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••• A•••• M••••••••• U• L••
Latest filing Mar 31, 2025
First filing on the tape Jun 3, 2013 · 30 filings
SEC status approved since Jul 5, 2013
RAUM
$4.4B
reported, Item 5.F
Discretionary
99%
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
11
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$4.4B as of Mar 31, 2025
Mar 31, 2014$2.1B then
HNW client RAUM$0 as of Mar 31, 2025
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2025
Mar 31, 20140 then
Employees (5.A)11 as of Mar 31, 2025
Mar 31, 201435 then
Private funds: no history
RAUM -2.3% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2025; 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
- $369MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- -2.3%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)
- 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$4.4B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• M•••• R•••••• · Chief Executive Officer And Co-Chief Investment Officercontrolsince 05/2013 · owns less than 5%
- G•••••• A•••• M•••• · General Counselcontrolsince 04/2023 · owns less than 5%
- J•••••• M•••••• · Co-Chief Operating Officercontrolsince 04/2023 · owns less than 5%
- K•••••• C••••••••• J•••• · Co-Chief Operating Officercontrolsince 04/2023 · owns less than 5%
- K•••••• K••••••• M•••••• · Chief Compliance Officer/Senior Regulatory Counselcontrolsince 04/2023 · owns less than 5%
- N••••••• B• J•••• A•••••• · Co-Chief Investment Officercontrolsince 03/2023 · owns less than 5%
- F•••••••• M•••• R•••••• · Presidentcontrolsince 08/2013 · owns 50% to 75% of W•••• P••• L••••••
Entity owners
- E••• A•••• M••••••••• L•••••• · Parentdirect · owns 75% or more
- W•••• P••• L•••••• · Sole Shareholderindirect · owns 75% or more of E••• A•••• M••••••••• L••••••
Related persons
Schedule D 7.A
- Kirkoswald Capital Management L••••••investment adviserbankyRAUM $5.0B
- E••• G• S••••••• •••••••• L••••••pooled vehicle sponsorn
- E••• G• S••••••• L••••••pooled vehicle sponsorn
Advisers that list E••• A•••• M••••••••• U• L•• as a related person
- 139217 y
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom10 employees
- Miami, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 13 to 12Jan 16, 2025 to Mar 31, 2025
- Advisory employees · 5 to 6Jan 16, 2025 to Mar 31, 2025
- Pooled vehicle clients · 13 to 12Jan 16, 2025 to Mar 31, 2025
- Financial planning clients · unset to Jan 16, 2025 to Mar 31, 2025
- Discretionary RAUM · $4.5B to $4.4BJan 16, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $42.1M to $53.2MJan 16, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $4.5B to $4.4BJan 16, 2025 to Mar 31, 2025
- RAUM · $4.5B to $4.4BJan 16, 2025 to Mar 31, 2025
- Accounts · 20 to 13Dec 6, 2023 to Mar 29, 2024
- Advisory employees · 7 to 5Dec 6, 2023 to Mar 29, 2024
- Advisory activities · 2 to 1Dec 6, 2023 to Mar 29, 2024
- Pooled vehicle clients · 17 to 13Dec 6, 2023 to Mar 29, 2024
- Employees · 15 to 11Dec 6, 2023 to Mar 29, 2024
- Discretionary RAUM · $5.7B to $4.5BDec 6, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $27.9M to $42.1MDec 6, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $5.6B to $4.5BDec 6, 2023 to Mar 29, 2024
- RAUM · $5.7B to $4.5BDec 6, 2023 to Mar 29, 2024
- Accounts · 25 to 20Oct 31, 2022 to Mar 31, 2023
- Advisory employees · 9 to 7Oct 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 21 to 17Oct 31, 2022 to Mar 31, 2023
- Employees · 16 to 15Oct 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $6.9B to $5.7BOct 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $9.5M to $27.9MOct 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $6.5B to $5.6BOct 31, 2022 to Mar 31, 2023
- RAUM · $6.9B to $5.7BOct 31, 2022 to Mar 31, 2023
- Advisory employees · 25 to 9Nov 19, 2021 to Mar 31, 2022
- Employees · 83 to 16Nov 19, 2021 to Mar 31, 2022
- Discretionary RAUM · $7.5B to $6.9BNov 19, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $0 to $9.5MNov 19, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $7.0B to $6.5BNov 19, 2021 to Mar 31, 2022
- RAUM · $7.5B to $6.9BNov 19, 2021 to Mar 31, 2022
- HQ city · NEW YORK to GREENWICHMar 31, 2021 to Nov 19, 2021
- HQ state · NY to CTMar 31, 2021 to Nov 19, 2021
- Other offices · 1 to 2Mar 31, 2021 to Nov 19, 2021
- Accounts · 27 to 25Nov 25, 2020 to Mar 31, 2021
- Advisory employees · 26 to 25Nov 25, 2020 to Mar 31, 2021
- Advisory activities · 3 to 2Nov 25, 2020 to Mar 31, 2021
- Pooled vehicle clients · 22 to 21Nov 25, 2020 to Mar 31, 2021
- Employees · 90 to 83Nov 25, 2020 to Mar 31, 2021
- Discretionary RAUM · $6.2B to $7.5BNov 25, 2020 to Mar 31, 2021
Signals
10 dated events
- E••• A•••• M••••••••• U• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $4.4B)Jan 2, 2026 · Left the SEC roster · derived
- Rhodes Raul Mcgregor (Chief Operating Officer And Chief Financial Officer) no longer on Schedule A of E••• A•••• M••••••••• U• L•• (listed 2023-03-31, absent 2023-04-26)Apr 26, 2023 · Control person left · inference
- Regina Susan Dodge (Chief Compliance Officer/ General Counsel) no longer on Schedule A of E••• A•••• M••••••••• U• L•• (listed 2023-03-31, absent 2023-04-26)Apr 26, 2023 · Control person left · inference
- Matthew Kenneth Kukish (Chief Compliance Officer/Senior Regulatory Counsel) appeared on Schedule A of E••• A•••• M••••••••• U• L••Apr 26, 2023 · Control person joined · fact
- Michiel Jansen (Co-Chief Operating Officer) appeared on Schedule A of E••• A•••• M••••••••• U• L••Apr 26, 2023 · Control person joined · fact
- James Christopher Keable (Co-Chief Operating Officer) appeared on Schedule A of E••• A•••• M••••••••• U• L••Apr 26, 2023 · Control person joined · fact
- Marie Anna Galvau (General Counsel) appeared on Schedule A of E••• A•••• M••••••••• U• L••Apr 26, 2023 · Control person joined · fact
- Andreas Bo Jens Nystedt (Co-Chief Investment Officer) appeared on Schedule A of E••• A•••• M••••••••• U• L••Mar 31, 2023 · Control person joined · fact
- E••• A•••• M••••••••• U• L•• reported RAUM $6.3B, up 51% from $4.2B (2017-03-30 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- E••• P••••••• U• L•• filed its initial SEC registration (Form ADV)Jun 3, 2013 · 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.
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