DFX Intelligence

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E•• M••••••• G•••• L••

Former SEC-registered adviserFormer SEC adviser· Summit, New Jersey

Former SEC-registered adviser, based in Summit, New Jersey, reporting $3.5B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2023-11-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $3.5B
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2023-11-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 268796 · SEC 801-107165 · 23 filingsShow

CRD 268796SEC 801-107165First filing on the tape Jan 11, 2016, latest Nov 29, 2023IAPD

RAUM

$3.5B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

23 filings and snapshots on the tape

Filed figures over time · the tape starts Jan 11, 2016

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$3.7B as of Feb 7, 2023

Apr 1, 2017$1.2B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Feb 7, 2023

Mar 30, 20164 then

Employees (5.A)16 as of Feb 7, 2023

Mar 30, 201611 then

Private funds: no history

Practice profile

derived from the filing of Nov 29, 2023; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $290MderivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year: -35%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 assetsreportedItem 5.E
Advisory activities: portfolio management for investment companiesreportedItem 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

has discretionary authority over which securities are bought or sold (8.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% investment companies

The breakdown by client type, and the client counts1 client typesShow

Investment companies$3.5B100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 12reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••••• M•••••• · General Counsel & Chief Compliance Officercontrol
since 04/2020 · owns less than 5%
F•••••••• J••• A••••••• · Cfocontrol
since 01/2015 · owns less than 5%
I•••••••• B•••• · M••••••control
since 10/2020 · owns F of E••••••• T••••• M••••••• G•••• L••
M••••••• S•••••• R•••• · Member/M••••••control
since 10/2013 · owns 50% to 75% of E••••••• T••••• M••••••• G•••• L••
Z•••• R••••• · M••••••control
since 10/2020 · owns F of E••••••• T••••• M••••••• G•••• L••

Entity owners

E••••••• T••••• M••••••• G•••• L•• · Holding Company
direct · owns 75% or more
W•••••• F•••••••• S•••••••• L•• · Member
indirect · owns F of E••••••• T••••• M••••••• G•••• L••

Related persons

Schedule D 7.A

E•• M••••••• C•••••• L••
bankn
E•••• F•••••••• L••
broker-dealern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 14 to 12
Aug 3, 2023 to Nov 29, 2023
BD registered reps · 6 to 1
Aug 3, 2023 to Nov 29, 2023
Employees · 14 to 9
Aug 3, 2023 to Nov 29, 2023
Discretionary RAUM · $3.6B to $3.5B
Aug 3, 2023 to Nov 29, 2023
RAUM · $3.6B to $3.5B
Aug 3, 2023 to Nov 29, 2023

Full history · 72 changes

Accounts · 18 to 14
Feb 7, 2023 to Jul 17, 2023
Advisory employees · 3 to 2
Feb 7, 2023 to Jul 17, 2023
BD registered reps · 8 to 6
Feb 7, 2023 to Jul 17, 2023
Employees · 16 to 14
Feb 7, 2023 to Jul 17, 2023
Discretionary RAUM · $3.7B to $3.6B
Feb 7, 2023 to Jul 17, 2023
RAUM · $3.7B to $3.6B
Feb 7, 2023 to Jul 17, 2023
Accounts · 20 to 18
Oct 26, 2022 to Feb 7, 2023
Advisory employees · 7 to 3
Oct 26, 2022 to Feb 7, 2023
Advisory activities · 2 to 1
Oct 26, 2022 to Feb 7, 2023
BD registered reps · 9 to 8
Oct 26, 2022 to Feb 7, 2023
Employees · 24 to 16
Oct 26, 2022 to Feb 7, 2023
Discretionary RAUM · $5.8B to $3.7B
Oct 26, 2022 to Feb 7, 2023
RAUM · $5.8B to $3.7B
Oct 26, 2022 to Feb 7, 2023
Accounts · 12 to 20
Feb 17, 2021 to Mar 24, 2022
Advisory employees · 6 to 7
Feb 17, 2021 to Mar 24, 2022
BD registered reps · 10 to 9
Feb 17, 2021 to Mar 24, 2022
Employees · 19 to 24
Feb 17, 2021 to Mar 24, 2022
Discretionary RAUM · $0 to $5.8B
Feb 17, 2021 to Mar 24, 2022
Non-discretionary RAUM · $7.3B to $0
Feb 17, 2021 to Mar 24, 2022
RAUM · $7.3B to $5.8B
Feb 17, 2021 to Mar 24, 2022
Accounts · 11 to 12
Oct 23, 2020 to Feb 17, 2021
BD registered reps · 11 to 10
Oct 23, 2020 to Feb 17, 2021
Employees · 22 to 19
Oct 23, 2020 to Feb 17, 2021
Non-discretionary RAUM · $2.7B to $7.3B
Oct 23, 2020 to Feb 17, 2021
RAUM · $2.7B to $7.3B
Oct 23, 2020 to Feb 17, 2021
Accounts · 10 to 11
Mar 8, 2019 to Mar 31, 2020
Advisory employees · 5 to 6
Mar 8, 2019 to Mar 31, 2020
BD registered reps · 10 to 11
Mar 8, 2019 to Mar 31, 2020
Employees · 21 to 22
Mar 8, 2019 to Mar 31, 2020
Non-discretionary RAUM · $3.5B to $2.7B
Mar 8, 2019 to Mar 31, 2020
RAUM · $3.5B to $2.7B
Mar 8, 2019 to Mar 31, 2020
Advisory activities · 1 to 2
Feb 8, 2019 to Mar 8, 2019
BD registered reps · 5 to 10
Mar 27, 2018 to Feb 8, 2019
Employees · 14 to 21
Mar 27, 2018 to Feb 8, 2019
Discretionary RAUM · $1.8B to $0
Mar 27, 2018 to Feb 8, 2019
Non-discretionary RAUM · $0 to $3.5B
Mar 27, 2018 to Feb 8, 2019
RAUM · $1.8B to $3.5B
Mar 27, 2018 to Feb 8, 2019
Accounts · 12 to 10
Jul 14, 2017 to Mar 27, 2018
Charity clients · unset to 0.0
Jul 14, 2017 to Mar 27, 2018
Corporate clients · unset to 0.0
Jul 14, 2017 to Mar 27, 2018
HNW clients · unset to 0.0
Jul 14, 2017 to Mar 27, 2018
Individual clients · unset to 0.0
Jul 14, 2017 to Mar 27, 2018
Pension plan clients · unset to 0.0
Jul 14, 2017 to Mar 27, 2018
Pooled vehicle clients · unset to 0.0
Jul 14, 2017 to Mar 27, 2018
Employees · 11 to 14
Jul 14, 2017 to Mar 27, 2018
Other offices · unset to 0.0
Jul 14, 2017 to Mar 27, 2018
Discretionary RAUM · $1.2B to $1.8B
Jul 14, 2017 to Mar 27, 2018
RAUM · $1.2B to $1.8B
Jul 14, 2017 to Mar 27, 2018
Accounts · 10 to 12
Aug 10, 2016 to Apr 1, 2017
Employees · 10 to 11
Aug 10, 2016 to Apr 1, 2017
State-registered IARs · 5 to 0
Aug 10, 2016 to Apr 1, 2017
Discretionary RAUM · $763M to $1.2B
Aug 10, 2016 to Apr 1, 2017
RAUM · $763M to $1.2B
Aug 10, 2016 to Apr 1, 2017
Related broker-dealer · false to true
Aug 10, 2016 to Apr 1, 2017
Succession · true to false
May 26, 2016 to Jun 7, 2016
Accounts · unset to 10.0
Mar 30, 2016 to May 26, 2016
Advisory employees · 3 to 5
Mar 30, 2016 to May 26, 2016
BD registered reps · 6 to 5
Mar 30, 2016 to May 26, 2016
Employees · 11 to 10
Mar 30, 2016 to May 26, 2016
State-registered IARs · 4 to 5
Mar 30, 2016 to May 26, 2016
Discretionary RAUM · unset to 763470844.0
Mar 30, 2016 to May 26, 2016
Non-discretionary RAUM · unset to 0.0
Mar 30, 2016 to May 26, 2016
RAUM · unset to 763470844.0
Mar 30, 2016 to May 26, 2016
Related adviser · true to false
Mar 30, 2016 to May 26, 2016
Succession · false to true
Mar 30, 2016 to May 26, 2016
Business name · E•• M•••••• G•••• L•• to E•• M••••••• G•••• L••
Feb 22, 2016 to Mar 30, 2016
Related adviser · false to true
Feb 22, 2016 to Mar 30, 2016

Signals

12 dated events

••• Locked
Jul 18, 2023 · Control person joined · fact
••• Locked
Feb 7, 2023 · RAUM change · derived
••• Locked
Oct 26, 2022 · Control person left · inference
••• Locked
Mar 24, 2022 · Control person left · inference
••• Locked
Feb 17, 2021 · RAUM change · derived

Full timeline · 12 events

••• Locked
Oct 23, 2020 · Control person joined · fact
••• Locked
Oct 23, 2020 · Control person joined · fact
••• Locked
Oct 23, 2020 · Control person joined · fact
••• Locked
Feb 8, 2019 · RAUM change · derived
••• Locked
Mar 27, 2018 · RAUM change · derived
••• Locked
May 26, 2016 · Succession (Item 4) · fact
••• Locked
Jan 11, 2016 · 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

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026