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

P••••••• C••••••

Former SEC-registered adviserCRD 174024SEC 801-80658IAPD
Legal name E••••••• C••••••• L••
Latest filing Jul 1, 2020
First filing on the tape Nov 21, 2014 · 9 filings
RAUM
$98.9M
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
72%
$70.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$28.0M gross assets
History
9 filings and snapshots on the tape
RAUM$98.9M as of Jul 1, 2020
Mar 30, 2016$131M then
HNW client RAUM$70.8M as of Jul 1, 2020
Mar 27, 2018$107M then
State-registered IARs (5.B.3)0 as of Jul 1, 2020
Mar 30, 20160 then
Employees (5.A)2 as of Jul 1, 2020
Mar 30, 20161 then
Private funds1 as of Jul 1, 2020
Mar 30, 20171 then
RAUM -29% over the last fiscal year-8.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 1, 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
$70.8MderivedHNW RAUM over HNW clients
Average account
$3.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
67%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
-29%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 individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$83.6M, 2 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)
  • 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)
  • 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
  • High-net-worth individuals$70.8M72%
  • Pooled investment vehicles$28.0M28%
Individual clients
n/areported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
29reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$83.6M for 2 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••• I••••••••• P•••••••• L••no longer reportedHedge Fund$43.3M3Nov 21, 2014
      P••••••• I••••••••• P•••••••• L•Hedge Fund$28.0M2Mar 30, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • S••••• S•••• M•••••• · Managing Member, Ccocontrol
        since 06/2011 · owns 75% or more
      Related persons
      Schedule D 7.A
      • P••••••• A•••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 32 to 29
        Mar 27, 2018 to Jul 1, 2020
      • Assets in custody · $123M to $83.6M
        Mar 27, 2018 to Jul 1, 2020
      • Discretionary RAUM · $73.0M to $66.4M
        Mar 27, 2018 to Jul 1, 2020
      • HNW RAUM · $107M to $70.8M
        Mar 27, 2018 to Jul 1, 2020
      • Non-discretionary RAUM · $66.0M to $32.5M
        Mar 27, 2018 to Jul 1, 2020
      • Pooled vehicle RAUM · $31.5M to $28.0M
        Mar 27, 2018 to Jul 1, 2020
      • RAUM · $139M to $98.9M
        Mar 27, 2018 to Jul 1, 2020
      • Assets in custody · $123M to $123M
        Jan 2, 2018 to Mar 27, 2018
      • Discretionary RAUM · $68.3M to $73.0M
        Jan 2, 2018 to Mar 27, 2018
      • HNW RAUM · $103M to $107M
        Jan 2, 2018 to Mar 27, 2018
      • Non-discretionary RAUM · $65.0M to $66.0M
        Jan 2, 2018 to Mar 27, 2018
      • Pooled vehicle RAUM · $30.7M to $31.5M
        Jan 2, 2018 to Mar 27, 2018
      • RAUM · $133M to $139M
        Jan 2, 2018 to Mar 27, 2018
      • Accounts · 30 to 32
        Mar 30, 2017 to Jan 2, 2018
      • Advisory employees · 1 to 2
        Mar 30, 2017 to Jan 2, 2018
      • Advisory activities · 2 to 3
        Mar 30, 2017 to Jan 2, 2018
      • HNW clients · unset to 1.0
        Mar 30, 2017 to Jan 2, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 30, 2017 to Jan 2, 2018
      • Assets in custody · $50.0M to $123M
        Mar 30, 2017 to Jan 2, 2018
      • Employees · 1 to 2
        Mar 30, 2017 to Jan 2, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Jan 2, 2018
      • Discretionary RAUM · $59.6M to $68.3M
        Mar 30, 2017 to Jan 2, 2018
      • HNW RAUM · unset to 102627361.0
        Mar 30, 2017 to Jan 2, 2018
      • Non-discretionary RAUM · $72.9M to $65.0M
        Mar 30, 2017 to Jan 2, 2018
      • Pooled vehicle RAUM · unset to 30659906.0
        Mar 30, 2017 to Jan 2, 2018
      • RAUM · $133M to $133M
        Mar 30, 2017 to Jan 2, 2018
      • Accounts · 26 to 30
        Mar 30, 2016 to Mar 30, 2017
      • Business name · C•••••••• A••••••• to P••••••• C••••••
        Mar 30, 2016 to Mar 30, 2017
      • Assets in custody · $64.6M to $50.0M
        Mar 30, 2016 to Mar 30, 2017
      • Private funds · unset to 1
        Mar 30, 2016 to Mar 30, 2017
      • Discretionary RAUM · $70.7M to $59.6M
        Mar 30, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $60.0M to $72.9M
        Mar 30, 2016 to Mar 30, 2017
      • RAUM · $131M to $133M
        Mar 30, 2016 to Mar 30, 2017
      • Accounts · 41 to 26
        Apr 30, 2015 to Mar 30, 2016
      • Advisory employees · 2 to 1
        Apr 30, 2015 to Mar 30, 2016
      • Advisory activities · 4 to 2
        Apr 30, 2015 to Mar 30, 2016
      • Assets in custody · $228M to $64.6M
        Apr 30, 2015 to Mar 30, 2016
      • Employees · 2 to 1
        Apr 30, 2015 to Mar 30, 2016
      • HQ city · CHARLOTTE to unset
        Apr 30, 2015 to Mar 30, 2016
      • HQ state · NC to unset
        Apr 30, 2015 to Mar 30, 2016
      Signals
      1 dated events
      • C•••••••• A••••••• filed its initial SEC registration (Form ADV)
        Nov 21, 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