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••••••• F•••• L••

Former SEC-registered adviserNew York, New YorkCRD 281785SEC 801-106805IAPD
Latest filing Mar 30, 2023
First filing on the tape Oct 13, 2015 · 28 filings
RAUM
$1.1B
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
9
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.1B as of Mar 30, 2023
Mar 30, 2016$56.4M then
HNW client RAUM$0 as of Mar 30, 2023
Mar 28, 2019$0 then
State-registered IARs (5.B.3)2 as of Mar 30, 2023
Mar 30, 20160 then
Employees (5.A)9 as of Mar 30, 2023
Mar 30, 20169 then
Private funds: no history
RAUM -23% over the last fiscal year-3.1% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 30, 2023; every figure names its basis
RAUM per advisor
$543MderivedRAUM 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
$272MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-23%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companies, otherreportedItem 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
  • Investment companies$1.1B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••• D••••••• W•••••• · Chief Executive Officercontrol
    since 05/2020 · owns less than 5%
  • G•••••• K••••• R••••• · Managing Partnercontrol
    since 10/2015 · owns less than 5%
  • J•••••• K••••••• G• · Chief Compliance Officercontrol
    since 03/2022 · owns less than 5%
  • M•••••••• M•••••• · Chief Operating Officercontrol
    since 10/2015 · owns less than 5%
  • N•••••• D••••• J•••• · Partnercontrol
    since 10/2015 · owns less than 5%
  • C••••• D••••••• W•••••• · Membercontrol
    since 03/2019 · owns 75% or more of E••••••• C••••••• L••
  • G•••••• K••••• R••••• · Membercontrol
    since 05/2020 · owns 25% to 50% of J•••• A•••• H••••••• L••
  • N•••••• D••••• J•••• · Membercontrol
    since 05/2020 · owns 50% to 75% of J•••• A•••• H••••••• L••
Entity owners
  • E••••••• J•• L••• · Member
    direct · owns 10% to 25%
  • J•••• A•••• I••••••••• L•• · Member
    direct · owns 75% or more
  • E••••••• A•••• M••••••••• G• L•• · General Partner
    indirect · owns F of E••••••• A•••• M••••••••• L•
  • E••••••• A•••• M••••••••• L• · Owner
    indirect · owns 75% or more of E••••••• J•• L•••
  • E••••••• C••••••• L•• · Owner
    indirect · owns 75% or more of E••••••• A•••• M••••••••• L•
  • E••••••• J•• M••••••••• L•• · General Partner
    indirect · owns F of E••••••• J•• L•••
  • J•••• A•••• H••••••• L•• · Member
    indirect · owns 50% to 75% of J•••• A•••• I••••••••• L••
Related persons
Schedule D 7.A
Advisers that list E••••••• F•••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
New York, Ny · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 7 to 4
    Mar 29, 2022 to Mar 30, 2023
  • BD registered reps · 8 to 6
    Mar 29, 2022 to Mar 30, 2023
  • Employees · 11 to 9
    Mar 29, 2022 to Mar 30, 2023
  • State-registered IARs · 3 to 2
    Mar 29, 2022 to Mar 30, 2023
  • Discretionary RAUM · $1.4B to $1.1B
    Mar 29, 2022 to Mar 30, 2023
  • RAUM · $1.4B to $1.1B
    Mar 29, 2022 to Mar 30, 2023
  • Related adviser · false to true
    Mar 29, 2022 to Mar 30, 2023
  • Accounts · 16 to 7
    Jan 4, 2022 to Mar 29, 2022
  • Advisory employees · 5 to 3
    Jan 4, 2022 to Mar 29, 2022
  • BD registered reps · 20 to 8
    Jan 4, 2022 to Mar 29, 2022
  • Employees · 20 to 11
    Jan 4, 2022 to Mar 29, 2022
  • Insurance-licensed employees · 5 to 0
    Jan 4, 2022 to Mar 29, 2022
  • State-registered IARs · 4 to 3
    Jan 4, 2022 to Mar 29, 2022
  • Discretionary RAUM · $1.1B to $1.4B
    Jan 4, 2022 to Mar 29, 2022
  • RAUM · $1.1B to $1.4B
    Jan 4, 2022 to Mar 29, 2022
  • Business name · J•••• A•••• A•••••••• L•• to E••••••• F•••• L••
    Aug 23, 2021 to Aug 23, 2021
  • Legal name · J•••• A•••• A•••••••• L•• to E••••••• F•••• L••
    Aug 23, 2021 to Aug 23, 2021
  • Employees · 23 to 20
    Jun 24, 2020 to Mar 26, 2021
  • Insurance-licensed employees · 2 to 5
    Jun 24, 2020 to Mar 26, 2021
  • Other offices · 1 to 0
    Jun 24, 2020 to Mar 26, 2021
  • Discretionary RAUM · $1.1B to $1.1B
    Jun 24, 2020 to Mar 26, 2021
  • RAUM · $1.1B to $1.1B
    Jun 24, 2020 to Mar 26, 2021
  • Related adviser · true to false
    Jun 24, 2020 to Mar 26, 2021
  • Discretionary RAUM · $1.2B to $1.1B
    Mar 31, 2020 to Jun 2, 2020
  • RAUM · $1.2B to $1.1B
    Mar 31, 2020 to Jun 2, 2020
  • Advisory activities · 2 to 1
    May 9, 2019 to Mar 30, 2020
  • Discretionary RAUM · $1.1B to $1.2B
    May 9, 2019 to Mar 30, 2020
  • RAUM · $1.1B to $1.2B
    May 9, 2019 to Mar 30, 2020
  • Advisory activities · 1 to 2
    Mar 30, 2020 to Mar 30, 2020
  • Discretionary RAUM · $955M to $1.1B
    Mar 28, 2019 to May 9, 2019
  • RAUM · $955M to $1.1B
    Mar 28, 2019 to May 9, 2019
  • Accounts · 17 to 16
    Mar 27, 2018 to Mar 28, 2019
  • Charity clients · unset to 0.0
    Mar 27, 2018 to Mar 28, 2019
  • Corporate clients · unset to 0.0
    Mar 27, 2018 to Mar 28, 2019
  • HNW clients · unset to 0.0
    Mar 27, 2018 to Mar 28, 2019
  • Individual clients · unset to 0.0
    Mar 27, 2018 to Mar 28, 2019
  • Pension plan clients · unset to 0.0
    Mar 27, 2018 to Mar 28, 2019
  • Pooled vehicle clients · unset to 0.0
    Mar 27, 2018 to Mar 28, 2019
  • Discretionary RAUM · $685M to $955M
    Mar 27, 2018 to Mar 28, 2019
  • HNW RAUM · unset to 0.0
    Mar 27, 2018 to Mar 28, 2019
Signals
7 dated events
  • J•••• A•••••••• M••••• left E••••••• F•••• L•• for P••••••••• W••••• A••••••• (registered 2025-05-28)
    Mar 26, 2024 · Advisor changed firm · fact
  • Samuel James Vitalie (Member) no longer on Schedule A of E••••••• F•••• L•• (listed 2022-01-04, absent 2022-03-29)
    Mar 29, 2022 · Control person left · inference
  • G Kenneth Juster (Chief Compliance Officer) appeared on Schedule A of E••••••• F•••• L••
    Mar 29, 2022 · Control person joined · fact
  • E•••••••• A••• left E••••••• F•••• L•• for P•••••• A•••••••• L•• (registered 2022-03-25)
    Jan 5, 2022 · Advisor changed firm · fact
  • Nmn E•••••••• A••• (Chief Compliance Officer) no longer on Schedule A of E••••••• F•••• L•• (listed 2021-08-23, absent 2021-11-26)
    Nov 26, 2021 · Control person left · inference
  • E••••••• F•••• L•• reported RAUM $955.2M, up 40% from $684.7M (2018-03-27 to 2019-03-28)
    Mar 28, 2019 · RAUM change · derived
  • J•••• A•••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Oct 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