DFX Intelligence
RIA Intelligence
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SEC-registered adviser
E••••••• C•••••• P•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 14, 2012 · 21 filings
SEC status approved since Mar 19, 2012
RAUM
$96.0M
reported, Item 5.F
Discretionary
22%
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
12
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
6
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$96.0M as of Mar 31, 2026
Apr 1, 2013$153M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 1, 20130 then
Employees (5.A)12 as of Mar 31, 2026
Apr 1, 201310 then
Private funds6 as of Mar 31, 2026
Apr 1, 20136 then
RAUM -8.4% over the last fiscal year-41% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $12.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 22%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $96.2M, 8 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)
- 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
- Pooled investment vehicles$96.0M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $96.2M for 8 clientsreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
Private funds
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••••••• C•••••• P••••••• I•• L• | Other Private Fund | $72.4M | 2 | Mar 22, 2022 |
| E••••••• L•••••• P•••••••• L•• | Other Private Fund | $46.5M | 2 | Mar 30, 2016 |
| E•• S•• 1• L••no longer reported | Other Private Fund | $35.0M | 1 | Feb 14, 2012 |
| E••••••• I••••••••• L•• | Other Private Fund | $26.5M | 33 | Feb 14, 2012 |
| E•• S•• 2• L••no longer reported | Other Private Fund | $11.5M | 1 | Feb 14, 2012 |
| E••••••• C•••••• P••••••• V•••• L• | Other Private Fund | $11.0M | 49 | Mar 25, 2019 |
| A•• A•••••• E••••••• L•• | Other Private Fund | $7.0M | 2 | Sep 20, 2019 |
| E••••••• C•••••• P••••••• V••• L• | Other Private Fund | $1.7M | 50 | Mar 30, 2016 |
| E••••••• C•••••• P••••••• V•• L• | Other Private Fund | $1.0M | 33 | Mar 31, 2014 |
| C••••••• I•••• I• C••••••no longer reported | Other Private Fund | $926,825 | 4 | Feb 14, 2012 |
| E••••••• C•••••• P••••••• V• L•no longer reported | Other Private Fund | $655,045 | 92 | Feb 14, 2012 |
| E••••••• C•••••• P••••••• I•• L•no longer reported | Other Private Fund | $225,034 | 94 | Feb 14, 2012 |
| C••••••• I•••• I• C••••••no longer reported | Other Private Fund | $0 | 9 | Feb 14, 2012 |
| C••••••• P••••••• I• C••••••no longer reported | Other Private Fund | $0 | 2 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• D•••••• P•••••• · Senior Managing Directorcontrolsince 05/2004 · owns less than 5%
- D•••• M••••••• F•••••• · Chief Financial Officer And Chief Compliance Officercontrolsince 02/2012 · owns less than 5%
- C••••••• D•••••• P•••••• · Membercontrolsince 05/2004 · owns 75% or more of Dpc Ma B••••••• Trust,LLC
Entity owners
- D•• M• B••••••• T••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- E••••••• C•••••• P••••••• I• G•• L••pooled vehicle sponsorn
- E••••••• C•••••• P••••••• V• G•• L••pooled vehicle sponsorn
- E••••••• C•••••• P••••••• V•• G•• L••pooled vehicle sponsorn
- E••••••• C•••••• P••••••• V•••• G•• L••pooled vehicle sponsorn
- E••••••• F••• M••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 83.0% to 22.0% between the annual amendments of 2025-03-26 and 2026-03-31peers: asset managers, under $100M (329)
What changed
consecutive filings, newest first
- Assets in custody · $105M to $96.2MMar 26, 2025 to Mar 31, 2026
- Private funds · 8 to 6Mar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $87.5M to $20.6MMar 26, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $17.3M to $75.3MMar 26, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $105M to $96.0MMar 26, 2025 to Mar 31, 2026
- RAUM · $105M to $96.0MMar 26, 2025 to Mar 31, 2026
- Accounts · 7 to 8Mar 21, 2024 to Mar 26, 2025
- Pooled vehicle clients · 7 to 8Mar 21, 2024 to Mar 26, 2025
- Assets in custody · $166M to $105MMar 21, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Mar 21, 2024 to Mar 26, 2025
- Private funds · 7 to 8Mar 21, 2024 to Mar 26, 2025
- Discretionary RAUM · $140M to $87.5MMar 21, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $26.5M to $17.3MMar 21, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $166M to $105MMar 21, 2024 to Mar 26, 2025
- RAUM · $166M to $105MMar 21, 2024 to Mar 26, 2025
- Advisory employees · 8 to 7Mar 28, 2023 to Mar 21, 2024
- Assets in custody · $471M to $166MMar 28, 2023 to Mar 21, 2024
- Employees · 11 to 12Mar 28, 2023 to Mar 21, 2024
- Discretionary RAUM · $435M to $140MMar 28, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $35.4M to $26.5MMar 28, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $471M to $166MMar 28, 2023 to Mar 21, 2024
- RAUM · $471M to $166MMar 28, 2023 to Mar 21, 2024
- Advisory employees · 7 to 8Apr 19, 2022 to Mar 28, 2023
- Assets in custody · $366M to $471MApr 19, 2022 to Mar 28, 2023
- Employees · 12 to 11Apr 19, 2022 to Mar 28, 2023
- Discretionary RAUM · $331M to $435MApr 19, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $35.4M to $35.4MApr 19, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $366M to $471MApr 19, 2022 to Mar 28, 2023
- RAUM · $366M to $471MApr 19, 2022 to Mar 28, 2023
- Accounts · 8 to 7Mar 23, 2021 to Mar 22, 2022
- Advisory employees · 6 to 7Mar 23, 2021 to Mar 22, 2022
- Pooled vehicle clients · 8 to 7Mar 23, 2021 to Mar 22, 2022
- Assets in custody · $319M to $366MMar 23, 2021 to Mar 22, 2022
- Employees · 13 to 12Mar 23, 2021 to Mar 22, 2022
- Private funds · 6 to 7Mar 23, 2021 to Mar 22, 2022
- Discretionary RAUM · $289M to $331MMar 23, 2021 to Mar 22, 2022
- Non-discretionary RAUM · $30.5M to $35.4MMar 23, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $319M to $366MMar 23, 2021 to Mar 22, 2022
- RAUM · $319M to $366MMar 23, 2021 to Mar 22, 2022
- Advisory employees · 7 to 6Mar 27, 2020 to Mar 23, 2021
Signals
2 dated events
- E••••••• C•••••• P•••••••• L•• reported RAUM $166.1M, down 65% from $470.6M (2023-03-28 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- E••••••• C•••••• P•••••••• L•• reported RAUM $470.6M, up 29% from $366.0M (2022-04-19 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- E••••••• C•••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/E•••••••-CAPITAL/ABOUTreportedpublic record, Form ADV, Sep 21, 2026
- Website
- E•••••••CP.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 617-969-6700reportedpublic record, Form ADV, Mar 31, 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