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 adviserNorwalk, ConnecticutCRD 161694SEC 801-74485IAPD
Latest filing May 13, 2019
First filing on the tape Mar 1, 2012 · 20 filings
RAUM
$16.9M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$16.9M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
$16.9M gross assets
History
20 filings and snapshots on the tape
RAUM$16.9M as of Mar 29, 2019
Mar 28, 2013$502M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 28, 20130 then
Employees (5.A)3 as of Mar 29, 2019
Mar 28, 201310 then
Private funds7 as of Mar 29, 2019
Mar 31, 20142 then
RAUM -97% over the last fiscal year-69% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of May 13, 2019; every figure names its basis
RAUM per advisor
$16.9MderivedRAUM 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
$5.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-97%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$9.8M, 1 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$16.9M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
0reported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$9.8M for 1 clientsreported
Compensation
fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
G••••• M••• O•••••Norwalk, CtSep 20, 201914 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      10 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••••• C•••••• A••••••••• F••• B•••no longer reportedHedge Fund$149M1,220Mar 31, 2014
      Q•••••• M••••• F••• S•• L•••Hedge Fund$9.8M105Mar 31, 2014
      M•••••• N•••• A••••• F•••• L••Other Private Fund$6.2M24Mar 28, 2012
      W••••••• O••••••• F••• I•• L•••no longer reportedHedge Fund$753,3728Apr 16, 2014
      M•••••• N•••• A••••• F•••• L••Other Private Fund$426,58110Mar 28, 2012
      M•••••• N•••• O••••••••• F•••• L••Other Private Fund$374,89827Mar 28, 2012
      O••••••• F•••• L•••no longer reportedHedge Fund$297,0004Apr 16, 2014
      M•••••• N•••• O••••••••• F•••• L••Other Private Fund$23,07114Mar 28, 2012
      M•••••• N•••• O••••••••• M••••• F•••• L••Other Private Fund$02Jan 30, 2013
      M•••••• N•••• A••••• M••••• F•••• L••Other Private Fund$02Jan 30, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • L••• A•• · Executive Committee Membercontrol
        since 02/2012 · owns less than 5%
      • L••••• G•• · Managercontrol
        since 06/2016 · owns less than 5%
      • M•••••••• J••••• S•••••• · Ownercontrol
        since 06/2016 · owns 10% to 25%
      • O•••••• G•••••• M••• · Executive Committee Member, Manager And Chief Compliance Officercontrol
        since 02/2012 · owns less than 5%
      • S•••••••• M••••••• K•••••• · Owner And Managercontrol
        since 06/2016 · owns 10% to 25%
      • O•••••• G•••••• M••• · Ownercontrol
        since 06/2016 · owns 75% or more of G••• L••
      • C•••••• N•••••• J•••• · Owner
        since 06/2016 · owns less than 5%
      • G••••••• D•••• · Owner
        since 06/2016 · owns 5% to 10%
      • H••••••• D••••• J••• · Owner
        since 06/2016 · owns 5% to 10%
      • H•••••• E•••••• M••••• · Owner
        since 06/2016 · owns 10% to 25%
      • M••••••• F••••• N••••• R••••••• · Owner
        since 06/2016 · owns 5% to 10%
      Entity owners
      • G••• L•• · Owner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Advisers that list E•• A•••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Related adviser · true to false
        Apr 12, 2019 to May 13, 2019
      • Related broker-dealer · false to true
        Apr 12, 2019 to May 13, 2019
      • Accounts · 6 to 3
        Oct 1, 2018 to Mar 29, 2019
      • Advisory employees · 3 to 2
        Oct 1, 2018 to Mar 29, 2019
      • Pension plan clients · 1 to 0
        Oct 1, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 3 to 2
        Oct 1, 2018 to Mar 29, 2019
      • Assets in custody · $130M to $9.8M
        Oct 1, 2018 to Mar 29, 2019
      • Employees · 6 to 3
        Oct 1, 2018 to Mar 29, 2019
      • Other offices · 1 to 0
        Oct 1, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $573M to $16.9M
        Oct 1, 2018 to Mar 29, 2019
      • Pension RAUM · 1700000.0 to unset
        Oct 1, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $146M to $16.9M
        Oct 1, 2018 to Mar 29, 2019
      • RAUM · $573M to $16.9M
        Oct 1, 2018 to Mar 29, 2019
      • Related bank · true to false
        Oct 1, 2018 to Mar 29, 2019
      • Accounts · 7 to 6
        Jan 8, 2018 to Mar 29, 2018
      • Pension plan clients · unset to 1.0
        Jan 8, 2018 to Mar 29, 2018
      • Pooled vehicle clients · unset to 3.0
        Jan 8, 2018 to Mar 29, 2018
      • Assets in custody · $119M to $130M
        Jan 8, 2018 to Mar 29, 2018
      • Employees · 8 to 6
        Jan 8, 2018 to Mar 29, 2018
      • Private funds · 8 to 7
        Jan 8, 2018 to Mar 29, 2018
      • Non-discretionary RAUM · $526M to $573M
        Jan 8, 2018 to Mar 29, 2018
      • Pension RAUM · unset to 1700000.0
        Jan 8, 2018 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 145738094.0
        Jan 8, 2018 to Mar 29, 2018
      • RAUM · $526M to $573M
        Jan 8, 2018 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 30, 2017 to Jan 8, 2018
      • Accounts · 8 to 7
        Jul 19, 2016 to Mar 30, 2017
      • BD registered reps · 0 to 1
        Jul 19, 2016 to Mar 30, 2017
      • Assets in custody · $17.8M to $119M
        Jul 19, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $558M to $526M
        Jul 19, 2016 to Mar 30, 2017
      • RAUM · $558M to $526M
        Jul 19, 2016 to Mar 30, 2017
      • Private funds · 2 to 8
        Mar 30, 2016 to May 10, 2016
      • Non-discretionary RAUM · $587M to $558M
        Mar 30, 2016 to May 10, 2016
      • RAUM · $587M to $558M
        Mar 30, 2016 to May 10, 2016
      • Accounts · 9 to 8
        May 13, 2015 to Mar 30, 2016
      • Assets in custody · unset to 17750000.0
        May 13, 2015 to Mar 30, 2016
      • Custody of client assets · false to true
        May 13, 2015 to Mar 30, 2016
      • HQ city · BOSTON to NORWALK
        May 13, 2015 to Mar 30, 2016
      • HQ state · MA to CT
        May 13, 2015 to Mar 30, 2016
      • Private funds · 3 to 2
        May 13, 2015 to Mar 30, 2016
      • Discretionary RAUM · $149M to $0
        May 13, 2015 to Mar 30, 2016
      Signals
      1 dated events
      • E•• A•••• M••••••••• L•• reported RAUM $16.9M, down 97% from $572.8M (2018-10-01 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      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
      Website
      ERGASSETMANAGEMENT.COMreportedpublic record, Form ADV, Sep 19, 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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $16.9Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026