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•••••••••
Legal name E•••••• C•••••• S••••••••• L••
Latest filing Mar 29, 2019
First filing on the tape Sep 23, 2015 · 10 filings
RAUM
$14.4M
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
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$14.4M gross assets
History
10 filings and snapshots on the tape
RAUM$14.4M as of Mar 29, 2019
Mar 30, 2016$296M then
HNW client RAUM$0 as of Mar 29, 2019
Mar 30, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 29, 2019
Mar 30, 20163 then
Employees (5.A)5 as of Mar 29, 2019
Mar 30, 20169 then
Private funds3 as of Mar 29, 2019
Mar 30, 20163 then
RAUM -95% over the last fiscal year-64% a year over threeIARs 3 to 1
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
- RAUM per advisor
- $14.4MderivedRAUM 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
- $4.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -95%derivedbetween the last two annual amendments
- Advisor growth, one year
- -67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $14.4M, 3 clientsreportedItem 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)
- has custody of client cash or bank accounts (9.A.1.a)
- 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$14.4M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $14.4M for 3 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
- S••••• L•• D••••• to P•••• O••••••••• I••••••••• G•••• L••May 18, 2018 · Other
- R••• N••••• R•••••••• to A••••••••• L•••Jan 17, 2018 · Other
Joined, latest
- R••• N••••• R•••••••• from W•••••••• I••••••••• M••••••••• I•••Oct 18, 2016 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••••• S•••••• O••••••••• F•••• L••• | Hedge Fund | $7.8M | 9 | Mar 30, 2017 |
| D••••••••• S•••••• F••• L••no longer reported | Hedge Fund | $7.0M | 10 | Sep 23, 2015 |
| E•••••• C•••••• F•••• L••• | Hedge Fund | $4.4M | 70 | Nov 5, 2013 |
| E•••••• D••••••••• F•••• L••• | Hedge Fund | $2.2M | 39 | Mar 31, 2015 |
Owners and control persons
Schedule A and B, latest filing
- J••••• C••••••• P••••••• · Head Of Technology/Chief Compliance Officercontrolsince 05/2018 · owns less than 5%
- M•••••• C••••••• P•••• · Membercontrolsince 04/2013 · owns 25% to 50%
- R••••• S••••• A•••• · Managing Membercontrolsince 04/2013 · owns 10% to 25%
- S•••••• A••••• M••••••• · Chief Executive Officercontrolsince 07/2013 · owns less than 5%
- T••••••••• W••••••• J•••• · Membercontrolsince 04/2013 · owns 25% to 50%
- R•••• A•••••• T••••• · Membersince 04/2013 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 3Jun 28, 2018 to Mar 29, 2019
- Pooled vehicle clients · 4 to 3Jun 28, 2018 to Mar 29, 2019
- Assets in custody · $276M to $14.4MJun 28, 2018 to Mar 29, 2019
- Employees · 4 to 5Jun 28, 2018 to Mar 29, 2019
- Discretionary RAUM · $276M to $14.4MJun 28, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $276M to $14.4MJun 28, 2018 to Mar 29, 2019
- RAUM · $276M to $14.4MJun 28, 2018 to Mar 29, 2019
- Advisory employees · 3 to 1Mar 30, 2018 to May 18, 2018
- Employees · 6 to 4Mar 30, 2018 to May 18, 2018
- State-registered IARs · 3 to 1Mar 30, 2018 to May 18, 2018
- Advisory employees · 4 to 3Mar 30, 2017 to Mar 30, 2018
- Charity clients · unset to 0.0Mar 30, 2017 to Mar 30, 2018
- Corporate clients · unset to 0.0Mar 30, 2017 to Mar 30, 2018
- HNW clients · unset to 0.0Mar 30, 2017 to Mar 30, 2018
- Individual clients · unset to 0.0Mar 30, 2017 to Mar 30, 2018
- Pension plan clients · unset to 0.0Mar 30, 2017 to Mar 30, 2018
- Pooled vehicle clients · unset to 4.0Mar 30, 2017 to Mar 30, 2018
- Assets in custody · $344M to $276MMar 30, 2017 to Mar 30, 2018
- Employees · 10 to 6Mar 30, 2017 to Mar 30, 2018
- State-registered IARs · 4 to 3Mar 30, 2017 to Mar 30, 2018
- Other offices · unset to 0.0Mar 30, 2017 to Mar 30, 2018
- Discretionary RAUM · $344M to $276MMar 30, 2017 to Mar 30, 2018
- HNW RAUM · unset to 0.0Mar 30, 2017 to Mar 30, 2018
- Individual RAUM · unset to 0.0Mar 30, 2017 to Mar 30, 2018
- Pension RAUM · unset to 0.0Mar 30, 2017 to Mar 30, 2018
- Pooled vehicle RAUM · unset to 276000000.0Mar 30, 2017 to Mar 30, 2018
- RAUM · $344M to $276MMar 30, 2017 to Mar 30, 2018
- Accounts · 2 to 4Oct 18, 2016 to Mar 30, 2017
- Advisory employees · 3 to 4Oct 18, 2016 to Mar 30, 2017
- Assets in custody · $296M to $344MOct 18, 2016 to Mar 30, 2017
- Employees · 9 to 10Oct 18, 2016 to Mar 30, 2017
- State-registered IARs · 3 to 4Oct 18, 2016 to Mar 30, 2017
- Private funds · 2 to 3Oct 18, 2016 to Mar 30, 2017
- Discretionary RAUM · $296M to $344MOct 18, 2016 to Mar 30, 2017
- RAUM · $296M to $344MOct 18, 2016 to Mar 30, 2017
- Accounts · 3 to 2Mar 30, 2016 to Jun 10, 2016
- Private funds · 3 to 2Mar 30, 2016 to Jun 10, 2016
- Advisory employees · 8 to 3Sep 23, 2015 to Mar 30, 2016
- Business name · E•••••• C•••••• S••••••••• L•• to E•••••• A•••• M•••••••••Sep 23, 2015 to Mar 30, 2016
- Assets in custody · $230M to $296MSep 23, 2015 to Mar 30, 2016
Signals
2 dated events
- E•••••• A•••• M••••••••• reported RAUM $14.4M, down 95% from $276.0M (2018-06-28 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- E•••••• C•••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Sep 23, 2015 · 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