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••••••• C•••••• M••••••••• L•
Latest filing May 1, 2025
First filing on the tape Aug 9, 2013 · 30 filings
SEC status approved since Sep 4, 2013
RAUM
$98.3M
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
1
1 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
2
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$98.3M as of May 1, 2025
Mar 11, 2014$127M then
HNW client RAUM$0 as of May 1, 2025
Mar 29, 2024$0 then
State-registered IARs (5.B.3)1 as of May 1, 2025
Mar 11, 20143 then
Employees (5.A)1 as of May 1, 2025
Mar 11, 20145 then
Private funds2 as of May 1, 2025
Mar 11, 20142 then
RAUM -81% over the last fiscal year-40% a year over threeIARs 4 to 1
Practice profile
derived from the filing of May 1, 2025; every figure names its basis
- RAUM per advisor
- $98.3MderivedRAUM 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
- $32.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -77%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$98.3M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| P• M•••••• F•••• S••• • S••••••••• P•••••••• 3• | Hedge Fund | $65.9M | 4 | Nov 14, 2013 |
| P• M•••••• F•••• S••• • S••••••••• P•••••••• 3•no longer reported | Hedge Fund | $50.2M | 1 | Jun 3, 2014 |
| E••••••• H••••• M••••• F••• L• | Hedge Fund | $42.8M | 13 | Aug 9, 2013 |
Owners and control persons
Schedule A and B, latest filing
- P•••• Q••••• M••• · Member And Co-P•••••••• M••••••controlsince 06/2013 · owns 75% or more
- R••••• B••••• C••••••••• · Chief Operating Officer And Chief Compliance Officercontrolsince 08/2013 · owns less than 5%
- P•••• Q••••• M••• · Ownercontrolsince 06/2013 · owns 75% or more of E••••••• H••••••• L••
Entity owners
- E••••••• H••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 2 to 1Mar 29, 2024 to May 1, 2025
- Employees · 3 to 1Mar 29, 2024 to May 1, 2025
- Financial planning clients · unset to Mar 29, 2024 to May 1, 2025
- State-registered IARs · 2 to 1Mar 29, 2024 to May 1, 2025
- Discretionary RAUM · $121M to $98.3MMar 29, 2024 to May 1, 2025
- Pooled vehicle RAUM · $121M to $98.3MMar 29, 2024 to May 1, 2025
- RAUM · $121M to $98.3MMar 29, 2024 to May 1, 2025
- Accounts · 5 to 3Mar 8, 2023 to Mar 29, 2024
- Advisory employees · 6 to 2Mar 8, 2023 to Mar 29, 2024
- Advisory activities · 2 to 1Mar 8, 2023 to Mar 29, 2024
- Pooled vehicle clients · 4 to 3Mar 8, 2023 to Mar 29, 2024
- Employees · 8 to 3Mar 8, 2023 to Mar 29, 2024
- State-registered IARs · 4 to 2Mar 8, 2023 to Mar 29, 2024
- Discretionary RAUM · $525M to $121MMar 8, 2023 to Mar 29, 2024
- HNW RAUM · unset to 0.0Mar 8, 2023 to Mar 29, 2024
- Individual RAUM · unset to 0.0Mar 8, 2023 to Mar 29, 2024
- Pension RAUM · unset to 0.0Mar 8, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $270M to $121MMar 8, 2023 to Mar 29, 2024
- RAUM · $525M to $121MMar 8, 2023 to Mar 29, 2024
- Discretionary RAUM · $555M to $525MNov 3, 2022 to Mar 8, 2023
- Pooled vehicle RAUM · $277M to $270MNov 3, 2022 to Mar 8, 2023
- RAUM · $555M to $525MNov 3, 2022 to Mar 8, 2023
- Discretionary RAUM · $593M to $555MOct 31, 2022 to Nov 3, 2022
- Pooled vehicle RAUM · $352M to $277MOct 31, 2022 to Nov 3, 2022
- RAUM · $593M to $555MOct 31, 2022 to Nov 3, 2022
- Discretionary RAUM · $592M to $593MNov 1, 2021 to Feb 16, 2022
- Pooled vehicle RAUM · $497M to $352MNov 1, 2021 to Feb 16, 2022
- RAUM · $592M to $593MNov 1, 2021 to Feb 16, 2022
- Accounts · 3 to 5May 19, 2021 to Sep 2, 2021
- Advisory employees · 5 to 6May 19, 2021 to Sep 2, 2021
- Advisory activities · 1 to 2May 19, 2021 to Sep 2, 2021
- Pooled vehicle clients · 3 to 4May 19, 2021 to Sep 2, 2021
- Employees · 7 to 8May 19, 2021 to Sep 2, 2021
- Discretionary RAUM · $461M to $592MMay 19, 2021 to Sep 2, 2021
- Pooled vehicle RAUM · $461M to $497MMay 19, 2021 to Sep 2, 2021
- RAUM · $461M to $592MMay 19, 2021 to Sep 2, 2021
- Discretionary RAUM · $462M to $461MFeb 8, 2021 to Apr 8, 2021
- Pooled vehicle RAUM · $462M to $461MFeb 8, 2021 to Apr 8, 2021
- RAUM · $462M to $461MFeb 8, 2021 to Apr 8, 2021
- Discretionary RAUM · $412M to $462MOct 19, 2020 to Feb 8, 2021
Signals
6 dated events
- E••••••• C•••••• M••••••••• L• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $98.3M)Feb 2, 2026 · Left the SEC roster · derived
- E••••••• C•••••• M••••••••• L• reported RAUM $120.6M, down 77% from $525.2M (2023-03-08 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- E••••••• C•••••• M••••••••• L• reported RAUM $591.5M, up 28% from $460.7M (2021-05-19 to 2021-09-02)Sep 2, 2021 · RAUM change · derived
- Nmn Vishal Saluja (Managing Member And Portfolio Manager, Limited Partner) no longer on Schedule A of E••••••• C•••••• M••••••••• L• (listed 2018-10-16, absent 2019-01-30)Jan 30, 2019 · Control person left · inference
- E••••••• C•••••• M••••••••• L• reported RAUM $412.4M, down 35% from $631.6M (2018-02-09 to 2018-10-16)Oct 16, 2018 · RAUM change · derived
- E••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Aug 9, 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