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•••• G•••• F•••••• L••• C••••
Latest filing Jun 25, 2025
First filing on the tape Jun 30, 2022 · 10 filings
SEC status approved since Nov 2, 2022
RAUM
$115M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$115M as of Jun 25, 2025
Mar 31, 2023$180M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 25, 2025
Mar 31, 20230 then
Employees (5.A)4 as of Jun 25, 2025
Mar 31, 20234 then
Private funds2 as of Jun 25, 2025
Mar 31, 20232 then
RAUM -23% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 25, 2025; 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
- $38.4MderivedRAUM 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
- -23%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
- $33.7M, 2 clientsreportedItem 9.A
- 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
- Pooled investment vehicles$115M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $33.7M for 2 clientsreported
- Compensation
- % of AUM, 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•••••• F•••••• L••• F••• I• L••• | Real Estate Fund | $146M | 476 | Apr 12, 2016 |
| I•••••• S•••••• O••••••••• F•••• L• | Real Estate Fund | $2.9M | 65 | Jun 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- G•••• B•••• · Ceocontrolsince 03/2016 · owns 25% to 50%
- P••••• A•••••• L•• · Co-Executive Chairmancontrolsince 03/2016 · owns less than 5%
- P••••• H•••••• D•••• · Co-Executive Chairmancontrolsince 03/2016 · owns less than 5%
- P•••••• Y•••••• I• · Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
- P••••• A•••••• L•• · Managing Membercontrolsince 07/2011 · owns 50% to 75% of L••••••• E••••••••• L••
- P••••• H•••••• D•••• · Managing Membercontrolsince 07/2011 · owns 50% to 75% of L••••••• E••••••••• L••
Entity owners
- L••••••• E••••••••• L•• · Shareholderdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- P•••• C•••••• M••••••••• L••investment adviserinvestment companyn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · unset to May 16, 2025 to Jun 25, 2025
- Assets in custody · $21.4M to $33.7MMay 31, 2024 to Mar 31, 2025
- Discretionary RAUM · $149M to $115MMay 31, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $149M to $115MMay 31, 2024 to Mar 31, 2025
- RAUM · $149M to $115MMay 31, 2024 to Mar 31, 2025
- Assets in custody · $17.7M to $21.4MDec 4, 2023 to Mar 28, 2024
- Discretionary RAUM · $180M to $149MDec 4, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $180M to $149MDec 4, 2023 to Mar 28, 2024
- RAUM · $180M to $149MDec 4, 2023 to Mar 28, 2024
- Assets in custody · $31.6M to $17.7MDec 1, 2022 to Mar 31, 2023
- Discretionary RAUM · $170M to $180MDec 1, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $170M to $180MDec 1, 2022 to Mar 31, 2023
- RAUM · $170M to $180MDec 1, 2022 to Mar 31, 2023
- Business name · E•••• G•••• F•••••• L••• C••••• I••• to E•••• G•••• F•••••• L••• C••••Jun 30, 2022 to Dec 1, 2022
- Private funds · 4 to 2Jun 30, 2022 to Dec 1, 2022
Signals
9 dated events
- E•••• G•••• F•••••• L••• C•••• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $115.2M)Sep 2, 2025 · Left the SEC roster · derived
- I Yvonne Pytlik (Chief Compliance Officer) appeared on Schedule A of E•••• G•••• F•••••• L••• C••••May 31, 2024 · Control person joined · fact
- Cecilia Alexandra Lafrankie (Chief Compliance Officer) no longer on Schedule A of E•••• G•••• F•••••• L••• C•••• (listed 2024-03-28, absent 2024-05-31)May 31, 2024 · Control person left · inference
- Cecilia Alexandra Lafrankie (Chief Compliance Officer) appeared on Schedule A of E•••• G•••• F•••••• L••• C••••Mar 28, 2024 · Control person joined · fact
- Ann Marie Swanson (Chief Compliance Officer) no longer on Schedule A of E•••• G•••• F•••••• L••• C•••• (listed 2023-12-04, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Ann Marie Swanson (Chief Compliance Officer) appeared on Schedule A of E•••• G•••• F•••••• L••• C••••Dec 4, 2023 · Control person joined · fact
- Bryan Michael Jones (Chief Compliance Officer) no longer on Schedule A of E•••• G•••• F•••••• L••• C•••• (listed 2023-06-02, absent 2023-12-04)Dec 4, 2023 · Control person left · inference
- Bryan Michael Jones (Chief Compliance Officer) appeared on Schedule A of E•••• G•••• F•••••• L••• C••••Dec 1, 2022 · Control person joined · fact
- E•••• G•••• F•••••• L••• C••••• I••• filed its initial SEC registration (Form ADV)Jun 30, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E•••• G•••• F•••••• L••• C•••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- I••••••.COMreportedpublic record, Form ADV, Sep 18, 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
- 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
Across the graphs
E•••• G•••• F•••••• L••• C•••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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