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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SEC-registered adviser
E••••••• C•••••• P•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 11, 2014 · 21 filings
SEC status approved since Apr 1, 2014
RAUM
$4.2B
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
13
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$4.2B as of Mar 31, 2026
Mar 27, 2015$443M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 27, 20150 then
Employees (5.A)13 as of Mar 31, 2026
Mar 27, 20159 then
Private funds3 as of Mar 31, 2026
Mar 27, 20152 then
RAUM +19% over the last fiscal year+6.7% 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
- $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
- +19%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 vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $3.4B, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.1B97%
- Investment companies$134M3.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 18reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.4B for 8 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••••••• G••••• M••••• F•••• L••• | Hedge Fund | $1.5B | 534 | May 2, 2013 |
| E••••••• I••••••••• M••••• F•••• L••• | Other Private Fund | $933M | 34 | Feb 25, 2019 |
| A•• T•••••• S•• S••••• E• S••••••••• P•••••••• | Hedge Fund | $20.8M | 1 | Mar 11, 2014 |
| E••••••• N•• E••••• M••••• F•••• L••• | Other Private Fund | $20.3M | 5 | Mar 28, 2024 |
| E••••••• E••••••• I••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $14.6M | 3 | Nov 22, 2019 |
Owners and control persons
Schedule A and B, latest filing
- S•••••• J••••• O•••• · Membercontrolsince 04/2012 · owns 75% or more
- Z•••• R••• N•• · Managing Membercontrolsince 10/2023 · owns less than 5%
- S•••••• J••••• O•••• · Membercontrolsince 02/2013 · owns 50% to 75% of E••••••• P••••••••• •••• L••
- Z•••• R••• N•• · Managing Membercontrolsince 10/2023 · owns 50% to 75% of E••••••• P••••••••• •••• L••
- K•••••• A••••• A••••• · Chief Financial Officer/Chief Compliance Officersince 10/2012 · owns less than 5%
Entity owners
- E••••••• P••••••••• •••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- E••••••• G•• L••bankpooled vehicle sponsorn
- E••••••• I••••••••• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 9 to 8Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $2.9B to $3.4BMar 31, 2025 to Mar 31, 2026
- Employees · 16 to 13Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.5B to $4.2BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.4B to $4.1BMar 31, 2025 to Mar 31, 2026
- RAUM · $3.5B to $4.2BMar 31, 2025 to Mar 31, 2026
- Accounts · 17 to 18Aug 26, 2024 to Mar 31, 2025
- Pooled vehicle clients · 15 to 16Aug 26, 2024 to Mar 31, 2025
- Assets in custody · $2.4B to $2.9BAug 26, 2024 to Mar 31, 2025
- Financial planning clients · unset to Aug 26, 2024 to Mar 31, 2025
- Private funds · 4 to 3Aug 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $3.1B to $3.5BAug 26, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $3.0B to $3.4BAug 26, 2024 to Mar 31, 2025
- RAUM · $3.1B to $3.5BAug 26, 2024 to Mar 31, 2025
- Accounts · 15 to 17Apr 10, 2023 to Mar 28, 2024
- Pooled vehicle clients · 13 to 15Apr 10, 2023 to Mar 28, 2024
- Assets in custody · $2.4B to $2.4BApr 10, 2023 to Mar 28, 2024
- Private funds · 3 to 4Apr 10, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.5B to $3.1BApr 10, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $3.2B to $3.0BApr 10, 2023 to Mar 28, 2024
- RAUM · $3.5B to $3.1BApr 10, 2023 to Mar 28, 2024
- Accounts · 14 to 15Oct 6, 2022 to Mar 29, 2023
- Advisory employees · 8 to 9Oct 6, 2022 to Mar 29, 2023
- Assets in custody · $0 to $2.4BOct 6, 2022 to Mar 29, 2023
- Employees · 14 to 16Oct 6, 2022 to Mar 29, 2023
- Discretionary RAUM · $3.4B to $3.5BOct 6, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $3.3B to $3.2BOct 6, 2022 to Mar 29, 2023
- RAUM · $3.4B to $3.5BOct 6, 2022 to Mar 29, 2023
- Accounts · 13 to 14Mar 31, 2021 to Mar 21, 2022
- Advisory employees · 6 to 8Mar 31, 2021 to Mar 21, 2022
- Pooled vehicle clients · 12 to 13Mar 31, 2021 to Mar 21, 2022
- Assets in custody · $2.0B to $0Mar 31, 2021 to Mar 21, 2022
- Employees · 11 to 14Mar 31, 2021 to Mar 21, 2022
- Discretionary RAUM · $2.8B to $3.4BMar 31, 2021 to Mar 21, 2022
- Pooled vehicle RAUM · $2.7B to $3.3BMar 31, 2021 to Mar 21, 2022
- RAUM · $2.8B to $3.4BMar 31, 2021 to Mar 21, 2022
- Accounts · 12 to 13Mar 30, 2020 to Mar 31, 2021
- Advisory employees · 7 to 6Mar 30, 2020 to Mar 31, 2021
- Advisory activities · 1 to 2Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $1.6B to $2.0BMar 30, 2020 to Mar 31, 2021
Signals
5 dated events
- Nmn Ran Zhou (Managing Member) appeared on Schedule A of E••••••• C•••••• P•••••••• L••Mar 28, 2024 · Control person joined · fact
- E••••••• C•••••• P•••••••• L•• reported RAUM $2.8B, up 50% from $1.9B (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- E••••••• C•••••• P•••••••• L•• reported RAUM $1.7B, up 40% from $1.2B (2019-02-25 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- E••••••• C•••••• P•••••••• L•• reported RAUM $1.2B, up 31% from $908.6M (2017-03-30 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- E••••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Mar 11, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E••••••• C•••••• P•••••••• L•• · Private Equityshared crd · intermediary
- E••••••• C•••••• P•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- E•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-554-1800reportedpublic 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