DFX Intelligence
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SEC-registered adviser
E•••• C••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jun 29, 2015 · 17 filings
SEC status approved since Jul 2, 2015
RAUM
$3.4B
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
22
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$3.4B as of Mar 30, 2026
Mar 29, 2016$454M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20160 then
Employees (5.A)22 as of Mar 30, 2026
Mar 29, 20165 then
Private funds3 as of Mar 30, 2026
Mar 29, 20163 then
RAUM -13% over the last fiscal year-10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $685MderivedRAUM 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
- -13%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
- $3.4B, 5 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.4B for 5 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=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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••• C•••••• F••• Q••••••••• L••• | Hedge Fund | $4.6B | 324 | Mar 25, 2014 |
| E•••• C•••••• F•••• L••• | Hedge Fund | $312M | 87 | Mar 25, 2014 |
| E•••• V•••••• O••••••••• F•••• L• | Venture Capital Fund | $85.3M | 59 | Aug 29, 2019 |
| E•••• S•••••• O••••••••• F••• I• L•no longer reported | Hedge Fund | $8.8M | 1 | Mar 30, 2015 |
| E•••• S•••••• O••••••••• F••• I•• L•no longer reported | Hedge Fund | $552,492 | 9 | Mar 29, 2016 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• T••••••• S•••• · Member, Cco, Coocontrolsince 11/2012 · owns 10% to 25%
- N•••••••• T••••••• O••• · Managercontrolsince 11/2012 · owns 75% or more
Related persons
Schedule D 7.A
- B•••••• O••••••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $3.9B to $3.4BJul 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $3.9B to $3.4BJul 25, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $3.9B to $3.4BJul 25, 2025 to Mar 30, 2026
- RAUM · $3.9B to $3.4BJul 25, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 25, 2025
- Advisory employees · 8 to 9Oct 18, 2024 to Mar 31, 2025
- Assets in custody · $5.0B to $3.9BOct 18, 2024 to Mar 31, 2025
- Employees · 21 to 22Oct 18, 2024 to Mar 31, 2025
- Discretionary RAUM · $5.0B to $3.9BOct 18, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $5.0B to $3.9BOct 18, 2024 to Mar 31, 2025
- RAUM · $5.0B to $3.9BOct 18, 2024 to Mar 31, 2025
- Advisory employees · 7 to 8Mar 29, 2023 to Mar 28, 2024
- Assets in custody · $4.7B to $5.0BMar 29, 2023 to Mar 28, 2024
- Employees · 17 to 21Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $4.7B to $5.0BMar 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $4.7B to $5.0BMar 29, 2023 to Mar 28, 2024
- RAUM · $4.7B to $5.0BMar 29, 2023 to Mar 28, 2024
- Advisory employees · 10 to 7Nov 11, 2022 to Mar 29, 2023
- Assets in custody · $3.8B to $4.7BNov 11, 2022 to Mar 29, 2023
- Employees · 15 to 17Nov 11, 2022 to Mar 29, 2023
- Discretionary RAUM · $4.4B to $4.7BNov 11, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $4.4B to $4.7BNov 11, 2022 to Mar 29, 2023
- RAUM · $4.4B to $4.7BNov 11, 2022 to Mar 29, 2023
- Accounts · 6 to 5Jun 25, 2021 to Mar 29, 2022
- Advisory employees · 7 to 10Jun 25, 2021 to Mar 29, 2022
- Pooled vehicle clients · 6 to 5Jun 25, 2021 to Mar 29, 2022
- Assets in custody · $2.0B to $3.8BJun 25, 2021 to Mar 29, 2022
- Employees · 13 to 15Jun 25, 2021 to Mar 29, 2022
- Private funds · 4 to 3Jun 25, 2021 to Mar 29, 2022
- Discretionary RAUM · $2.8B to $4.4BJun 25, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $2.8B to $4.4BJun 25, 2021 to Mar 29, 2022
- RAUM · $2.8B to $4.4BJun 25, 2021 to Mar 29, 2022
- Advisory employees · 6 to 7Mar 30, 2020 to Mar 30, 2021
- Assets in custody · $1.8B to $2.0BMar 30, 2020 to Mar 30, 2021
- Employees · 11 to 13Mar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $1.8B to $2.8BMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $1.8B to $2.8BMar 30, 2020 to Mar 30, 2021
- RAUM · $1.8B to $2.8BMar 30, 2020 to Mar 30, 2021
- Assets in custody · $1.3B to $1.8BAug 29, 2019 to Mar 30, 2020
- Employees · 9 to 11Aug 29, 2019 to Mar 30, 2020
Signals
5 dated events
- E•••• C••••••• L•• reported RAUM $4.4B, up 57% from $2.8B (2021-06-25 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- E•••• C••••••• L•• reported RAUM $2.8B, up 55% from $1.8B (2020-03-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- E•••• C••••••• L•• reported RAUM $1.4B, up 28% from $1.1B (2018-03-29 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- E•••• C••••••• L•• reported RAUM $1.1B, up 91% from $573.8M (2017-03-29 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- E•••• C••••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E•••• C••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- E••••CAP.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 415-754-3517reportedpublic record, Form ADV, Mar 30, 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