DFX Intelligence

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Former SEC-registered adviser

E••••••• E•••••••• P•••••••

Former SEC-registered adviserNew Haven, ConnecticutCRD 171994SEC 801-80041IAPD

Legal name E••••••• E•••••••• P••••••• L••

Latest filing Oct 8, 2024

First filing on the tape Jun 28, 2014 · 19 filings

RAUM

$2.2B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

11 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$2.2B as of Mar 14, 2024

Mar 25, 2015$154M then

HNW client RAUM: $0

State-registered IARs (5.B.3)0 as of Mar 14, 2024

Mar 25, 20150 then

Employees (5.A)11 as of Mar 14, 2024

Mar 25, 20156 then

Private funds: no history

RAUM +4.8% over the last fiscal year+2.7% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Oct 8, 2024; 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: $435MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 12%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: +4.8%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 vehicles, selection of other advisers, 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$1.2B82%
Charitable organizations$266M18%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: 2reported
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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S•••••••• N•••• F••••••• · Managing Partner & Ccocontrol
since 08/2013 · owns 75% or more
C••••••••• K••••••• D••••• · Chief Financial Officer
since 05/2014 · owns less than 5%

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

Advisory employees · 12 to 11
Mar 27, 2023 to Mar 14, 2024
Employees · 12 to 11
Mar 27, 2023 to Mar 14, 2024
Discretionary RAUM · $2.1B to $2.2B
Mar 27, 2023 to Mar 14, 2024
Pooled vehicle RAUM · $1.2B to $1.2B
Mar 27, 2023 to Mar 14, 2024
RAUM · $2.1B to $2.2B
Mar 27, 2023 to Mar 14, 2024
Advisory employees · 11 to 12
Mar 28, 2022 to Mar 27, 2023
Advisory activities · 3 to 4
Mar 28, 2022 to Mar 27, 2023
Charity clients · unset to 2.0
Mar 28, 2022 to Mar 27, 2023
Discretionary RAUM · $2.2B to $2.1B
Mar 28, 2022 to Mar 27, 2023
Pooled vehicle RAUM · $1.3B to $1.2B
Mar 28, 2022 to Mar 27, 2023
RAUM · $2.2B to $2.1B
Mar 28, 2022 to Mar 27, 2023
Accounts · 4 to 5
Mar 12, 2021 to Mar 28, 2022
Advisory employees · 10 to 11
Mar 12, 2021 to Mar 28, 2022
Discretionary RAUM · $2.0B to $2.2B
Mar 12, 2021 to Mar 28, 2022
Pooled vehicle RAUM · $1.2B to $1.3B
Mar 12, 2021 to Mar 28, 2022
RAUM · $2.0B to $2.2B
Mar 12, 2021 to Mar 28, 2022
Advisory employees · 7 to 10
May 13, 2020 to Mar 12, 2021
Discretionary RAUM · $1.8B to $2.0B
May 13, 2020 to Mar 12, 2021
Pooled vehicle RAUM · $1.1B to $1.2B
May 13, 2020 to Mar 12, 2021
RAUM · $1.8B to $2.0B
May 13, 2020 to Mar 12, 2021
Discretionary RAUM · $1.7B to $1.8B
Mar 26, 2020 to May 11, 2020
Pooled vehicle RAUM · $1.1B to $1.1B
Mar 26, 2020 to May 11, 2020
RAUM · $1.7B to $1.8B
Mar 26, 2020 to May 11, 2020
Advisory activities · 4 to 3
Feb 20, 2018 to Feb 7, 2019
Employees · 11 to 12
Feb 20, 2018 to Feb 7, 2019
Discretionary RAUM · $1.8B to $1.7B
Feb 20, 2018 to Feb 7, 2019
HNW RAUM · 0.0 to unset
Feb 20, 2018 to Feb 7, 2019
Pooled vehicle RAUM · $1.1B to $1.1B
Feb 20, 2018 to Feb 7, 2019
RAUM · $1.8B to $1.7B
Feb 20, 2018 to Feb 7, 2019
Accounts · 3 to 4
Mar 23, 2017 to Feb 20, 2018
Advisory employees · 5 to 7
Mar 23, 2017 to Feb 20, 2018
Advisory activities · 3 to 4
Mar 23, 2017 to Feb 20, 2018
Pooled vehicle clients · unset to 1.0
Mar 23, 2017 to Feb 20, 2018
Employees · 8 to 11
Mar 23, 2017 to Feb 20, 2018
Other offices · unset to 0.0
Mar 23, 2017 to Feb 20, 2018
Discretionary RAUM · $628M to $1.8B
Mar 23, 2017 to Feb 20, 2018
HNW RAUM · unset to 0.0
Mar 23, 2017 to Feb 20, 2018
Pooled vehicle RAUM · unset to 1120374484.0
Mar 23, 2017 to Feb 20, 2018
RAUM · $628M to $1.8B
Mar 23, 2017 to Feb 20, 2018
Advisory employees · 4 to 5
Oct 26, 2016 to Mar 23, 2017

Signals

7 dated events

A•••••• J•••• R•••• (Partner) no longer on Schedule A of E••••••• E•••••••• P••••••• (listed 2023-03-27, absent 2024-03-14)
Mar 14, 2024 · Control person left · inference
J•••• Matthew Kogan (Chief Compliance Officer, Chief Operating Officer And Managing Partner) no longer on Schedule A of E••••••• E•••••••• P••••••• (listed 2019-11-06, absent 2020-03-26)
Mar 26, 2020 · Control person left · inference
Ellen D Shuman (Managing Partner) no longer on Schedule A of E••••••• E•••••••• P••••••• (listed 2019-11-06, absent 2020-03-26)
Mar 26, 2020 · Control person left · inference
A•••••• J•••• R•••• (Managing Director) appeared on Schedule A of E••••••• E•••••••• P•••••••
Nov 6, 2019 · Control person joined · fact
Steven Thad Glowacki (Managing Partner/Director Of Investments) no longer on Schedule A of E••••••• E•••••••• P••••••• (listed 2019-10-30, absent 2019-11-06)
Nov 6, 2019 · Control person left · inference
E••••••• E•••••••• P••••••• reported RAUM $1.8B, up 187% from $628.0M (2017-03-23 to 2018-02-20)
Feb 20, 2018 · RAUM change · derived
E••••••• E•••••••• P••••••• filed its initial SEC registration (Form ADV)
Jun 28, 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