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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SEC-registered adviser
E•••••••• C••••• C•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Sep 25, 2013 · 26 filings
SEC status approved since Nov 4, 2013
RAUM
$415M
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
164
68 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$415M as of Mar 30, 2026
Mar 31, 2014$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 31, 20140 then
Employees (5.A)164 as of Mar 30, 2026
Mar 31, 2014139 then
Private funds: no history
RAUM -50% over the last fiscal year-27% 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
- $415MderivedRAUM 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
- -50%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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$415M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=8.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• P••••••• B•••• · Chief Compliance Officer & Associate General Counselcontrolsince 01/2024 · owns less than 5%
- M•••••••• D•••••• R••••• · General Counselcontrolsince 04/2013 · owns less than 5%
- P•••• L•••••••• E••• · Executive Vice Presidentcontrolsince 07/2012 · owns less than 5%
- S•••••••• C••••••••• M•• · Chief Financial Officercontrolsince 04/2018 · owns less than 5%
- V•••••• M••••••• W•••••• · Chief Executive Officercontrolsince 07/2012 · owns less than 5%
- V•••••• M••••••• W•••••• · Limited Partnercontrolsince 04/2007 · owns 25% to 50% of E•• H•••••••• L•••
- V•••••• M••••••• W•••••• · Managing Membercontrolsince 08/1995 · owns 75% or more of V• I••••••••• L•••••
Entity owners
- E•••••••• R•• H••••••• L•• · Managing Memberdirect · owns 75% or more
- E•• H•••••••• L••• · Memberindirect · owns 75% or more of E•••••••• R•• H••••••• L••
- V• I••••••••• L••••• · Managerindirect · owns F of E•••••••• R•• H••••••• L••
- V• I••••••••• L••••• · General Partnerindirect · owns F of E•• H•••••••• L•••
Related persons
Schedule D 7.A
- A•••••••• S••••••••• L••broker-dealern
- C•• G• L••bankpooled vehicle sponsorn
- D••• F•••••• M••••••••• L•••••investment advisernRAUM $127M
- E•• M•• G• I• L••bankpooled vehicle sponsorn
- E•• M•• G• I• L••bankpooled vehicle sponsorn
- E••• G• L••bankpooled vehicle sponsorn
- E••• G• L••bankpooled vehicle sponsorn
- E•• M• L••bankpooled vehicle sponsorn
- E•••••••• C•• M••••••••• L••investment advisern
- E•••••••• F•••••••• M••••••••• L••investment adviserbanknRAUM $19B
- E•••••••• G••••• A•••• M••••••••• L••investment adviserbanknRAUM $9.2B
- E•••••••• M• C••••• G• L••bankpooled vehicle sponsorn
- E•••••••• M••••••••• G•••• ••• L••investment advisern
- E•••••••• M••••••••• G••••• L•••••investment adviserbankpooled vehicle sponsornRAUM $21B
- E••••• M• L••bankpooled vehicle sponsorn
- E•• G• I• L••bankpooled vehicle sponsorn
- E•• G• L••bankpooled vehicle sponsorn
- E•• G• L••bankpooled vehicle sponsorn
- E•• G• L••bankpooled vehicle sponsorn
- E•• I• G• L••bankpooled vehicle sponsorn
- E•• I•• G• L••bankpooled vehicle sponsorn
- E•• M• L••bankpooled vehicle sponsorn
- E••• G• L••bankpooled vehicle sponsorn
- E••• M• L••bankpooled vehicle sponsorn
- H•• I•••••••• I• L••pooled vehicle sponsorn
- N•• M• L••bankpooled vehicle sponsorn
Advisers that list E•••••••• C••••• C•••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 30, 2026custody of client assets (Item 9.A): yes on the filing of 2025-03-31, no on the filing of 2026-03-30peers: asset managers, $100M to $500M (1,567)
- RAUM down 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $822,259,000 to $414,963,000 (-50.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +4.0% (1148 comparable advisers, 3.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 3.2% percentile
What changed
consecutive filings, newest first
- Assets in custody · $822M to $0Mar 31, 2025 to Mar 30, 2026
- Custody of client assets · true to falseMar 31, 2025 to Mar 30, 2026
- Employees · 160 to 164Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $822M to $415MMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $822M to $415MMar 31, 2025 to Mar 30, 2026
- RAUM · $822M to $415MMar 31, 2025 to Mar 30, 2026
- Advisory employees · 69 to 68Jul 12, 2024 to Mar 31, 2025
- Business name · E•••••••• R••••••••• M••••••• M••••••••• L•• to E•••••••• C••••• C•••••• M••••••••• L••Jul 12, 2024 to Mar 31, 2025
- Assets in custody · $946M to $822MJul 12, 2024 to Mar 31, 2025
- Employees · 162 to 160Jul 12, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jul 12, 2024 to Mar 31, 2025
- Legal name · E•••••••• R••••••••• M••••••• M••••••••• L•• to E•••••••• C••••• C•••••• M••••••••• L••Jul 12, 2024 to Mar 31, 2025
- Discretionary RAUM · $946M to $822MJul 12, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $946M to $822MJul 12, 2024 to Mar 31, 2025
- RAUM · $946M to $822MJul 12, 2024 to Mar 31, 2025
- Advisory employees · 71 to 69Jan 11, 2024 to Mar 27, 2024
- BD registered reps · 5 to 8Jan 11, 2024 to Mar 27, 2024
- Assets in custody · $1.1B to $946MJan 11, 2024 to Mar 27, 2024
- Discretionary RAUM · $1.1B to $946MJan 11, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · $1.1B to $946MJan 11, 2024 to Mar 27, 2024
- RAUM · $1.1B to $946MJan 11, 2024 to Mar 27, 2024
- Advisory employees · 84 to 71Mar 29, 2022 to Mar 30, 2023
- BD registered reps · 0 to 5Mar 29, 2022 to Mar 30, 2023
- Assets in custody · $1.6B to $1.1BMar 29, 2022 to Mar 30, 2023
- Employees · 173 to 162Mar 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.6B to $1.1BMar 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.6B to $1.1BMar 29, 2022 to Mar 30, 2023
- RAUM · $1.6B to $1.1BMar 29, 2022 to Mar 30, 2023
- Related broker-dealer · false to trueMar 29, 2022 to Mar 30, 2023
- Advisory employees · 70 to 84Oct 21, 2021 to Mar 29, 2022
- Assets in custody · $1.2B to $1.6BOct 21, 2021 to Mar 29, 2022
- Employees · 142 to 173Oct 21, 2021 to Mar 29, 2022
- Discretionary RAUM · $1.2B to $1.6BOct 21, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $1.2B to $1.6BOct 21, 2021 to Mar 29, 2022
- RAUM · $1.2B to $1.6BOct 21, 2021 to Mar 29, 2022
- Advisory employees · 61 to 70Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $0 to $1.2BMar 30, 2020 to Mar 31, 2021
- Employees · 141 to 142Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $1.5B to $1.2BMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $1.5B to $1.2BMar 30, 2020 to Mar 31, 2021
Signals
11 dated events
- E•••••••• C••••• C•••••• M••••••••• L•• reported RAUM $415.0M, down 50% from $822.3M (2025-03-31 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Brady Patrick Maloney (Chief Compliance Officer & Associate General Counsel) appeared on Schedule A of E•••••••• C••••• C•••••• M••••••••• L••Jan 11, 2024 · Control person joined · fact
- Joseph Daniel Caffarelli (Chief Compliance Officer) no longer on Schedule A of E•••••••• C••••• C•••••• M••••••••• L•• (listed 2023-11-15, absent 2024-01-11)Jan 11, 2024 · Control person left · inference
- E•••••••• C••••• C•••••• M••••••••• L•• reported RAUM $1.1B, down 34% from $1.6B (2022-03-29 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- E•••••••• C••••• C•••••• M••••••••• L•• reported RAUM $1.6B, up 34% from $1.2B (2021-10-21 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Joseph Daniel Caffarelli (Chief Compliance Officer) appeared on Schedule A of E•••••••• C••••• C•••••• M••••••••• L••Mar 29, 2022 · Control person joined · fact
- S Peter Lin (Chief Compliance Officer) no longer on Schedule A of E•••••••• C••••• C•••••• M••••••••• L•• (listed 2021-05-26, absent 2021-10-21)Oct 21, 2021 · Control person left · inference
- S Peter Lin (Chief Compliance Officer) appeared on Schedule A of E•••••••• C••••• C•••••• M••••••••• L••May 26, 2021 · Control person joined · fact
- Charles David Rice (Chief Compliance Officer) no longer on Schedule A of E•••••••• C••••• C•••••• M••••••••• L•• (listed 2021-05-04, absent 2021-05-26)May 26, 2021 · Control person left · inference
- E•••••••• C••••• C•••••• M••••••••• L•• reported RAUM $1.9B, up 32% from $1.4B (2017-08-30 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- E•••••••• R••••••••• M••••••• 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.
How to reach
public business contact points only, each with its source
- Website
- H•••://WWW.EARNREIT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-698-1200reportedpublic 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