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•••••• A••••••• L••

Former SEC-registered adviserDenver, ColoradoCRD 283126SEC 801-107375IAPD
Latest filing Aug 28, 2018
First filing on the tape Feb 29, 2016 · 10 filings
RAUM
$38.3M
reported, Item 5.F
Discretionary
0.0%
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
4
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$38.3M as of Mar 29, 2018
Mar 20, 2017$27.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 20, 20170 then
Employees (5.A)4 as of Mar 29, 2018
Mar 20, 20174 then
Private funds: no history
RAUM +42% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 28, 2018; 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
$19.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
+42%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, 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
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
2reported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••••• S•••••• A••••• · Director / Ccocontrol
        since 01/2016 · owns less than 5%
      • M••••••••• B••••••• P•••••• · Directorcontrol
        since 01/2016 · owns less than 5%
      • O••••••••• C•••• L•• · Directorcontrol
        since 01/2016 · owns less than 5%
      • M••••••••• B••••••• P•••••• · Member; Common Unitscontrol
        since 09/2015 · owns 25% to 50% of E•••• C•••••• P••••••• L••
      • O••••••••• C•••••• L•• · Member; Convertible Notecontrol
        since 01/2016 · owns 25% to 50% of E•••• C•••••• P••••••• L••
      • M••••• A••• K•••••••• · Director
        since 06/2017 · owns less than 5%
      Entity owners
      • E•••• C•••••• P••••••• L•• · Managing Member
        direct · owns 75% or more
      • M••• A•••• B•••••• F••••• L•••••• P••••••••• · Member; Convertible Note
        indirect · owns F of E•••• C•••••• P••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Charity clients · unset to 0.0
        Jul 10, 2017 to Mar 29, 2018
      • Corporate clients · unset to 0.0
        Jul 10, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Jul 10, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Jul 10, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        Jul 10, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 0.0
        Jul 10, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Jul 10, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · $30.9M to $38.3M
        Jul 10, 2017 to Mar 29, 2018
      • RAUM · $30.9M to $38.3M
        Jul 10, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · $27.0M to $30.9M
        Jun 12, 2017 to Jul 10, 2017
      • RAUM · $27.0M to $30.9M
        Jun 12, 2017 to Jul 10, 2017
      • HQ city · WOODBURY to DENVER
        Mar 20, 2017 to Jun 5, 2017
      • HQ state · MN to CO
        Mar 20, 2017 to Jun 5, 2017
      • Related adviser · false to true
        Mar 20, 2017 to Jun 5, 2017
      • Financial planning clients · unset to 0
        Jul 15, 2016 to Mar 20, 2017
      • Non-discretionary RAUM · $25.0M to $27.0M
        Jul 15, 2016 to Mar 20, 2017
      • RAUM · $25.0M to $27.0M
        Jul 15, 2016 to Mar 20, 2017
      • Accounts · unset to 2.0
        Mar 2, 2016 to Jul 15, 2016
      • Advisory activities · 1 to 2
        Mar 2, 2016 to Jul 15, 2016
      • Discretionary RAUM · unset to 0.0
        Mar 2, 2016 to Jul 15, 2016
      • Non-discretionary RAUM · unset to 25000000.0
        Mar 2, 2016 to Jul 15, 2016
      • RAUM · unset to 25000000.0
        Mar 2, 2016 to Jul 15, 2016
      Signals
      1 dated events
      • E•••• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 29, 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
      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