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• P•••••• E••••• U• I•••
Latest filing Apr 14, 2022
First filing on the tape Mar 21, 2019 · 6 filings
RAUM
$142M
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
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
6
$371M gross assets
History
6 filings and snapshots on the tape
RAUM$404M as of Mar 23, 2022
Mar 27, 2020$144M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2022
Mar 27, 20200 then
Employees (5.A)4 as of Mar 23, 2022
Mar 27, 20206 then
Private funds6 as of Mar 23, 2022
Mar 27, 20206 then
RAUM +10% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 14, 2022; 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
- $70.9MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +213%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$142M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••••• V••••••• P•••••• E••••• V• L• | Private Equity Fund | $94.7M | 20 | Mar 30, 2015 |
| E• P•••••• E••••• V• P••• L• | Private Equity Fund | $74.0M | 1 | Mar 21, 2019 |
| E••••• V••••••• I•• L• | Venture Capital Fund | $27.0M | 30 | Mar 29, 2012 |
| E••••• V••••••• I• L• | Venture Capital Fund | $14.6M | 35 | Mar 29, 2012 |
| E••••• V••••••• I• K• | Venture Capital Fund | $1.2M | 20 | Mar 29, 2012 |
| E••••• V••••••• I• B• I• | Venture Capital Fund | $470,000 | 15 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• P•••• · Chief Compliance Officercontrolsince 03/2019 · owns less than 5%
- P•••••• A••••• K•••• · Senior Partner & Presidentcontrolsince 12/2017 · owns less than 5%
- A•••••••• J••••• H• · Shareholdercontrolsince 06/2002 · owns 75% or more of F••• H•••••• A•
- G•••••• E•••• · Shareholdersince 03/2009 · owns 75% or more of G••••• I••••• A•
- T••••• H•••• · Shareholdersince 03/2009 · owns 75% or more of T•••••• I••••• A•
Entity owners
- E• P•••••• E••••• I•• A• · Shareholderdirect · owns 25% to 50%
- E• P•••••• E••••• I• A• · Shareholderdirect · owns 50% to 75%
- F••• A• · Shareholderindirect · owns 25% to 50% of E• P•••••• E••••• I•• A•
- F••• H•••••• A• · Shareholderindirect · owns 75% or more of F••• A•
- E••••• V••••••• H•••••• A• · Shareholderindirect · owns 25% to 50% of E• P•••••• E••••• I• A•
- G••••• I••••• A• · Shareholderindirect · owns 25% to 50% of E••••• V••••••• H•••••• A•
- T•••••• I••••• A• · Shareholderindirect · owns 25% to 50% of E••••• V••••••• H•••••• A•
Related persons
Schedule D 7.A
- E••••• V••••••• I• A•pooled vehicle sponsorn
- E••••• V••••••• I• B• A•pooled vehicle sponsorn
- E••••• V••••••• I•• ••• L•pooled vehicle sponsorn
- E••••• V••••••• I• ••• L•pooled vehicle sponsorn
- E• P•••••• E••••• I•• A•investment advisery
- E• P•••••• E••••• I• A•investment advisery
- E• P•••••• E••••• L••investment advisern
- E• P•••••• E••••• V• A•investment advisern
- E• P•••••• E••••• V• P••• A•investment advisern
Offices
Schedule D 1.F, the 25 largest
- Stavanger, Norway8 employees
- Aberdeen, United Kingdom6 employees
What changed
consecutive filings, newest first
- Accounts · 6 to 2Mar 23, 2022 to Apr 14, 2022
- Pooled vehicle clients · 6 to 2Mar 23, 2022 to Apr 14, 2022
- Discretionary RAUM · $404M to $142MMar 23, 2022 to Apr 14, 2022
- Pooled vehicle RAUM · $404M to $142MMar 23, 2022 to Apr 14, 2022
- RAUM · $404M to $142MMar 23, 2022 to Apr 14, 2022
- Accounts · 2 to 6Mar 29, 2021 to Mar 23, 2022
- Pooled vehicle clients · 2 to 6Mar 29, 2021 to Mar 23, 2022
- Discretionary RAUM · $129M to $404MMar 29, 2021 to Mar 23, 2022
- Pooled vehicle RAUM · $129M to $404MMar 29, 2021 to Mar 23, 2022
- RAUM · $129M to $404MMar 29, 2021 to Mar 23, 2022
- Accounts · 6 to 2Mar 27, 2020 to Mar 29, 2021
- Advisory employees · 5 to 4Mar 27, 2020 to Mar 29, 2021
- Pooled vehicle clients · 6 to 2Mar 27, 2020 to Mar 29, 2021
- Employees · 6 to 4Mar 27, 2020 to Mar 29, 2021
- Discretionary RAUM · $0 to $129MMar 27, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $144M to $0Mar 27, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $144M to $129MMar 27, 2020 to Mar 29, 2021
- RAUM · $144M to $129MMar 27, 2020 to Mar 29, 2021
- Accounts · 5 to 6Mar 29, 2019 to Mar 27, 2020
- Advisory employees · 4 to 5Mar 29, 2019 to Mar 27, 2020
- Pooled vehicle clients · 5 to 6Mar 29, 2019 to Mar 27, 2020
- Employees · 4 to 6Mar 29, 2019 to Mar 27, 2020
- Non-discretionary RAUM · $155M to $144MMar 29, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $155M to $144MMar 29, 2019 to Mar 27, 2020
- RAUM · $155M to $144MMar 29, 2019 to Mar 27, 2020
- Business name · E• P•••••• E••••• ••• I••• to E• P•••••• E••••• U• I•••Mar 21, 2019 to Mar 29, 2019
- Legal name · E• P•••••• E••••• ••• I••• to E• P•••••• E••••• U• I•••Mar 21, 2019 to Mar 29, 2019
- Private funds · 12 to 6Mar 21, 2019 to Mar 29, 2019
Signals
4 dated events
- E• P•••••• E••••• U• I••• reported RAUM $141.9M, down 65% from $403.8M (2022-03-23 to 2022-04-14)Apr 14, 2022 · RAUM change · derived
- E• P•••••• E••••• U• I••• reported RAUM $403.8M, up 213% from $128.9M (2021-03-29 to 2022-03-23)Mar 23, 2022 · RAUM change · derived
- J. M•••••• A•••••• (Partner) no longer on Schedule A of E• P•••••• E••••• U• I••• (listed 2020-03-27, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- E• P•••••• E••••• ••• I••• filed its initial SEC registration (Form ADV)Mar 21, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E• P•••••• E••••• U• I••• · Private Equityshared crd · organization
- E• P•••••• E••••• U• I••• · Venture Capitalshared crd · organization
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