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••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 161667SEC 801-73983IAPD
Latest filing Apr 29, 2014
First filing on the tape Feb 14, 2012 · 7 filings
RAUM
$87.4M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$101M gross assets
History
7 filings and snapshots on the tape
RAUM$87.4M as of Mar 31, 2014
Mar 28, 2013$241M 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)3 as of Mar 31, 2014
Mar 28, 20133 then
Private funds2 as of Mar 31, 2014
Mar 28, 20131 then
RAUM -64% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 29, 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
$17.5MderivedRAUM 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 pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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
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
$0 for 0 clientsreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••••••• C•••••• P••••••• I•• L•••Private Equity Fund$69.4M55Feb 14, 2012
      D•••• P•••••••• I••••••••• L••Private Equity Fund$22.5M7Apr 29, 2014
      A• C••••••••• L••Private Equity Fund$8.3M6Apr 29, 2014
      E••••••• C••••••••• P••••••••• I•• L•••Private Equity Fund$1.0M15Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• R•••• P••••••• · Chief Compliance Officercontrol
        since 02/2012 · owns less than 5%
      • M••••• N••••• · Senior Managing Directorcontrol
        since 10/2003 · owns less than 5%
      Entity owners
      • E••••••• P••••••• S••••••• E••• L••••• · Managing Member
        direct · owns 75% or more
      • E••••••• G•••• H••••••• L••••• · General Partner
        indirect · owns F of E••••••• G•••• H••••••• L•••
      • E••••••• G•••• H••••••• L••• · Managing Member
        indirect · owns 75% or more of E••••••• P••••••• S••••••• E••• L•••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Private funds · 2 to 4
        Mar 31, 2014 to Apr 29, 2014
      • Accounts · 2 to 5
        Jul 26, 2013 to Mar 31, 2014
      • Assets in custody · unset to 0.0
        Jul 26, 2013 to Mar 31, 2014
      • Custody of client assets · false to true
        Jul 26, 2013 to Mar 31, 2014
      • Private funds · 1 to 2
        Jul 26, 2013 to Mar 31, 2014
      • Discretionary RAUM · $241M to $87.4M
        Jul 26, 2013 to Mar 31, 2014
      • RAUM · $241M to $87.4M
        Jul 26, 2013 to Mar 31, 2014
      • Advisory employees · unset to 3.0
        Feb 14, 2012 to Mar 28, 2013
      • BD registered reps · unset to 1.0
        Feb 14, 2012 to Mar 28, 2013
      • Employees · unset to 3.0
        Feb 14, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Mar 28, 2013
      • Discretionary RAUM · $347M to $241M
        Feb 14, 2012 to Mar 28, 2013
      • RAUM · $347M to $241M
        Feb 14, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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
      Across the graphs

      E••••••• A••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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