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•••••••• R••• M••••••••• L••

Former SEC-registered adviserOld Greenwich, ConnecticutCRD 168310SEC 801-78635IAPD
Latest filing Mar 30, 2016
First filing on the tape Sep 25, 2013 · 6 filings
RAUM
$28.4M
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
160
63 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$28.4M as of Mar 30, 2016
Mar 31, 2014$142M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 31, 20140 then
Employees (5.A)160 as of Mar 30, 2016
Mar 31, 2014139 then
Private funds: no history
RAUM -83% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2016; 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
$28.4MderivedRAUM 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
-83%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
yesreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••• J•••• R••••• · Executive Vice Presidentcontrol
        since 07/2013 · owns less than 5%
      • H••••• L••• Z•• · Executive Vice Presidentcontrol
        since 03/2011 · owns less than 5%
      • M•••••••• D•••••• R••••• · General Counselcontrol
        since 07/2013 · owns less than 5%
      • R•••• D••••• C•••••• · Chief Compliance Officercontrol
        since 03/2011 · owns less than 5%
      • V•••••• M••••••• W•••••• · President And Chief Executive Officercontrol
        since 03/2011 · owns less than 5%
      • V•••••• M••••••• W•••••• · Managing Membercontrol
        since 08/1995 · owns 75% or more of V• I••••••••• L•••••
      • V•••••• M••••••• W•••••• · Limited Partnercontrol
        since 04/2007 · owns 25% to 50% of E•• H•••••••• L•••
      Entity owners
      • E•• H•••••••• L••• · Member
        direct · owns 75% or more
      • V• I••••••••• L••••• · Managing Member
        direct · owns less than 5%
      • V• I••••••••• L••••• · General Partner
        indirect · owns F of E•• H•••••••• L•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 65 to 63
        Mar 30, 2015 to Mar 30, 2016
      • Advisory activities · 2 to 1
        Mar 30, 2015 to Mar 30, 2016
      • BD registered reps · 3 to 4
        Mar 30, 2015 to Mar 30, 2016
      • Employees · 154 to 160
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $165M to $28.4M
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $165M to $28.4M
        Mar 30, 2015 to Mar 30, 2016
      • Advisory employees · 51 to 65
        Mar 31, 2014 to Mar 27, 2015
      • BD registered reps · 5 to 3
        Mar 31, 2014 to Mar 27, 2015
      • Assets in custody · $20.7M to $0
        Mar 31, 2014 to Mar 27, 2015
      • Employees · 139 to 154
        Mar 31, 2014 to Mar 27, 2015
      • Discretionary RAUM · $142M to $165M
        Mar 31, 2014 to Mar 27, 2015
      • RAUM · $142M to $165M
        Mar 31, 2014 to Mar 27, 2015
      • Advisory employees · 45 to 51
        Oct 29, 2013 to Mar 31, 2014
      • Assets in custody · $62.5M to $20.7M
        Oct 29, 2013 to Mar 31, 2014
      • Employees · 132 to 139
        Oct 29, 2013 to Mar 31, 2014
      • Discretionary RAUM · $143M to $142M
        Oct 29, 2013 to Mar 31, 2014
      • RAUM · $143M to $142M
        Oct 29, 2013 to Mar 31, 2014
      Signals
      1 dated events
      • E•••••••• R••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 25, 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