEC-registered adviser, based in New York, New York, reporting $307M of regulatory assets.

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

As of 2014-05-13 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $307M
RAUM change, 1 year: +368%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2014-05-13 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 13 May 2014, RAUM $65.5M to $307M (+368.4%) on the Form ADV filed 13 May 2014.

Every filed figure, and the identifiersCRD 160686 · SEC 801-73068 · 7 filingsShow

CRD 160686SEC 801-73068First filing on the tape Jan 19, 2012, latest May 13, 2014IAPD

RAUM

$307M

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

Not computed

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$136M gross assets

History

7 filings and snapshots on the tape

RAUM +368% over the last fiscal year · the tape starts Jan 19, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$186M as of Mar 31, 2014

Mar 30, 2012$22.9M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 31, 2014

Mar 28, 20130 then

Employees (5.A)8 as of Mar 31, 2014

Mar 28, 20138 then

Private funds1 as of Mar 31, 2014

Mar 30, 20121 then

RAUM +368% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of May 13, 2014; 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: $61.3MderivedRAUM 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: +184%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, otherreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $186M, 5 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)
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)

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: $186M for 5 clientsreported
Compensation: % of AUMreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every 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

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

Fund	Type	Gross assets	Owners	First reported
E•••• M••••• F•••• L•••	Hedge Fund	$136M	44	Jan 19, 2012

Owners and control persons

Schedule A and B, latest filing

E•••••• S••••• · Limited Partnercontrol
since 08/2011 · owns 75% or more
W•••••• M••• · Chief Compliance Officer And Chief Operating Officercontrol
since 08/2011 · owns less than 5%
E•••••• S••••• · Managing Membercontrol
since 08/2011 · owns 75% or more of E•••• P••••••• G•• L••

Entity owners

E•••• P••••••• G•• L•• · General Partner
direct · owns less than 5%
E••••• 2••• F••••• T•••• · Limited Partner
direct · owns 10% to 25%
S••••• E••••• 2••• G••• · Limited Partner
direct · owns 10% to 25%

Related persons

Schedule D 7.A

E•••• F••• G•• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $186M to $307M
Mar 31, 2014 to May 13, 2014
RAUM · $186M to $307M
Mar 31, 2014 to May 13, 2014
Accounts · 3 to 5
Mar 28, 2013 to Mar 31, 2014
Assets in custody · $65.5M to $186M
Mar 28, 2013 to Mar 31, 2014
Financial planning clients · 1-10 to unset
Mar 28, 2013 to Mar 31, 2014

Full history · 25 changes

Discretionary RAUM · $65.5M to $186M
Mar 28, 2013 to Mar 31, 2014
RAUM · $65.5M to $186M
Mar 28, 2013 to Mar 31, 2014
Accounts · 1 to 3
Aug 9, 2012 to Mar 28, 2013
Advisory employees · unset to 5.0
Aug 9, 2012 to Mar 28, 2013
BD registered reps · unset to 0.0
Aug 9, 2012 to Mar 28, 2013
Assets in custody · $56.6M to $65.5M
Aug 9, 2012 to Mar 28, 2013
Employees · unset to 8.0
Aug 9, 2012 to Mar 28, 2013
Financial planning clients · 0 to 1-10
Aug 9, 2012 to Mar 28, 2013
State-registered IARs · unset to 0.0
Aug 9, 2012 to Mar 28, 2013
Discretionary RAUM · $56.6M to $65.5M
Aug 9, 2012 to Mar 28, 2013
RAUM · $56.6M to $65.5M
Aug 9, 2012 to Mar 28, 2013
Assets in custody · $22.9M to $56.6M
Mar 30, 2012 to Aug 9, 2012
Discretionary RAUM · $22.9M to $56.6M
Mar 30, 2012 to Aug 9, 2012
RAUM · $22.9M to $56.6M
Mar 30, 2012 to Aug 9, 2012
Accounts · 0 to 1
Jan 19, 2012 to Mar 30, 2012
Assets in custody · $0 to $22.9M
Jan 19, 2012 to Mar 30, 2012
Financial planning clients · unset to 0
Jan 19, 2012 to Mar 30, 2012
Discretionary RAUM · $0 to $22.9M
Jan 19, 2012 to Mar 30, 2012
RAUM · $0 to $22.9M
Jan 19, 2012 to Mar 30, 2012
Related bank · false to true
Jan 19, 2012 to Mar 30, 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

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