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••••••••• E••••• C•••••• A•••••••• L••

Former SEC-registered adviserMiami, FloridaCRD 167493SEC 801-78905IAPD
Latest filing Jul 29, 2021
First filing on the tape Dec 2, 2013 · 19 filings
RAUM
$410M
reported, Item 5.F
Discretionary
15%
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
13 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
8
$407M gross assets
History
19 filings and snapshots on the tape
RAUM$410M as of Mar 31, 2021
Mar 31, 2015$119M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 31, 20150 then
Employees (5.A)13 as of Mar 31, 2021
Mar 31, 201516 then
Private funds8 as of Mar 31, 2021
Mar 31, 20156 then
RAUM -1.1% over the last fiscal year-0.3% a year over threeIARs 0 to 0offices 3 to 2
Practice profile
derived from the filing of Jul 29, 2021; 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
$45.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
15%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-1.1%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$60.1M, 4 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$407M99%
  • Corporations and businesses$3.1M0.8%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$60.1M for 4 clientsreported
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
      14 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••••••••• S•••• I••••••••• F••• I• L•Private Equity Fund$42.9M8Dec 2, 2013
      E••••••••• S•••• I••••••••• F••• I• ••••••• L•Private Equity Fund$42.4M3Mar 30, 2016
      E••••••••• O••••••••• F••• I• L••no longer reportedPrivate Equity Fund$37.0M7Mar 30, 2016
      E••••••••• O••••••••• F••• I• L••no longer reportedPrivate Equity Fund$22.2M11Aug 7, 2014
      E• N•• H••••••• I•• L•Private Equity Fund$11.4M3Mar 30, 2017
      F•••• D• I•••••••• P•••••• H•••••Private Equity Fund$5.6M13Aug 7, 2014
      E•• Y•••• 1• L••no longer reportedPrivate Equity Fund$4.8M12Mar 30, 2016
      E••• 3• L••no longer reportedPrivate Equity Fund$2.0M10Mar 31, 2015
      E• N•• H•••••••• L•Private Equity Fund$1.8M3Aug 7, 2014
      D• S•••• P••••••• I• L••Private Equity Fund$161,0003Mar 30, 2017
      E• N• 1• L••no longer reportedPrivate Equity Fund$88,0002Mar 31, 2015
      E••••••••• S•••• I••••••••• F••• I• ••••••••• L•Private Equity Fund$03Mar 30, 2016
      E••••••••• P••••••• O••••••••• F••• I•• L••no longer reportedPrivate Equity Fund$013Mar 30, 2016
      E••••••••• S•••• I••••••••• F••• •••• I• L•Private Equity Fund$08Mar 30, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• Z••••••• C••••• · Principalcontrol
        since 02/2015 · owns less than 5%
      • L••• P••••• J••• · Chief Compliance Officer And Principalcontrol
        since 02/2015 · owns less than 5%
      • D••••••• Z••••••• C••••• · Limited Partnercontrol
        since 01/2012 · owns 50% to 75% of E••••••••• E••••• C•••••• M••••••••• I•••••••• V•••••• L•
      • L••• P••••• J••• · Limited Partnercontrol
        since 01/2012 · owns 50% to 75% of E••••••••• E••••• C•••••• M••••••••• I•••••••• V•••••• L•
      Entity owners
      • E••••••••• E••••• C•••••• M••••••••• • L•• · Sole Member
        direct · owns 75% or more
      • E••••••••• E••••• C•••••• M••••••••• I•••••••• V•••••• G• L•• · General Partner
        indirect · owns F of E••••••••• E••••• C•••••• M••••••••• I•••••••• V•••••• L•
      • E••••••••• E••••• C•••••• M••••••••• I•••••••• V•••••• L• · Member
        indirect · owns 75% or more of E••••••••• E••••• C•••••• M••••••••• • L••
      Related persons
      Schedule D 7.A
      • A••••••••• C•••• • E••••••••• S•
        investment adviserpooled vehicle sponsorn
      • E• M••••• H••••••• G•• L••
        pooled vehicle sponsorn
      • E••••••••• S•••• I••••••••• F••• I• G• L•
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Tokyo, Japan6 employees
      • Wayzata, MN1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 7 to 13
        Jan 20, 2021 to Mar 31, 2021
      • Assets in custody · $58.5M to $60.1M
        Jan 20, 2021 to Mar 31, 2021
      • Employees · 19 to 13
        Jan 20, 2021 to Mar 31, 2021
      • Other offices · 3 to 2
        Jan 20, 2021 to Mar 31, 2021
      • Discretionary RAUM · $58.5M to $60.1M
        Jan 20, 2021 to Mar 31, 2021
      • Non-discretionary RAUM · $356M to $350M
        Jan 20, 2021 to Mar 31, 2021
      • Pooled vehicle RAUM · $412M to $407M
        Jan 20, 2021 to Mar 31, 2021
      • RAUM · $415M to $410M
        Jan 20, 2021 to Mar 31, 2021
      • HQ city · SAN FRANCISCO to MIAMI
        May 14, 2020 to Jan 20, 2021
      • HQ state · CA to FL
        May 14, 2020 to Jan 20, 2021
      • Accounts · 11 to 9
        Oct 17, 2019 to May 14, 2020
      • Advisory employees · 10 to 7
        Oct 17, 2019 to May 14, 2020
      • Pooled vehicle clients · 9 to 8
        Oct 17, 2019 to May 14, 2020
      • Assets in custody · $60.8M to $58.5M
        Oct 17, 2019 to May 14, 2020
      • Employees · 11 to 19
        Oct 17, 2019 to May 14, 2020
      • Other offices · 5 to 3
        Oct 17, 2019 to May 14, 2020
      • Private funds · 9 to 8
        Oct 17, 2019 to May 14, 2020
      • Discretionary RAUM · $65.3M to $58.5M
        Oct 17, 2019 to May 14, 2020
      • Non-discretionary RAUM · $407M to $356M
        Oct 17, 2019 to May 14, 2020
      • Pooled vehicle RAUM · $469M to $412M
        Oct 17, 2019 to May 14, 2020
      • RAUM · $472M to $415M
        Oct 17, 2019 to May 14, 2020
      • Accounts · 13 to 11
        Nov 30, 2018 to Mar 30, 2019
      • Advisory employees · 11 to 10
        Nov 30, 2018 to Mar 30, 2019
      • Pooled vehicle clients · 11 to 9
        Nov 30, 2018 to Mar 30, 2019
      • Assets in custody · $63.8M to $60.8M
        Nov 30, 2018 to Mar 30, 2019
      • Employees · 12 to 11
        Nov 30, 2018 to Mar 30, 2019
      • Private funds · 11 to 9
        Nov 30, 2018 to Mar 30, 2019
      • Discretionary RAUM · $68.3M to $65.3M
        Nov 30, 2018 to Mar 30, 2019
      • Non-discretionary RAUM · $346M to $407M
        Nov 30, 2018 to Mar 30, 2019
      • Pooled vehicle RAUM · $411M to $469M
        Nov 30, 2018 to Mar 30, 2019
      • RAUM · $414M to $472M
        Nov 30, 2018 to Mar 30, 2019
      • Advisory employees · 12 to 11
        Dec 7, 2017 to Mar 30, 2018
      • Advisory activities · 3 to 2
        Dec 7, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 11.0
        Dec 7, 2017 to Mar 30, 2018
      • Assets in custody · $59.3M to $63.8M
        Dec 7, 2017 to Mar 30, 2018
      • Financial planning clients · 0 to unset
        Dec 7, 2017 to Mar 30, 2018
      • Other offices · 2 to 5
        Dec 7, 2017 to Mar 30, 2018
      • Discretionary RAUM · $60.6M to $68.3M
        Dec 7, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $322M to $346M
        Dec 7, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 410583000.0
        Dec 7, 2017 to Mar 30, 2018
      Signals
      2 dated events
      • E••••••••• E••••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Mar 31, 2015 · Succession (Item 4) · fact
      • E••••••••• E••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 2, 2013 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      E•••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 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
      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