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•• F••• M•••••• I•• L••
Latest filing Mar 25, 2026
First filing on the tape Jan 9, 2015 · 22 filings
SEC status approved since Mar 17, 2015
RAUM
$564M
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
17
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$564M as of Mar 25, 2026
Mar 18, 2016$177M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 18, 20160 then
Employees (5.A)17 as of Mar 25, 2026
Mar 18, 201610 then
Private funds6 as of Mar 30, 2020
Mar 18, 20165 then
RAUM -7.8% over the last fiscal year-1.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $51.3MderivedRAUM 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
- -7.8%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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$564M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••••• C•••• C•••••• I••••• F••• I•• L••no longer reported | Private Equity Fund | $135M | 240 | Mar 18, 2016 |
| E•••••• C•••• C•••••• I••••• F••• V• L••no longer reported | Private Equity Fund | $128M | 238 | Jun 22, 2018 |
| E•••••• C•••• C•••••• C••••• I••••• F••• V• L•no longer reported | Private Equity Fund | $127M | 127 | Jun 22, 2018 |
| E•••••• C•••• C•••••• C••••• I••••• F••• I•• L•no longer reported | Private Equity Fund | $106M | 90 | Mar 18, 2016 |
| E•• I••••• F••• S••••• C•• L••no longer reported | Private Equity Fund | $59.6M | 1 | Oct 13, 2016 |
| E•• I••••• F••• S••••• Y• L•no longer reported | Private Equity Fund | $21.1M | 1 | Jun 22, 2018 |
| E•••••• C•••• C•••••• F••• I•• L••no longer reported | Private Equity Fund | $10.3M | 94 | Oct 29, 2014 |
| E•• I••••• F••• S••••• X• L•no longer reported | Private Equity Fund | $5.8M | 1 | Oct 13, 2016 |
| E•••••• C•••• C•••••• F••• I••• L••no longer reported | Private Equity Fund | $4.1M | 94 | Oct 29, 2014 |
| E•••••• C•••• C•••••• C••••• F••• I•• L•no longer reported | Private Equity Fund | $3.2M | 27 | Oct 29, 2014 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• T•••• D••••••• · Chief Financial Officercontrolsince 07/2014 · owns less than 5%
- P••••••••• L•••••• E•••••••• · Chief Compliance Officercontrolsince 07/2014 · owns less than 5%
- B•••••• M••• I••• · Membercontrolsince 02/2009 · owns 25% to 50% of E•••••• C•••• A•••••••• L••
- P••••• M•••• D•••• · Membercontrolsince 02/2009 · owns 25% to 50% of E•••••• C•••• A•••••••• L••
Entity owners
- E•••••• C•••• A•••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- E•• F••• S• I•• L••pooled vehicle sponsory
- E•••••• C•••• A••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $604M to $564MAug 7, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $604M to $564MAug 7, 2025 to Mar 25, 2026
- RAUM · $604M to $564MAug 7, 2025 to Mar 25, 2026
- Pooled vehicle clients · 7 to 11Mar 11, 2025 to Aug 7, 2025
- Financial planning clients · 0 to 0Mar 11, 2025 to Aug 7, 2025
- Discretionary RAUM · $612M to $604MMar 11, 2025 to Aug 7, 2025
- Pooled vehicle RAUM · $612M to $604MMar 11, 2025 to Aug 7, 2025
- RAUM · $612M to $604MMar 11, 2025 to Aug 7, 2025
- Accounts · 7 to 11Mar 11, 2025 to Aug 7, 2025
- Accounts · 6 to 7Mar 7, 2024 to Mar 11, 2025
- Pooled vehicle clients · 6 to 7Mar 7, 2024 to Mar 11, 2025
- Employees · 18 to 17Mar 7, 2024 to Mar 11, 2025
- Discretionary RAUM · $619M to $612MMar 7, 2024 to Mar 11, 2025
- Pooled vehicle RAUM · $619M to $612MMar 7, 2024 to Mar 11, 2025
- RAUM · $619M to $612MMar 7, 2024 to Mar 11, 2025
- Employees · 19 to 18Mar 16, 2023 to Mar 7, 2024
- Discretionary RAUM · $592M to $619MMar 16, 2023 to Mar 7, 2024
- Pooled vehicle RAUM · $592M to $619MMar 16, 2023 to Mar 7, 2024
- RAUM · $592M to $619MMar 16, 2023 to Mar 7, 2024
- Employees · 18 to 19Nov 1, 2022 to Mar 16, 2023
- Discretionary RAUM · $582M to $592MNov 1, 2022 to Mar 16, 2023
- Pooled vehicle RAUM · $582M to $592MNov 1, 2022 to Mar 16, 2023
- RAUM · $582M to $592MNov 1, 2022 to Mar 16, 2023
- Employees · 17 to 18Mar 30, 2021 to Mar 29, 2022
- Discretionary RAUM · $572M to $582MMar 30, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $572M to $582MMar 30, 2021 to Mar 29, 2022
- RAUM · $572M to $582MMar 30, 2021 to Mar 29, 2022
- Employees · 16 to 17Jun 29, 2020 to Mar 30, 2021
- Other offices · 1 to 0Jun 29, 2020 to Mar 30, 2021
- Discretionary RAUM · $577M to $572MJun 29, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $577M to $572MJun 29, 2020 to Mar 30, 2021
- RAUM · $577M to $572MJun 29, 2020 to Mar 30, 2021
- Private funds · 6 to unsetApr 30, 2020 to Jun 29, 2020
- Accounts · 7 to 6Apr 30, 2019 to Mar 30, 2020
- Pooled vehicle clients · 7 to 6Apr 30, 2019 to Mar 30, 2020
- Private funds · 7 to 6Apr 30, 2019 to Mar 30, 2020
- Discretionary RAUM · $461M to $577MApr 30, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $461M to $577MApr 30, 2019 to Mar 30, 2020
- RAUM · $461M to $577MApr 30, 2019 to Mar 30, 2020
- Discretionary RAUM · $392M to $461MMar 29, 2019 to Apr 30, 2019
Signals
2 dated events
- E•• F••• M•••••• I•• L•• reported RAUM $576.8M, up 25% from $460.9M (2019-04-30 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- E•• F••• M•••••• I•• L•• filed its initial SEC registration (Form ADV)Jan 9, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E•• F••• M•••••• I•• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/E••••••-C••••-CAPITALreportedpublic record, Form ADV, Sep 18, 2026
- Website
- E••••••C••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-313-2616reportedpublic record, Form ADV, Mar 25, 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 M••••••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