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••
Latest filing Oct 20, 2020
First filing on the tape Feb 13, 2015 · 20 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2020
Jan 5, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2020
Jan 5, 20161 then
Employees (5.A)1 as of Mar 30, 2020
Jan 5, 20161 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Oct 20, 2020; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
- 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)
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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
- T••••• D••••• K••••• to X••• S•••••••Feb 1, 2021 · Other
- T••••• D••••• K••••• to I••••••••• A••••• I••••••••• M••••••••• L••Dec 31, 2017 · Other
Joined, latest
- T••••• D••••• K••••• from I••••••••• A••••• I••••••••• M••••••••• L••Dec 1, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• T•••••• D••••• · Managing Partner, Chief Compliance Officercontrolsince 07/2018 · owns 75% or more
- K•••••• T•••••• D••••• · Shareholdercontrolsince 07/2018 · owns 75% or more of E••••• I•••
Entity owners
- E••••• I••• · Managing Memberdirect · owns 75% or more
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
- Charity clients · unset to 0.0Mar 30, 2020 to Oct 20, 2020
- Corporate clients · unset to 0.0Mar 30, 2020 to Oct 20, 2020
- HNW clients · unset to 0.0Mar 30, 2020 to Oct 20, 2020
- Individual clients · unset to 0.0Mar 30, 2020 to Oct 20, 2020
- Pension plan clients · unset to 0.0Mar 30, 2020 to Oct 20, 2020
- Pooled vehicle clients · unset to 0.0Mar 30, 2020 to Oct 20, 2020
- HNW RAUM · unset to 0.0Mar 30, 2020 to Oct 20, 2020
- Individual RAUM · unset to 0.0Mar 30, 2020 to Oct 20, 2020
- Pension RAUM · unset to 0.0Mar 30, 2020 to Oct 20, 2020
- Pooled vehicle RAUM · unset to 0.0Mar 30, 2020 to Oct 20, 2020
- HQ city · unset to CHICAGOFeb 6, 2019 to May 6, 2019
- HQ state · unset to ILFeb 6, 2019 to May 6, 2019
- Legal name · E•••• C••••••• L•• to ENTREPRENEURIAL CAPITAL MANAGEMENT, LLCOct 15, 2018 to Feb 5, 2019
- Business name · E•••• to E•••• C••••••• L••Feb 5, 2019 to Feb 5, 2019
- Legal name · ENTREPRENEURIAL CAPITAL MANAGEMENT, LLC to E•••• C••••••• L••Feb 5, 2019 to Feb 5, 2019
- Accounts · unset to 0.0Jan 31, 2018 to Oct 15, 2018
- Discretionary RAUM · unset to 0.0Jan 31, 2018 to Oct 15, 2018
- Non-discretionary RAUM · unset to 0.0Jan 31, 2018 to Oct 15, 2018
- RAUM · unset to 0.0Jan 31, 2018 to Oct 15, 2018
- Related broker-dealer · true to falseJan 31, 2018 to Oct 15, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Dec 1, 2017
- Accounts · 0.0 to unsetJan 18, 2016 to Mar 31, 2017
- Discretionary RAUM · 0.0 to unsetJan 18, 2016 to Mar 31, 2017
- Non-discretionary RAUM · 0.0 to unsetJan 18, 2016 to Mar 31, 2017
- RAUM · 0.0 to unsetJan 18, 2016 to Mar 31, 2017
- Advisory activities · 4 to 3Jan 8, 2016 to Jan 18, 2016
- HQ city · CHICAGO to unsetJan 8, 2016 to Jan 18, 2016
- HQ state · IL to unsetJan 8, 2016 to Jan 18, 2016
- Related broker-dealer · false to trueJan 8, 2016 to Jan 18, 2016
- HQ city · unset to CHICAGOJan 5, 2016 to Jan 6, 2016
- HQ state · unset to ILJan 5, 2016 to Jan 6, 2016
Signals
1 dated events
- Early filed its initial SEC registration (Form ADV)Feb 13, 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