DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

E•••• H•••••• M••••••••• L•

Former SEC-registered adviserFormer SEC adviser1 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $158M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$158M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+43%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 171287 · SEC 801-99355 · 7 filingsShow
CRD 171287SEC 801-99355First filing on the tape May 27, 2015, latest Nov 28, 2017IAPD
RAUM
$158M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$147M gross assets
History
7 filings and snapshots on the tape
RAUM$159M as of Mar 3, 2017
Mar 11, 2016$110M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 3, 2017
Mar 11, 20160 then
Employees (5.A)4 as of Mar 3, 2017
Mar 11, 20163 then
Private funds1 as of Mar 3, 2017
Mar 11, 20161 then
RAUM +43% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Nov 28, 2017; 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
$31.6MderivedRAUM 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
+44%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 businesses and institutions, 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
  • 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•••• H•••••• M••••• F•••• L•Hedge Fund$147M13May 27, 2015
      A•• E•••• H•••••• F•••• L••no longer reportedHedge Fund$68.4M3Jun 2, 2014
      E•••• H•••••• D••••••• F•••• L•no longer reportedHedge Fund$32.6M3May 27, 2015
      E•••• H•••••• O••••••• F•••• L•••no longer reportedHedge Fund$00May 27, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• J••••••• R••••• · Portfolio Manager / Limited Partner / Chief Compliance Officercontrol
        since 05/2015 · owns 75% or more
      • C••••••••• J••••••• R••••• · Managing Membercontrol
        since 05/2015 · owns 75% or more of E•••• H•••••• M••••••••• G•• L••
      Entity owners
      • E•••• H•••••• M••••••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • E•••• H•••••• M••••••••• G•• L••
        y
      • E•••• H•••••• P•••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Other offices · unset to 0.0
        Apr 28, 2017 to Nov 28, 2017
      • Discretionary RAUM · $159M to $158M
        Mar 3, 2017 to Apr 28, 2017
      • RAUM · $159M to $158M
        Mar 3, 2017 to Apr 28, 2017
      • Employees · 3 to 4
        Apr 22, 2016 to Mar 3, 2017
      • Discretionary RAUM · $110M to $159M
        Apr 22, 2016 to Mar 3, 2017
      • RAUM · $110M to $159M
        Apr 22, 2016 to Mar 3, 2017
      • Discretionary RAUM · $110M to $110M
        Mar 11, 2016 to Apr 22, 2016
      • RAUM · $110M to $110M
        Mar 11, 2016 to Apr 22, 2016
      • Accounts · 1 to 5
        Jun 4, 2015 to Mar 11, 2016
      • Advisory activities · 1 to 2
        Jun 4, 2015 to Mar 11, 2016
      • Assets in custody · 0.0 to unset
        Jun 4, 2015 to Mar 11, 2016
      • Private funds · 3 to 1
        Jun 4, 2015 to Mar 11, 2016
      • Discretionary RAUM · $32.6M to $110M
        Jun 4, 2015 to Mar 11, 2016
      • RAUM · $32.6M to $110M
        Jun 4, 2015 to Mar 11, 2016
      • Business name · A•• E•••• H•••••• M••••••••• L•• to E•••• H•••••• M••••••••• L•
        May 27, 2015 to Jun 4, 2015
      • Legal name · A•• E•••• H•••••• M••••••••• L•• to E•••• H•••••• M••••••••• L•
        May 27, 2015 to Jun 4, 2015
      • Private funds · 6 to 3
        May 27, 2015 to Jun 4, 2015
      Signals
      2 dated events
      • ••• Locked
        Jun 4, 2015 · ria registration change · fact
      • ••• Locked
        May 27, 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