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••••• M••••••••• C••••••• L••
Latest filing Oct 4, 2018
First filing on the tape Jan 30, 2015 · 9 filings
RAUM
$1.0B
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
102
65 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
6
$247M gross assets
History
9 filings and snapshots on the tape
RAUM$1.0B as of Mar 29, 2018
Mar 30, 2016$190M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 30, 20160 then
Employees (5.A)102 as of Mar 29, 2018
Mar 30, 201692 then
Private funds6 as of Mar 29, 2018
Mar 30, 20168 then
RAUM +259% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 4, 2018; 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
- $112MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +259%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 vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $287M, 7 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$968M96%
- Investment companies$44.5M4.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $287M for 7 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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•• T••••••• C••••••••• L•no longer reported | Private Equity Fund | $46.2M | 4 | Mar 30, 2016 |
| E•• G••••• P•••••• D••• •••••• U••• L•no longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2016 |
| E•• G••••• P•••••• D••• S•• F•••••• L•no longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2016 |
| E•• G••••• P•••••• D••• F••••• •••• L•no longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2016 |
| E•• G••••• P•••••• D••• F•••••• L•no longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2016 |
Owners and control persons
Schedule A and B, latest filing
- A••••• P••••••• S•••• · Chief Financial Officer Of Registrantcontrolsince 12/2014 · owns less than 5%
- S••••••••• W••••••• C•••••• · President Of Registrantcontrolsince 12/2014 · owns less than 5%
- T•••••• R•••••• B•••• · Chief Executive Officer Of Registrantcontrolsince 12/2014 · owns less than 5%
- V•••••• R•••••• L•••• · General Counsel Of Registrantcontrolsince 12/2014 · owns less than 5%
- V••••• C••••• P•••• · Chief Compliance Officer Of Registrantcontrolsince 12/2014 · owns less than 5%
- W•••• R••••••• S•••• · Chief Operating Officer Of Registrantcontrolsince 12/2014 · owns less than 5%
- T•••••• R•••••• B•••• · Trusteecontrolsince 11/2010 · owns F of T•• R• B•••• T••••• 2••• I••••••••• T••••
- W•••• R••••••• S•••• · Member [Through The R•••••• W••• 2010 I••••••••• Trust And The Kristina W••• 2010 I••••••••• Trust, R•••••• W••• As Trustee]controlsince 11/2010 · owns 25% to 50% of E•• G••••• E••••• P•••••••• L••
Entity owners
- E•• A•••• M••••••••• L•• · Sole Member Of Registrantdirect · owns 75% or more
- E•• G••••• E••••• P•••••••• L•• · Memberindirect · owns 75% or more of E•• A•••• M••••••••• L••
- T•• R• B•••• T••••• 2••• I••••••••• T•••• · Memberindirect · owns 50% to 75% of E•• G••••• E••••• P•••••••• L••
Related persons
Schedule D 7.A
- E•• A••••• C••••••••• G•• L••bankpooled vehicle sponsorn
- E•• A•••• H••••••• G•• L••bankpooled vehicle sponsorn
- E•• A•••• M••••••••• L••bankpooled vehicle sponsory
- E•• A•••••• H••••••• ••••••• G•• L••bankpooled vehicle sponsorn
- E•• B•• C••••••••• G•• L•••bankpooled vehicle sponsorn
- E•• C••••• C•••••• C••••••••• G•• L••bankpooled vehicle sponsorn
- E•• D••••••• G•• L••bankpooled vehicle sponsorn
- E•• E••••• F••• X• G•• L••bankpooled vehicle sponsorn
- E•• E••••• F••• X•• G•• L••bankpooled vehicle sponsorn
- E•• E••••• F••• X• G•• L••bankpooled vehicle sponsorn
- E•• E••••• F••• X•• G•• L••bankpooled vehicle sponsorn
- E•• E••••• F••• X•• S••••••• G•• L•pooled vehicle sponsorn
- E•• E••••• F••• X••• G•• L••bankpooled vehicle sponsorn
- E•• E••••• I•••••••• X• ••••••••• L•••bankpooled vehicle sponsorn
- E•• F•••• I• C••••••••• G•• L••bankpooled vehicle sponsorn
- E•• F•••• M••••••••• L••bankpooled vehicle sponsorn
- E•• G••••• E••••• ••••• L•••investment advisern
- E•• G••••• E••••• ••••••••• P••• L•••investment advisern
- E•• G••••• E••••• ••••••• R••••••••• L••••investment advisern
- E•• G••••• E••••• •••••••• L••••••investment advisern
- E•• G••••• E••••• K••••• L•••investment adviserpooled vehicle sponsorn
- E•• G••••• E••••• P••••••• C•••••• M••••••• L••broker-dealern
- E•• G••••• P•••••• D••• F••• G•• L••bankpooled vehicle sponsorn
- E•• G••• E•••••• G• 2• L•bankpooled vehicle sponsorn
- E•• G••• E•••••• G• 3• L•bankpooled vehicle sponsorn
- E•• H•••••• E••••• A••••••• L•••investment adviserbankn
- E•• H•••••• E••••• F••••• G•• L••bankpooled vehicle sponsorn
- E•• L•• C••••••••• G•• L••bankpooled vehicle sponsorn
- E•• M••••••••• C••••••• L••investment adviserbankpooled vehicle sponsornRAUM $22B
- E•• N•• C••••••••• G•• L••bankpooled vehicle sponsorn
Advisers that list E•• C••••• M••••••••• C••••••• L•• as a related person
- 293054 n
Offices
Schedule D 1.F, the 25 largest
- Houston, TX36 employees
- Washington, DC1 employees
What changed
consecutive filings, newest first
- Accounts · 10 to 9Mar 30, 2017 to Mar 29, 2018
- BD registered reps · 1 to 4Mar 30, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 7.0Mar 30, 2017 to Mar 29, 2018
- Assets in custody · $173M to $287MMar 30, 2017 to Mar 29, 2018
- Employees · 97 to 102Mar 30, 2017 to Mar 29, 2018
- Other offices · unset to 2.0Mar 30, 2017 to Mar 29, 2018
- Discretionary RAUM · $282M to $1.0BMar 30, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 967871200.0Mar 30, 2017 to Mar 29, 2018
- RAUM · $282M to $1.0BMar 30, 2017 to Mar 29, 2018
- Related broker-dealer · false to trueMar 30, 2017 to Mar 29, 2018
- Advisory employees · 61 to 65Mar 30, 2016 to Mar 30, 2017
- BD registered reps · 0 to 1Mar 30, 2016 to Mar 30, 2017
- Assets in custody · $42.3M to $173MMar 30, 2016 to Mar 30, 2017
- Employees · 92 to 97Mar 30, 2016 to Mar 30, 2017
- Private funds · 8 to 6Mar 30, 2016 to Mar 30, 2017
- Discretionary RAUM · $190M to $282MMar 30, 2016 to Mar 30, 2017
- RAUM · $190M to $282MMar 30, 2016 to Mar 30, 2017
- Accounts · 0 to 10Jan 28, 2016 to Mar 30, 2016
- Advisory employees · 45 to 61Jan 28, 2016 to Mar 30, 2016
- Assets in custody · $0 to $42.3MJan 28, 2016 to Mar 30, 2016
- Employees · 76 to 92Jan 28, 2016 to Mar 30, 2016
- Private funds · unset to 8Jan 28, 2016 to Mar 30, 2016
- Discretionary RAUM · $0 to $190MJan 28, 2016 to Mar 30, 2016
- RAUM · $0 to $190MJan 28, 2016 to Mar 30, 2016
Signals
2 dated events
- E•• C••••• M••••••••• C••••••• L•• reported RAUM $1.0B, up 259% from $281.7M (2017-03-30 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- E•• C••••• M••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Jan 30, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E•• C••••• M••••••••• C••••••• L•• · Private Equityshared crd · organization
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