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••••••••• U•
Legal name E••••••••• I••••••••• I•••••••••
Latest filing Aug 10, 2026
First filing on the tape Dec 2, 2013 · 37 filings
SEC status approved since Jan 16, 2014
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$0 as of Aug 10, 2026
Mar 26, 2014$0 then
HNW client RAUM$0 as of Aug 10, 2026
Mar 23, 2018$0 then
State-registered IARs (5.B.3)0 as of Aug 10, 2026
Mar 26, 20140 then
Employees (5.A)6 as of Aug 10, 2026
Mar 26, 20145 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 10, 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- -75%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- pension consulting, otherreportedItem 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)
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=4.0derived
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
- A••••••••• M••••••• J• · Director, Chief Executive Officercontrolsince 06/2020 · owns less than 5%
- H•••••• S••••• · Directorcontrolsince 06/2024 · owns less than 5%
- M••••••• D••••• A••••• · Cco / Head - Compliance, Legal And Governancesince 01/2024 · owns less than 5%
Entity owners
- E••••••••• I••••••••• G•••• P••• L••• · Sole Shareholderdirect · owns 75% or more
- E••••••••• I••••••••• G•••• P••• L••• ••••••••• · Sole Shareholderindirect · owns 75% or more of P••••••••• C••••••••• H••••••• L••••••
- P••••••••• C••••••••• A••• L•••••• · Sole Shareholderindirect · owns 75% or more of P••••••••• H••••••• L••••••
- P••••••••• C••••••••• H••••••• L•••••• · Sole Shareholderindirect · owns 75% or more of P••••••••• S•••••••• Holdings Pte Ltd
- P••••••••• H••••••• L•••••• · Sole Shareholderindirect · owns 75% or more of P••••••••• C••••••••• H••••••• L••••••
- P••••••••• P•• · Sole Shareholderindirect · owns 75% or more of P••••••••• C••••••••• A••• L•••••• · public reporting company
Related persons
Schedule D 7.A
- E••••••••• I••••••••• ••••••••• S•••investment advisern
- E••••••••• I••••••••• ••••••••• L••••••investment adviserbankyRAUM $146B
Advisers that list E••••••••• U• as a related person
- 144603 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Aug 10, 2026portfolio management for pooled vehicles (Item 5.G.4): yes on the filing of 2026-03-12, no on the filing of 2026-08-10peers: other advisers, under $100M (671)
What changed
consecutive filings, newest first
- Accounts · 2 to 0Mar 12, 2026 to Aug 10, 2026
- Advisory activities · 4 to 2Mar 12, 2026 to Aug 10, 2026
- Pooled vehicle clients · 2 to 0Mar 12, 2026 to Aug 10, 2026
- Employees · 7 to 6Mar 12, 2026 to Aug 10, 2026
- Discretionary RAUM · $23.8M to $0Mar 12, 2026 to Aug 10, 2026
- Non-discretionary RAUM · $25.9M to $0Mar 12, 2026 to Aug 10, 2026
- Pooled vehicle RAUM · $49.7M to $0Mar 12, 2026 to Aug 10, 2026
- RAUM · $49.7M to $0Mar 12, 2026 to Aug 10, 2026
- BD registered reps · 5 to 4Oct 10, 2025 to Mar 12, 2026
- Discretionary RAUM · $23.0M to $23.8MOct 10, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $27.0M to $25.9MOct 10, 2025 to Mar 12, 2026
- Pooled vehicle RAUM · $50.0M to $49.7MOct 10, 2025 to Mar 12, 2026
- RAUM · $50.0M to $49.7MOct 10, 2025 to Mar 12, 2026
- Financial planning clients · 0 to 0Jun 9, 2025 to Oct 10, 2025
- Discretionary RAUM · $176M to $23.0MJun 9, 2025 to Oct 10, 2025
- Non-discretionary RAUM · $20.8M to $27.0MJun 9, 2025 to Oct 10, 2025
- Pooled vehicle RAUM · $197M to $50.0MJun 9, 2025 to Oct 10, 2025
- RAUM · $197M to $50.0MJun 9, 2025 to Oct 10, 2025
- Advisory employees · 3 to 4Nov 26, 2024 to Mar 19, 2025
- BD registered reps · 6 to 5Nov 26, 2024 to Mar 19, 2025
- Pooled vehicle clients · 0 to 2Nov 26, 2024 to Mar 19, 2025
- Discretionary RAUM · $189M to $176MNov 26, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $23.6M to $20.8MNov 26, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $0 to $197MNov 26, 2024 to Mar 19, 2025
- RAUM · $212M to $197MNov 26, 2024 to Mar 19, 2025
- Accounts · unset to 2.0Jun 6, 2024 to Nov 26, 2024
- Advisory activities · 2 to 4Jun 6, 2024 to Nov 26, 2024
- Pooled vehicle clients · 1 to 0Jun 6, 2024 to Nov 26, 2024
- Discretionary RAUM · unset to 188912534.0Jun 6, 2024 to Nov 26, 2024
- Non-discretionary RAUM · unset to 23563557.0Jun 6, 2024 to Nov 26, 2024
- RAUM · unset to 212476091.0Jun 6, 2024 to Nov 26, 2024
- Advisory employees · 0 to 3Feb 13, 2024 to Mar 21, 2024
- Pooled vehicle clients · 0 to 1Feb 13, 2024 to Mar 21, 2024
- Employees · 6 to 7Sep 22, 2023 to Feb 9, 2024
- Advisory activities · 1 to 2Jun 30, 2022 to Mar 31, 2023
- BD registered reps · 4 to 6Jun 30, 2022 to Mar 31, 2023
- BD registered reps · 3 to 4May 19, 2022 to Jun 30, 2022
- Employees · 5 to 6May 19, 2022 to Jun 30, 2022
- BD registered reps · 4 to 3Mar 31, 2022 to May 19, 2022
- Employees · 6 to 5Mar 31, 2022 to May 19, 2022
Signals
16 dated events
- E••••••••• U• reported RAUM $50.0M, down 75% from $197.0M (2025-06-09 to 2025-10-10)Oct 10, 2025 · RAUM change · derived
- Manuel George Ferraz (Chairman) no longer on Schedule A of E••••••••• U• (listed 2024-03-21, absent 2024-06-06)Jun 6, 2024 · Control person left · inference
- Salman Haider (Director) appeared on Schedule A of E••••••••• U•Jun 6, 2024 · Control person joined · fact
- William Brian Meikel (Chief Compliance Officer) no longer on Schedule A of E••••••••• U• (listed 2023-03-31, absent 2023-09-22)Sep 22, 2023 · Control person left · inference
- Manuel George Ferraz (Chairman) appeared on Schedule A of E••••••••• U•Jun 30, 2022 · Control person joined · fact
- B•••••• M•••••• X••••• M•••• (Director And Chairman) no longer on Schedule A of E••••••••• U• (listed 2022-03-31, absent 2022-05-19)May 19, 2022 · Control person left · inference
- B••••• S•••• P•••••• (Director) no longer on Schedule A of E••••••••• U• (listed 2021-04-30, absent 2021-08-16)Aug 16, 2021 · Control person left · inference
- B••••• S•••• P•••••• (Director) appeared on Schedule A of E••••••••• U•Mar 31, 2021 · Control person joined · fact
- B•••••• Mark Mandich (Director) no longer on Schedule A of E••••••••• U• (listed 2020-06-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Willis Jeffrey Smith (Chief Executive Office And President, Director) no longer on Schedule A of E••••••••• U• (listed 2020-03-30, absent 2020-06-30)Jun 30, 2020 · Control person left · inference
- J Matthew Appelstein (Director, Chief Executive Officer) appeared on Schedule A of E••••••••• U•Jun 30, 2020 · Control person joined · fact
- Ming He Jaymz Goh (Chief Compliance Officer) no longer on Schedule A of E••••••••• U• (listed 2019-04-11, absent 2019-10-03)Oct 3, 2019 · Control person left · inference
- William Brian Meikel (Chief Compliance Officer) appeared on Schedule A of E••••••••• U•Oct 3, 2019 · Control person joined · fact
- Richard Kevin Gustafson (Director Of Legal And Compliance; Secretary; Chief Compliance Officer) no longer on Schedule A of E••••••••• U• (listed 2019-03-22, absent 2019-04-11)Apr 11, 2019 · Control person left · inference
- Ming He Jaymz Goh (Chief Compliance Officer) appeared on Schedule A of E••••••••• U•Apr 11, 2019 · Control person joined · fact
- E••••••••• U• filed its initial SEC registration (Form ADV)Dec 2, 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
- eastspring.com/us/us-homereportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-730-9600reportedpublic record, Form ADV, Aug 10, 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
- No RAUM reportedderiveda 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