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•••••••• L•••

Former SEC-registered adviserDallas, TexasCRD 283736SEC 801-110010IAPD
Latest filing Mar 29, 2019
First filing on the tape Feb 10, 2017 · 6 filings
RAUM
$125M
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
5
5 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
1
$125M gross assets
History
6 filings and snapshots on the tape
RAUM$125M as of Mar 29, 2019
Mar 30, 2018$125M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 30, 20180 then
Employees (5.A)5 as of Mar 29, 2019
Mar 30, 20183 then
Private funds1 as of Mar 29, 2019
Mar 30, 20181 then
RAUM +0.0% over the last fiscal yearIARs 0 to 0offices 2 to 4
Practice profile
derived from the filing of Mar 29, 2019; 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
$125MderivedRAUM 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
unknownderived5 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%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-based, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$125M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••••••• I••••••••• F•••• L•••Private Equity Fund$125M1Feb 10, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• M••••••• R••••• · Principal And Chief Compliance Officer (Effective 1/2019)control
        since 04/2016 · owns less than 5%
      • S••••• S••••• T••••• · Principalcontrol
        since 04/2016 · owns less than 5%
      • B••••• M••••••• R••••• · Manager And Membercontrol
        since 04/2016 · owns 50% to 75% of E••••••• G•• L•••••
      • S••••• S••••• T••••• · Manager And Membercontrol
        since 04/2016 · owns 50% to 75% of E••••••• G•• L•••••
      Entity owners
      • E••••••• G•• L••••• · General Partner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • E••••••• I••••••••• F••• G•• L•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 5
        Mar 30, 2018 to Mar 29, 2019
      • Advisory activities · 1 to 2
        Mar 30, 2018 to Mar 29, 2019
      • Employees · 3 to 5
        Mar 30, 2018 to Mar 29, 2019
      • Financial planning clients · unset to 1-10
        Mar 30, 2018 to Mar 29, 2019
      • Other offices · 2 to 4
        Mar 30, 2018 to Mar 29, 2019
      • Advisory employees · 2 to 3
        Jan 31, 2018 to Mar 30, 2018
      • Pooled vehicle clients · unset to 1.0
        Jan 31, 2018 to Mar 30, 2018
      • Employees · 2 to 3
        Jan 31, 2018 to Mar 30, 2018
      • Other offices · 0 to 2
        Jan 31, 2018 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 125000000.0
        Jan 31, 2018 to Mar 30, 2018
      • Related bank · true to false
        Jan 31, 2018 to Mar 30, 2018
      • Other offices · unset to 0.0
        Jun 27, 2017 to Jan 31, 2018
      • Accounts · 0 to 1
        Feb 28, 2017 to Jun 27, 2017
      • Discretionary RAUM · $0 to $125M
        Feb 28, 2017 to Jun 27, 2017
      • RAUM · $0 to $125M
        Feb 28, 2017 to Jun 27, 2017
      Signals
      2 dated events
      • Daniel Benjamin Nelson (President And General Counsel (Effective 8/2017) Chief Compliance Officer (Effective 1/2018)) no longer on Schedule A of E•••••••• L••• (listed 2018-03-30, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • E•••••••• L••• filed its initial SEC registration (Form ADV)
        Feb 10, 2017 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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