DFX Intelligence
RIA Intelligence
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SEC-registered adviser
E•••••• C••••••
Legal name E•••••• A•••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Nov 14, 2014 · 14 filings
SEC status approved since Sep 27, 2021
RAUM
$307M
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
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$307M as of Mar 27, 2026
Apr 1, 2015$158M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Apr 1, 20150 then
Employees (5.A)4 as of Mar 27, 2026
Apr 1, 20157 then
Private funds1 as of Mar 27, 2026
Apr 1, 20153 then
RAUM -18% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $76.8MderivedRAUM 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
- -18%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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$307M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••••• M••••• F•••• L• | Hedge Fund | $253M | 59 | Mar 26, 2014 |
| E•••••• O•••••• F••• L•no longer reported | Hedge Fund | $47.2M | 36 | Aug 21, 2013 |
| E•••••• F•••• F•••• L•no longer reported | Hedge Fund | $0 | 0 | Nov 14, 2014 |
Owners and control persons
Schedule A and B, latest filing
- L•••••• S•••••• M•••••• · Managing Membercontrolsince 03/2013 · owns 75% or more
- H•• J•••• •••• · Chief Financial Officer, Chief Compliance Officersince 07/2018 · owns less than 5%
Related persons
Schedule D 7.A
- E•••••• G•••••• P•••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7 to 4Feb 20, 2025 to Mar 27, 2026
- Pooled vehicle clients · 7 to 4Feb 20, 2025 to Mar 27, 2026
- Discretionary RAUM · $377M to $307MFeb 20, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $377M to $307MFeb 20, 2025 to Mar 27, 2026
- RAUM · $377M to $307MFeb 20, 2025 to Mar 27, 2026
- Accounts · 6 to 7Feb 2, 2024 to Feb 20, 2025
- Pooled vehicle clients · 6 to 7Feb 2, 2024 to Feb 20, 2025
- Financial planning clients · unset to Feb 2, 2024 to Feb 20, 2025
- HQ city · unset to Feb 2, 2024 to Feb 20, 2025
- HQ state · unset to Feb 2, 2024 to Feb 20, 2025
- Discretionary RAUM · $363M to $377MFeb 2, 2024 to Feb 20, 2025
- Pooled vehicle RAUM · $363M to $377MFeb 2, 2024 to Feb 20, 2025
- RAUM · $363M to $377MFeb 2, 2024 to Feb 20, 2025
- Discretionary RAUM · $229M to $363MOct 9, 2023 to Feb 2, 2024
- Pooled vehicle RAUM · $229M to $363MOct 9, 2023 to Feb 2, 2024
- RAUM · $229M to $363MOct 9, 2023 to Feb 2, 2024
- Discretionary RAUM · $199M to $229MMar 11, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $199M to $229MMar 11, 2022 to Mar 22, 2023
- RAUM · $199M to $229MMar 11, 2022 to Mar 22, 2023
- Accounts · 4 to 6Aug 25, 2021 to Mar 11, 2022
- Advisory employees · 1 to 3Aug 25, 2021 to Mar 11, 2022
- Pooled vehicle clients · 4 to 6Aug 25, 2021 to Mar 11, 2022
- Employees · 2 to 4Aug 25, 2021 to Mar 11, 2022
- Other offices · 1 to 0Aug 25, 2021 to Mar 11, 2022
- Private funds · 2 to 1Aug 25, 2021 to Mar 11, 2022
- Discretionary RAUM · $136M to $199MAug 25, 2021 to Mar 11, 2022
- Pooled vehicle RAUM · $136M to $199MAug 25, 2021 to Mar 11, 2022
- RAUM · $136M to $199MAug 25, 2021 to Mar 11, 2022
- Accounts · 5 to 4Mar 27, 2019 to Aug 25, 2021
- Advisory employees · 4 to 1Mar 27, 2019 to Aug 25, 2021
- Charity clients · 0.0 to unsetMar 27, 2019 to Aug 25, 2021
- Corporate clients · 0.0 to unsetMar 27, 2019 to Aug 25, 2021
- HNW clients · 0.0 to unsetMar 27, 2019 to Aug 25, 2021
- Individual clients · 0.0 to unsetMar 27, 2019 to Aug 25, 2021
- Pension plan clients · 0.0 to unsetMar 27, 2019 to Aug 25, 2021
- Pooled vehicle clients · 5 to 4Mar 27, 2019 to Aug 25, 2021
- Assets in custody · $327M to $0Mar 27, 2019 to Aug 25, 2021
- Employees · 9 to 2Mar 27, 2019 to Aug 25, 2021
- HQ city · NEW YORK to unsetMar 27, 2019 to Aug 25, 2021
- HQ state · NY to unsetMar 27, 2019 to Aug 25, 2021
Signals
7 dated events
- E•••••• C•••••• reported RAUM $362.7M, up 59% from $228.5M (2023-10-09 to 2024-02-02)Feb 2, 2024 · RAUM change · derived
- E•••••• C•••••• reported RAUM $136.5M, down 81% from $701.8M (2019-03-27 to 2021-08-25)Aug 25, 2021 · RAUM change · derived
- Jeffery Adam Wolfberg (Managing Member) no longer on Schedule A of E•••••• C•••••• (listed 2019-03-27, absent 2021-08-25)Aug 25, 2021 · Control person left · inference
- Hanif Dhanani (Chief Operating Officer And Chief Compliance Officer) no longer on Schedule A of E•••••• C•••••• (listed 2019-03-27, absent 2021-08-25)Aug 25, 2021 · Control person left · inference
- E•••••• C•••••• reported RAUM $701.8M, down 49% from $1.4B (2018-03-29 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- E•••••• C•••••• reported RAUM $1.4B, down 30% from $2.0B (2017-03-31 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- E•••••• C•••••• filed its initial SEC registration (Form ADV)Nov 14, 2014 · First SEC registration · fact
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
- Principal office phone
- 212-702-7155reportedpublic record, Form ADV, Mar 27, 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