DFX Intelligence
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SEC-registered adviser
E•••• C•••••• M••••••••• L•••
Latest filing Mar 30, 2026
First filing on the tape Mar 13, 2017 · 14 filings
SEC status approved since Mar 20, 2017
RAUM
$492M
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$492M as of Mar 30, 2026
Mar 26, 2018$344M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 26, 20180 then
Employees (5.A)8 as of Mar 30, 2026
Mar 26, 20188 then
Private funds1 as of Mar 30, 2026
Mar 26, 20181 then
RAUM -14% over the last fiscal year-3.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- $123MderivedRAUM 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
- -14%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
- $399M, 3 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)
- 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
- Pooled investment vehicles$492M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $399M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••• C•••••• M••••• F•••• L••• | Hedge Fund | $409M | 130 | Jul 17, 2015 |
Owners and control persons
Schedule A and B, latest filing
- A••••• A•••• M••• · Chief Compliance Officer, Chief Financial Officercontrolsince 01/2015 · owns less than 5%
- H•••••• J••••••• M••• · Managing Partner, Portfolio Managercontrolsince 10/2014 · owns less than 5%
- H••••••• J••••••• C•••••• · Managing Partnercontrolsince 01/2015 · owns 25% to 50%
- H•••••• J••••••• M••• · Managing Membercontrolsince 10/2014 · owns 75% or more of E•••• C•••••• G•• L••
- H•••••• J••••••• M••• · Manager, Membercontrolsince 12/2014 · owns 75% or more of T•••• H••••••• LLC
Entity owners
- E•••• C•••••• G•• L•• · General Partnerdirect · owns less than 5%
- T•••• H•••••••• L•• · Limited Partnerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- E•••• C•••••• A•••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $465M to $399MMar 31, 2025 to Mar 30, 2026
- Employees · 7 to 8Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $572M to $492MMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $572M to $492MMar 31, 2025 to Mar 30, 2026
- RAUM · $572M to $492MMar 31, 2025 to Mar 30, 2026
- Advisory employees · 5 to 4Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $409M to $465MMar 29, 2024 to Mar 31, 2025
- Employees · 8 to 7Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $489M to $572MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $489M to $572MMar 29, 2024 to Mar 31, 2025
- RAUM · $489M to $572MMar 29, 2024 to Mar 31, 2025
- Advisory employees · 6 to 5Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $463M to $409MMar 30, 2023 to Mar 29, 2024
- Employees · 9 to 8Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $541M to $489MMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $541M to $489MMar 30, 2023 to Mar 29, 2024
- RAUM · $541M to $489MMar 30, 2023 to Mar 29, 2024
- Assets in custody · $932M to $463MMar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.0B to $541MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.0B to $541MMar 30, 2022 to Mar 30, 2023
- RAUM · $1.0B to $541MMar 30, 2022 to Mar 30, 2023
- Assets in custody · $1.1B to $932MNov 15, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.2B to $1.0BNov 15, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.2B to $1.0BNov 15, 2021 to Mar 30, 2022
- RAUM · $1.2B to $1.0BNov 15, 2021 to Mar 30, 2022
- HQ city · NEW YORK to GREENWICHJun 9, 2021 to Nov 15, 2021
- HQ state · NY to CTJun 9, 2021 to Nov 15, 2021
- Advisory employees · 5 to 6Mar 26, 2020 to Mar 26, 2021
- Assets in custody · $771M to $1.1BMar 26, 2020 to Mar 26, 2021
- Employees · 7 to 9Mar 26, 2020 to Mar 26, 2021
- Discretionary RAUM · $865M to $1.2BMar 26, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $865M to $1.2BMar 26, 2020 to Mar 26, 2021
- RAUM · $865M to $1.2BMar 26, 2020 to Mar 26, 2021
- Advisory employees · 6 to 5Mar 26, 2019 to Mar 26, 2020
- Assets in custody · $532M to $771MMar 26, 2019 to Mar 26, 2020
- Employees · 9 to 7Mar 26, 2019 to Mar 26, 2020
- Discretionary RAUM · $601M to $865MMar 26, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $601M to $865MMar 26, 2019 to Mar 26, 2020
Signals
5 dated events
- E•••• C•••••• M••••••••• L••• reported RAUM $541.2M, down 47% from $1.0B (2022-03-30 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- E•••• C•••••• M••••••••• L••• reported RAUM $1.2B, up 42% from $865.0M (2020-03-26 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- E•••• C•••••• M••••••••• L••• reported RAUM $865.0M, up 44% from $601.2M (2019-03-26 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- E•••• C•••••• M••••••••• L••• reported RAUM $601.2M, up 75% from $344.5M (2018-03-26 to 2019-03-26)Mar 26, 2019 · RAUM change · derived
- E•••• C•••••• M••••••••• L••• filed its initial SEC registration (Form ADV)Mar 13, 2017 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/15220735reportedpublic record, Form ADV, Mar 30, 2026
- Website
- E••••CAP.COMreportedpublic record, Form ADV, Mar 30, 2026
- Principal office phone
- 212-601-5590reportedpublic record, Form ADV, Mar 30, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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