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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SEC-registered adviser
E••••••• P•••••••• L•••
Latest filing Mar 31, 2026
First filing on the tape Nov 30, 2016 · 15 filings
SEC status approved since Jan 11, 2017
RAUM
$2.7B
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
10
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$2.7B as of Mar 31, 2026
Mar 29, 2018$371M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20180 then
Employees (5.A)10 as of Mar 31, 2026
Mar 29, 20183 then
Private funds3 as of Mar 31, 2026
Mar 29, 20182 then
RAUM +52% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $295MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +52%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
- $1.4B, 6 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.6B99%
- Investment companies$35.4M1.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.4B for 6 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••••••• G••••• H••••••••• F•••• L• | Hedge Fund | $1.1B | 346 | Mar 31, 2016 |
| E••••••• G••••••••• F•••• L••• | Hedge Fund | $249M | 26 | Mar 24, 2021 |
| E••••••• E•• M••••• F•••• L••• | Hedge Fund | $50.4M | 7 | Mar 29, 2018 |
Owners and control persons
Schedule A and B, latest filing
- M••••••••• K•••••• •••• · Managing Principalcontrolsince 09/2015 · owns 75% or more
- R••••••••• R••• A•• · Chief Financial Officercontrolsince 01/2023 · owns less than 5%
- S•••• R••••• R••••• · Presidentcontrolsince 01/2023 · owns less than 5%
- Z••••••• B•••••• •••• · Chief Compliance Officer & Chief Operating Officercontrolsince 03/2020 · owns less than 5%
- M••••••••• K•••••• •••• · Managing Membercontrolsince 11/2016 · owns 75% or more of E••••••• 1• L••
Entity owners
- E••••••• 1• L•• · Memberdirect · owns less than 5%
Related persons
Schedule D 7.A
- C••••••••• C•••••• G••••• L•••investment adviserbanknRAUM $384M
- E••••••• G• I•• L••bankpooled vehicle sponsorn
- E••••••• G• I••• L••bankpooled vehicle sponsorn
- E••••••• G•• L••bankpooled vehicle sponsorn
Advisers that list E••••••• P•••••••• L••• as a related person
- 153734 n
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 8 to 9Oct 7, 2025 to Mar 31, 2026
- Advisory employees · 4 to 5Oct 7, 2025 to Mar 31, 2026
- Assets in custody · $1.1B to $1.4BOct 7, 2025 to Mar 31, 2026
- Employees · 9 to 10Oct 7, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.7B to $2.7BOct 7, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.7B to $2.6BOct 7, 2025 to Mar 31, 2026
- RAUM · $1.7B to $2.7BOct 7, 2025 to Mar 31, 2026
- Related adviser · true to falseOct 7, 2025 to Mar 31, 2026
- Advisory activities · 1 to 2Mar 28, 2025 to Oct 7, 2025
- Accounts · 7 to 8Mar 25, 2024 to Mar 28, 2025
- Pooled vehicle clients · 7 to 8Mar 25, 2024 to Mar 28, 2025
- Assets in custody · $1.0B to $1.1BMar 25, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.5B to $1.7BMar 25, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.5B to $1.7BMar 25, 2024 to Mar 28, 2025
- RAUM · $1.5B to $1.7BMar 25, 2024 to Mar 28, 2025
- Advisory employees · 7 to 4Mar 24, 2023 to Mar 25, 2024
- Assets in custody · $1.1B to $1.0BMar 24, 2023 to Mar 25, 2024
- Employees · 14 to 9Mar 24, 2023 to Mar 25, 2024
- Discretionary RAUM · $1.7B to $1.5BMar 24, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $1.7B to $1.5BMar 24, 2023 to Mar 25, 2024
- RAUM · $1.7B to $1.5BMar 24, 2023 to Mar 25, 2024
- Accounts · 10 to 7Sep 29, 2022 to Mar 24, 2023
- Advisory employees · 6 to 7Sep 29, 2022 to Mar 24, 2023
- Pooled vehicle clients · 10 to 7Sep 29, 2022 to Mar 24, 2023
- Assets in custody · $0 to $1.1BSep 29, 2022 to Mar 24, 2023
- Custody of client assets · false to trueSep 29, 2022 to Mar 24, 2023
- Employees · 9 to 14Sep 29, 2022 to Mar 24, 2023
- Discretionary RAUM · $1.8B to $1.7BSep 29, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $1.8M to $0Sep 29, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $1.8B to $1.7BSep 29, 2022 to Mar 24, 2023
- RAUM · $1.8B to $1.7BSep 29, 2022 to Mar 24, 2023
- Related adviser · false to trueSep 29, 2022 to Mar 24, 2023
- Accounts · 11 to 10Mar 24, 2021 to Mar 28, 2022
- Pooled vehicle clients · 11 to 10Mar 24, 2021 to Mar 28, 2022
- Employees · 7 to 9Mar 24, 2021 to Mar 28, 2022
- Other offices · 2 to 1Mar 24, 2021 to Mar 28, 2022
- Discretionary RAUM · $1.5B to $1.8BMar 24, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $2.0M to $1.8MMar 24, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $1.5B to $1.8BMar 24, 2021 to Mar 28, 2022
Signals
11 dated events
- E••••••• P•••••••• L••• reported RAUM $2.7B, up 52% from $1.7B (2025-10-07 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Avi Ron Rosenstraus (Chief Financial Officer) appeared on Schedule A of E••••••• P•••••••• L•••Mar 24, 2023 · Control person joined · fact
- Rasesh Rishi Shah (President) appeared on Schedule A of E••••••• P•••••••• L•••Mar 24, 2023 · Control person joined · fact
- E••••••• P•••••••• L••• reported RAUM $1.8B, up 26% from $1.5B (2021-03-24 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- E••••••• P•••••••• L••• reported RAUM $1.5B, up 47% from $992.6M (2020-03-30 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
- (Nmn) Balkir Zihnali (Chief Compliance Officer) appeared on Schedule A of E••••••• P•••••••• L•••Mar 30, 2020 · Control person joined · fact
- E••••••• P•••••••• L••• reported RAUM $992.6M, up 99% from $497.7M (2019-03-27 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- E••••••• P•••••••• L••• reported RAUM $497.7M, up 34% from $370.8M (2018-07-26 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- E••••••• P•••••••• L••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 26, 2018 · Succession (Item 4) · fact
- E••••••• P•••••••• L••• reported RAUM $370.8M, up 615% from $51.8M (2017-01-09 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- E••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Nov 30, 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.
How to reach
public business contact points only, each with its source
- Website
- E•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-271-4200reportedpublic record, Form ADV, Mar 31, 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