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•••••• C••••••• L••

Former SEC-registered adviserOak Brook, IllinoisCRD 173913SEC 801-113614IAPD
Latest filing Dec 1, 2021
First filing on the tape Jun 14, 2018 · 9 filings
RAUM
$271M
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
13
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$271M gross assets
History
9 filings and snapshots on the tape
RAUM$271M as of Apr 1, 2021
Mar 25, 2019$417M then
HNW client RAUM$0 as of Mar 30, 2020
Mar 25, 2019$0 then
State-registered IARs (5.B.3)0 as of Apr 1, 2021
Mar 25, 20190 then
Employees (5.A)18 as of Apr 1, 2021
Mar 25, 201941 then
Private funds4 as of Apr 1, 2021
Mar 25, 20194 then
RAUM -46% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 1, 2021; 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
$67.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-46%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 pooled vehiclesreportedItem 5.G
Custody
$271M, 4 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
  • 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)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$271M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$271M for 4 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
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•••••• C•••••• F••• I• L•••Other Private Fund$131M87Nov 17, 2014
      E•••••• C•••••• F••• I••••••••• V••••••• L•••Other Private Fund$87.5M5Mar 30, 2018
      E•••••• C•••••• F••• I••••••••• V••••••• L•••Other Private Fund$47.0M3Mar 30, 2018
      E•••••• C•••••• F••• Q• I• L•••Other Private Fund$5.3M6Jun 14, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• J••••• D••• · Director (Independent)control
        since 09/2021 · owns less than 5%
      • G••••• S•••••• · Member Of Operating Committeecontrol
        since 07/2021 · owns less than 5%
      • H••••••••• J••••• P• · Group Chief Financial Officercontrol
        since 09/2013 · owns less than 5%
      • H••••••••• D•••••• R••••• · Chief Operating Officer / Member Of Operating Committeecontrol
        since 03/2020 · owns less than 5%
      • H•••••• J••••••• S•••• · Chief Executive Officercontrol
        since 11/2021 · owns less than 5%
      • K••••••• T••••• M•••••• · Director (Independent)control
        since 09/2021 · owns less than 5%
      • P••••••• R•••••• · Director/Member Holding Series A Preferred Unitscontrol
        since 09/2013 · owns 10% to 25%
      • P••••• J•••• · Director/Member Holding Series A Preferred Unitscontrol
        since 09/2013 · owns 10% to 25%
      • S••••••• W••••••• A••• · Member Holding Series A Preferred Unitscontrol
        since 09/2013 · owns 10% to 25%
      • P••••••• R•••••• · Membercontrol
        since 03/2008 · owns 25% to 50% of R••••••• F•••••• G••••• L••
      • P••••• J•••• · Membercontrol
        since 03/2008 · owns 25% to 50% of R••••••• F•••••• G••••• L••
      • G•••••• C••••••••• M••• · Chief Compliance Officer
        since 11/2018 · owns less than 5%
      • P••••••• R••••••• · General Counsel
        since 07/2018 · owns less than 5%
      • A•••••••• R•••••••• T••• · Director/Member Holding Common Units
        since 06/2009 · owns 50% to 75% of R••••••• F•••••• G••••• L••
      Entity owners
      • R••••••• F•••••• G••••• L•• · Member Holding Common Units
        direct · owns 10% to 25%
      • S•••• I••••••••• F••• I•• L•• · Member Holding Common Units
        direct · owns 5% to 10%
      • S•••• I••••••••• I••••••••• L••• · Member Holding Units
        indirect · owns 50% to 75% of S•••• I••••••••• F••• I•• L••
      Related persons
      Schedule D 7.A
      • E•••••• C•••••• F••• I• G•• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Jun 24, 2021 to Dec 1, 2021
      • Assets in custody · $380M to $271M
        Jun 24, 2021 to Dec 1, 2021
      • Employees · 18 to 13
        Jun 24, 2021 to Dec 1, 2021
      • Employees · 20 to 18
        Aug 25, 2020 to Apr 1, 2021
      • HQ city · CHICAGO to OAK BROOK
        Aug 25, 2020 to Apr 1, 2021
      • Discretionary RAUM · $380M to $271M
        Aug 25, 2020 to Apr 1, 2021
      • HNW RAUM · 0.0 to unset
        Aug 25, 2020 to Apr 1, 2021
      • Individual RAUM · 0.0 to unset
        Aug 25, 2020 to Apr 1, 2021
      • Pension RAUM · 0.0 to unset
        Aug 25, 2020 to Apr 1, 2021
      • Pooled vehicle RAUM · $380M to $271M
        Aug 25, 2020 to Apr 1, 2021
      • RAUM · $380M to $271M
        Aug 25, 2020 to Apr 1, 2021
      • Advisory employees · 7 to 3
        Mar 30, 2020 to Aug 25, 2020
      • Assets in custody · $505M to $380M
        Mar 30, 2020 to Aug 25, 2020
      • Employees · 43 to 20
        Mar 30, 2020 to Aug 25, 2020
      • Discretionary RAUM · $505M to $380M
        Mar 30, 2020 to Aug 25, 2020
      • Pooled vehicle RAUM · $505M to $380M
        Mar 30, 2020 to Aug 25, 2020
      • RAUM · $505M to $380M
        Mar 30, 2020 to Aug 25, 2020
      • Advisory employees · 25 to 7
        Nov 12, 2019 to Mar 30, 2020
      • Assets in custody · $417M to $505M
        Nov 12, 2019 to Mar 30, 2020
      • Employees · 41 to 43
        Nov 12, 2019 to Mar 30, 2020
      • Discretionary RAUM · $417M to $505M
        Nov 12, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $417M to $505M
        Nov 12, 2019 to Mar 30, 2020
      • RAUM · $417M to $505M
        Nov 12, 2019 to Mar 30, 2020
      • Advisory employees · 23 to 25
        Jan 18, 2019 to Mar 25, 2019
      • Assets in custody · $340M to $417M
        Jan 18, 2019 to Mar 25, 2019
      • Employees · 36 to 41
        Jan 18, 2019 to Mar 25, 2019
      • Discretionary RAUM · $340M to $417M
        Jan 18, 2019 to Mar 25, 2019
      • Pooled vehicle RAUM · $340M to $417M
        Jan 18, 2019 to Mar 25, 2019
      • RAUM · $340M to $417M
        Jan 18, 2019 to Mar 25, 2019
      • Assets in custody · $2.5M to $340M
        Jun 14, 2018 to Jan 18, 2019
      • Private funds · 8 to 4
        Jun 14, 2018 to Jan 18, 2019
      Signals
      10 dated events
      • S•••••• G•••• (Member Of Operating Committee) appeared on Schedule A of E•••••• C••••••• L••
        Dec 1, 2021 · Control person joined · fact
      • S•••• J•••••• H••••• (Chief Executive Officer) appeared on Schedule A of E•••••• C••••••• L••
        Dec 1, 2021 · Control person joined · fact
      • Dale James Decker (Director (Independent)) appeared on Schedule A of E•••••• C••••••• L••
        Dec 1, 2021 · Control person joined · fact
      • Michael Terry Keating (Director (Independent)) appeared on Schedule A of E•••••• C••••••• L••
        Dec 1, 2021 · Control person joined · fact
      • B•••• S•••••• (Managing Director / Member Of Operating Committee) no longer on Schedule A of E•••••• C••••••• L•• (listed 2021-06-24, absent 2021-12-01)
        Dec 1, 2021 · Control person left · inference
      • E•••••• C••••••• L•• reported RAUM $271.2M, down 29% from $380.1M (2020-08-25 to 2021-04-01)
        Apr 1, 2021 · RAUM change · derived
      • Robert Donald Hutchison (Acting Chief Operating Officer / Member Of Operating Committee) appeared on Schedule A of E•••••• C••••••• L••
        Aug 25, 2020 · Control person joined · fact
      • B•••• S•••••• (Member Of Operating Committee) appeared on Schedule A of E•••••• C••••••• L••
        Aug 25, 2020 · Control person joined · fact
      • D. Andrew Hall (Chief Credit Officer) no longer on Schedule A of E•••••• C••••••• L•• (listed 2020-03-30, absent 2020-08-25)
        Aug 25, 2020 · Control person left · inference
      • E•••••• C••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 14, 2018 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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