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•••••• E•• A•••••••• L••

Former SEC-registered adviserLeola, PennsylvaniaCRD 170412SEC 801-79397IAPD
Latest filing Jul 31, 2020
First filing on the tape Mar 13, 2014 · 12 filings
RAUM
n/a
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2020
Dec 27, 20140 then
Employees (5.A)5 as of Mar 25, 2020
Dec 27, 20145 then
Private funds1 as of Dec 16, 2016
Dec 27, 20141 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 31, 2020; 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•••••• E•••• F••• I• L•no longer reportedHedge Fund$01Mar 13, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• J•••••• E••••• · President And Board Membercontrol
        since 03/2104 · owns less than 5%
      • J••••••• R•••••• · Chief Financial Officercontrol
        since 03/2014 · owns less than 5%
      • M••••• D•••••• W•••••• · Managing Director Of Business Operations And Board Membercontrol
        since 01/2014 · owns less than 5%
      • R•••• S••••• L•••••• · Chief Administrative Officer And Board Membercontrol
        since 03/2014 · owns less than 5%
      • S••••• A•••••• A•••• · Portfolio Managercontrol
        since 01/2014 · owns less than 5%
      • W•••• P•••• W•••••• · Board Memebercontrol
        since 03/2014 · owns less than 5%
      • W•••••••• J•••••• G••••• · Chief Investment Officer And Board Membercontrol
        since 01/2014 · owns 10% to 25%
      • B•••••••• J•••••• E••••• · Trusteecontrol
        since 09/2012 · owns F of E•••••• A•••• M••••••••• E••••••• S•••• O•••••••• T••••
      • B••••••• C••••••• A••••• · Member/Managercontrol
        since 06/2016 · owns F of 1••• C•••••• G•••• H•••••••• L••
      • H•••••• J•••• T••••• · Member/Managercontrol
        since 01/2018 · owns 50% to 75% of 1••• C•••••• G•••• H•••••••• L••
      • M••••••• C••••••••• · Membercontrol
        since 07/2016 · owns F of 1••• C•••••• G•••• H•••••••• L••
      • M••••• D•••••• W•••••• · Trusteecontrol
        since 09/2012 · owns F of E•••••• A•••• M••••••••• E••••••• S•••• O•••••••• T••••
      • W•••• P•••• W•••••• · Trusteecontrol
        since 09/2012 · owns F of E•••••• A•••• M••••••••• E••••••• S•••• O•••••••• T••••
      • W•••••• M••••••• A••••• R••• · Membercontrol
        since 07/2016 · owns F of 1••• C•••••• G•••• H•••••••• L••
      • M•••••• J••••• A••••• · Chief Compliance Officer
        since 01/2014 · owns less than 5%
      Entity owners
      • E•••••• S••••••• A•••••• M••••••••• L•• · Parent Company
        direct · owns 75% or more
      • 1••• A•••• M••••••••• P••••• L•• · Member
        indirect · owns 75% or more of 1••• A•••• M••••••••• P•••••••• L••
      • 1••• A•••• M••••••••• P•••••••• L•• · Member
        indirect · owns 50% to 75% of E•••••• A•••• M••••••••• P•• L••
      • 1••• C•••••• G•••• H•••••••• L•• · Shareholder
        indirect · owns F of 1••• C•••••• G••••• I•••
      • 1••• C•••••• G••••• I••• · Managing Member
        indirect · owns 75% or more of 1••• F•••••••• C••••••• L••
      • 1••• F•••••••• C••••••• L•• · Member
        indirect · owns 75% or more of 1••• A•••• M••••••••• P••••• L••
      • E•••••• A•••• M••••••••• E••••••• S•••• O•••••••• T•••• · Shareholder
        indirect · owns 75% or more of E•••••• A•••• M••••••••• I•••
      • E•••••• A•••• M••••••••• P•• L•• · Member
        indirect · owns 75% or more of E•••••• S••••••• A•••••• M••••••••• L••
      • E•••••• A•••• M••••••••• I••• · Shareholder
        indirect · owns 25% to 50% of E•••••• A•••• M••••••••• P•• L••
      Related persons
      Schedule D 7.A
      Advisers that list E•••••• E•• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Individual clients · unset to 0.0
        Dec 16, 2016 to Dec 22, 2017
      • Other offices · unset to 0.0
        Dec 16, 2016 to Dec 22, 2017
      • Private funds · 1 to unset
        Dec 16, 2016 to Dec 22, 2017
      • Individual RAUM · unset to 0.0
        Dec 16, 2016 to Dec 22, 2017
      • Custody of client assets · true to false
        Apr 2, 2014 to Dec 27, 2014
      Signals
      1 dated events
      • E•••••• E•• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 13, 2014 · 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