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•••• M••••••••• I• L••

Former SEC-registered adviserAllentown, PennsylvaniaCRD 164298SEC 801-100380IAPD
Latest filing Mar 23, 2022
First filing on the tape Jun 9, 2015 · 10 filings
RAUM
$466M
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
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$466M gross assets
History
10 filings and snapshots on the tape
RAUM$466M as of Mar 23, 2022
Mar 14, 2016$258M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2022
Mar 14, 20160 then
Employees (5.A)5 as of Mar 23, 2022
Mar 14, 20167 then
Private funds2 as of Mar 23, 2022
Mar 14, 20162 then
RAUM +24% over the last fiscal year+9.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 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
$233MderivedRAUM 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
+24%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
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)
  • 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$466M100%
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, 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N•••• A••••••• S••••••••• E••••• F•••• L•••Private Equity Fund$341M1Mar 30, 2015
      E••••• P•••• P••••••• F••• I• L•••Private Equity Fund$125M2May 18, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• B••••• K•••• · Cao And Cco, Epp Service Company, LLCcontrol
        since 11/2016 · owns less than 5%
      • P•••• H••••• S••••• · Managing Member, E••••• P•••• M••••••••• I• L•• And E••••• P•••• P••••••• G• I• L•••••control
        since 06/2009 · owns 50% to 75%
      • P•••••• J•••••• P••• · Managing Member, E••••• P•••• M••••••••• I• L•• And E••••• P•••• P••••••• G• I• L•••••control
        since 06/2009 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • E••••• P•••• P••••••• G• I• L•••••
        pooled vehicle sponsorn
      • N•••• A••••••• S••••••••• E••••• G•• L••
        pooled vehicle sponsorn
      • N•••• A••••••• S••••••••• E••••• M••••••• L••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 5
        Mar 24, 2021 to Mar 23, 2022
      • Employees · 4 to 5
        Mar 24, 2021 to Mar 23, 2022
      • Discretionary RAUM · $376M to $466M
        Mar 24, 2021 to Mar 23, 2022
      • Pooled vehicle RAUM · $376M to $466M
        Mar 24, 2021 to Mar 23, 2022
      • RAUM · $376M to $466M
        Mar 24, 2021 to Mar 23, 2022
      • Discretionary RAUM · $368M to $376M
        Mar 16, 2020 to Mar 24, 2021
      • Pooled vehicle RAUM · $368M to $376M
        Mar 16, 2020 to Mar 24, 2021
      • RAUM · $368M to $376M
        Mar 16, 2020 to Mar 24, 2021
      • Discretionary RAUM · $354M to $368M
        Mar 7, 2019 to Mar 16, 2020
      • Pooled vehicle RAUM · $354M to $368M
        Mar 7, 2019 to Mar 16, 2020
      • RAUM · $354M to $368M
        Mar 7, 2019 to Mar 16, 2020
      • Advisory employees · 5 to 4
        Mar 16, 2018 to Mar 7, 2019
      • Employees · 5 to 4
        Mar 16, 2018 to Mar 7, 2019
      • Discretionary RAUM · $358M to $354M
        Mar 16, 2018 to Mar 7, 2019
      • Pooled vehicle RAUM · $358M to $354M
        Mar 16, 2018 to Mar 7, 2019
      • RAUM · $358M to $354M
        Mar 16, 2018 to Mar 7, 2019
      • Pooled vehicle clients · unset to 2.0
        Mar 28, 2017 to Mar 16, 2018
      • HQ city · SANTA MONICA to ALLENTOWN
        Mar 28, 2017 to Mar 16, 2018
      • HQ state · CA to PA
        Mar 28, 2017 to Mar 16, 2018
      • Other offices · unset to 0.0
        Mar 28, 2017 to Mar 16, 2018
      • Discretionary RAUM · $371M to $358M
        Mar 28, 2017 to Mar 16, 2018
      • Pooled vehicle RAUM · unset to 357874062.0
        Mar 28, 2017 to Mar 16, 2018
      • RAUM · $371M to $358M
        Mar 28, 2017 to Mar 16, 2018
      • Advisory employees · 7 to 5
        Mar 14, 2016 to Mar 28, 2017
      • Employees · 7 to 5
        Mar 14, 2016 to Mar 28, 2017
      • Discretionary RAUM · $258M to $371M
        Mar 14, 2016 to Mar 28, 2017
      • RAUM · $258M to $371M
        Mar 14, 2016 to Mar 28, 2017
      • Discretionary RAUM · $202M to $258M
        Jun 17, 2015 to Mar 14, 2016
      • RAUM · $202M to $258M
        Jun 17, 2015 to Mar 14, 2016
      • Private funds · 4 to 2
        Jun 9, 2015 to Jun 17, 2015
      Signals
      1 dated events
      • E••••• P•••• M••••••••• I• L•• filed its initial SEC registration (Form ADV)
        Jun 9, 2015 · First SEC registration · fact
      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