DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
E••••• C••••••
Legal name E••••• C•••••• M••••••••• L••
Latest filing Mar 24, 2024
First filing on the tape Jan 9, 2014 · 19 filings
SEC status approved since Sep 28, 2023
RAUM
$129M
reported, Item 5.F
Discretionary
53%
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$69.1M gross assets
History
19 filings and snapshots on the tape
RAUM$129M as of Mar 24, 2024
Mar 25, 2015$69.7M then
HNW client RAUM: $12.0M
State-registered IARs (5.B.3)0 as of Mar 24, 2024
Mar 25, 20150 then
Employees (5.A)2 as of Mar 24, 2024
Mar 25, 20159 then
Private funds1 as of Mar 24, 2024
Mar 25, 20151 then
RAUM +21% over the last fiscal year-23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2024; 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
- $25.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 53%derivedof RAUM
- Institutional
- 6.4%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
- +21%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $8.3M, 1 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)
- 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$69.1M53%
- Other investment advisers$51.9M40%
- Sovereign wealth funds$8.3M6.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $8.3M for 1 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••••• C•••••• I••••••••• M••••• S••no longer reported | Other Private Fund | $117M | 7 | Jan 9, 2014 |
| E••••• C•••••• I••••••••• M••••• S• S••••• 3• | Private Equity Fund | $69.1M | 7 | Mar 27, 2018 |
| I•••••• O••••••• E•••••••• L••••••no longer reported | Hedge Fund | $43.1M | 1 | Mar 30, 2016 |
Owners and control persons
Schedule A and B, latest filing
- I•••••• J•••••••• M•••••• · Chief Compliance Officer, President, And Head Of Client Solutionscontrolsince 10/2020 · owns less than 5%
- I•••••• J•••••••• M•••••• · Managing Member And Ownercontrolsince 01/2021 · owns 25% to 50% of E••••• H••••••• L••
- M•••••• M••• · Managing Member And Ownercontrolsince 03/2011 · owns 50% to 75% of E••••• H••••••• L••
Entity owners
- E••••• H••••••• L•• · Sole Class A Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- E••••• C•••••• P••••••• L••pooled vehicle sponsorn
- G•• G• 3• 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 · $16.7M to $8.3MSep 19, 2023 to Mar 24, 2024
- Discretionary RAUM · $77.6M to $69.1MSep 19, 2023 to Mar 24, 2024
- Non-discretionary RAUM · $68.8M to $60.2MSep 19, 2023 to Mar 24, 2024
- Pooled vehicle RAUM · $77.6M to $69.1MSep 19, 2023 to Mar 24, 2024
- RAUM · $146M to $129MSep 19, 2023 to Mar 24, 2024
- Private funds · 2 to 1Aug 26, 2023 to Sep 14, 2023
- Accounts · 4 to 5Mar 29, 2023 to Aug 26, 2023
- Assets in custody · $0 to $16.7MMar 29, 2023 to Aug 26, 2023
- Custody of client assets · false to trueMar 29, 2023 to Aug 26, 2023
- Private funds · 1 to 2Mar 29, 2023 to Aug 26, 2023
- Discretionary RAUM · $80.7M to $77.6MMar 29, 2023 to Aug 26, 2023
- Non-discretionary RAUM · $25.7M to $68.8MMar 29, 2023 to Aug 26, 2023
- Pooled vehicle RAUM · $80.7M to $77.6MMar 29, 2023 to Aug 26, 2023
- RAUM · $106M to $146MMar 29, 2023 to Aug 26, 2023
- Discretionary RAUM · $93.7M to $80.7MMar 30, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $118M to $25.7MMar 30, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $93.7M to $80.7MMar 30, 2022 to Mar 29, 2023
- RAUM · $211M to $106MMar 30, 2022 to Mar 29, 2023
- Advisory employees · 3 to 1Feb 24, 2021 to Mar 30, 2022
- Assets in custody · $288M to $0Feb 24, 2021 to Mar 30, 2022
- Custody of client assets · true to falseFeb 24, 2021 to Mar 30, 2022
- Employees · 5 to 2Feb 24, 2021 to Mar 30, 2022
- HQ city · NEW YORK to unsetFeb 24, 2021 to Mar 30, 2022
- HQ state · NY to unsetFeb 24, 2021 to Mar 30, 2022
- Discretionary RAUM · $154M to $93.7MFeb 24, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $134M to $118MFeb 24, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $154M to $93.7MFeb 24, 2021 to Mar 30, 2022
- RAUM · $288M to $211MFeb 24, 2021 to Mar 30, 2022
- Accounts · 5 to 4Mar 4, 2020 to Feb 24, 2021
- Advisory employees · 4 to 3Mar 4, 2020 to Feb 24, 2021
- Pooled vehicle clients · 4 to 3Mar 4, 2020 to Feb 24, 2021
- Assets in custody · $117M to $288MMar 4, 2020 to Feb 24, 2021
- Employees · 8 to 5Mar 4, 2020 to Feb 24, 2021
- Private funds · 3 to 1Mar 4, 2020 to Feb 24, 2021
- Discretionary RAUM · $176M to $154MMar 4, 2020 to Feb 24, 2021
- Non-discretionary RAUM · $79.4M to $134MMar 4, 2020 to Feb 24, 2021
- Pooled vehicle RAUM · $160M to $154MMar 4, 2020 to Feb 24, 2021
- RAUM · $255M to $288MMar 4, 2020 to Feb 24, 2021
- Accounts · 7 to 5Mar 19, 2019 to Mar 4, 2020
- BD registered reps · 1 to 0Mar 19, 2019 to Mar 4, 2020
Signals
6 dated events
- E••••• C•••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $129.3M)May 2, 2025 · Left the SEC roster · derived
- E••••• C•••••• reported RAUM $106.4M, down 50% from $211.4M (2022-03-30 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- Hu Ling-Ling Marquardt (Director Of Investor Relations & Chief Compliance Officer) no longer on Schedule A of E••••• C•••••• (listed 2020-03-04, absent 2021-02-24)Feb 24, 2021 · Control person left · inference
- Michael Jonathan Imundo (Chief Compliance Officer, President, And Head Of Client Solutions) appeared on Schedule A of E••••• C••••••Feb 24, 2021 · Control person joined · fact
- E••••• C•••••• reported RAUM $263.7M, up 151% from $105.0M (2018-03-27 to 2019-03-19)Mar 19, 2019 · RAUM change · derived
- E••••• C•••••• filed its initial SEC registration (Form ADV)Jan 9, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E••••• C•••••• · Private Equityshared crd · organization
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