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Former SEC-registered adviser

E•• C•••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 283827SEC 801-107890IAPD
Latest filing May 22, 2018
First filing on the tape May 19, 2016 · 9 filings
RAUM
$105M
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
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$49.4M gross assets
History
9 filings and snapshots on the tape
RAUM$105M as of Mar 30, 2018
Mar 31, 2017$31.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 31, 20170 then
Employees (5.A)4 as of Mar 30, 2018
Mar 31, 20177 then
Private funds1 as of Mar 30, 2018
Mar 31, 20171 then
RAUM +233% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 22, 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
$35.0MderivedRAUM 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
+233%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
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$55.7M53%
  • Pooled investment vehicles$49.4M47%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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•• C•••••• M••••• F••• L•Hedge Fund$49.4M16May 19, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• R•••••• P•••••• · Co-Chief Investment Officercontrol
        since 04/2016 · owns 5% to 10%
      • L••••• R••••••• A•••• · Limited Partnercontrol
        since 01/2017 · owns 5% to 10%
      • L••••••••• N•••••••• •••• · Managing Partner / Chief Investment Officercontrol
        since 06/2015 · owns 50% to 75%
      • W••••••• K••••••• J••• · Limited Partnercontrol
        since 02/2016 · owns 5% to 10%
      • W•••••••• J••••••• R••••• · Chief Operating Officer / Chief Compliance Officer / Chief Financial Officercontrol
        since 03/2018 · owns less than 5%
      • L••••••••• N•••••••• •••• · Managing Membercontrol
        since 06/2015 · owns 75% or more of E•• C•••••• L••
      • Z•••••• J••••••• D••••• · Managing Membercontrol
        since 01/2015 · owns 75% or more of O•• B•••• C•••••• P•••••••• L••
      Entity owners
      • E•• C•••••• L•• · General Partner
        direct · owns less than 5%
      • O•• B•••• C•••••• P•••••••• L•• · Limited Partner
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • E•• C•••••• G•• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 3
        Sep 29, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 1.0
        Sep 29, 2017 to Mar 30, 2018
      • Custody of client assets · true to false
        Sep 29, 2017 to Mar 30, 2018
      • Employees · 5 to 4
        Sep 29, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Sep 29, 2017 to Mar 30, 2018
      • Discretionary RAUM · $48.1M to $105M
        Sep 29, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 49396117.0
        Sep 29, 2017 to Mar 30, 2018
      • RAUM · $48.1M to $105M
        Sep 29, 2017 to Mar 30, 2018
      • Employees · 7 to 5
        Mar 31, 2017 to Sep 29, 2017
      • Discretionary RAUM · $31.6M to $48.1M
        Mar 31, 2017 to Sep 29, 2017
      • RAUM · $31.6M to $48.1M
        Mar 31, 2017 to Sep 29, 2017
      • Advisory activities · 2 to 1
        Nov 8, 2016 to Mar 31, 2017
      • Discretionary RAUM · $39.3M to $31.6M
        Nov 8, 2016 to Mar 31, 2017
      • RAUM · $39.3M to $31.6M
        Nov 8, 2016 to Mar 31, 2017
      • Accounts · 0 to 4
        Jun 7, 2016 to Sep 20, 2016
      • Advisory employees · 2 to 3
        Jun 7, 2016 to Sep 20, 2016
      • Advisory activities · 1 to 2
        Jun 7, 2016 to Sep 20, 2016
      • Employees · 5 to 7
        Jun 7, 2016 to Sep 20, 2016
      • Discretionary RAUM · $0 to $39.3M
        Jun 7, 2016 to Sep 20, 2016
      • RAUM · $0 to $39.3M
        Jun 7, 2016 to Sep 20, 2016
      • Advisory employees · 3 to 2
        Jun 2, 2016 to Jun 7, 2016
      • Employees · 7 to 5
        Jun 2, 2016 to Jun 7, 2016
      • Advisory employees · 2 to 3
        May 19, 2016 to Jun 2, 2016
      • Employees · 5 to 7
        May 19, 2016 to Jun 2, 2016
      Signals
      1 dated events
      • E•• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        May 19, 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