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•••••• M•••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 285395SEC 801-108637IAPD
Latest filing Mar 19, 2020
First filing on the tape Nov 3, 2016 · 12 filings
RAUM
$2.5B
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
110
40 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$2.5B as of Mar 19, 2020
Mar 16, 2017$2.0B then
HNW client RAUM$0 as of Mar 19, 2020
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 19, 2020
Mar 16, 20170 then
Employees (5.A)110 as of Mar 19, 2020
Mar 16, 201737 then
Private funds: no history
RAUM +15% over the last fiscal year+7.6% a year over threeIARs 0 to 0offices 5 to 4
Practice profile
derived from the filing of Mar 19, 2020; 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
$2.5BderivedRAUM 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
+15%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
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$2.5B, 1 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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.5B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.5B for 1 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• J••••• A••••• · Executive Vice Presidentcontrol
        since 06/2017 · owns less than 5%
      • B••••••••• E•••••• C•••••• · Vice President & Chief Accounting Officercontrol
        since 06/2017 · owns less than 5%
      • B••••• L•••••••• S••••• · Senior Vice President, Chief Compliance Officer & Assistant Secretarycontrol
        since 09/2016 · owns less than 5%
      • B•••••• D••••• J••• · Senior Vice President & Chief Financial Officercontrol
        since 01/2005 · owns less than 5%
      • C•••••••• G•••••• E••••• · Executive Vice Presidentcontrol
        since 06/2017 · owns less than 5%
      • C••••• J••••••• P•••••• · Executive Vice President & Directorcontrol
        since 09/2016 · owns less than 5%
      • E••••••• T•••••• C•••••• · Executive Vice Presidentcontrol
        since 01/2005 · owns less than 5%
      • F••••••• A•••• F•••• · Executive Vice Presidentcontrol
        since 06/2017 · owns less than 5%
      • H••••••• P•••• A••••• · Executive Vice Presidentcontrol
        since 06/2017 · owns less than 5%
      • L•••••• R•••••• C•••• · Chief Executive Officercontrol
        since 09/2016 · owns less than 5%
      • S••••• M••••••• J•• · President & Directorcontrol
        since 01/2019 · owns less than 5%
      • T••• E••••• · Senior Vice Presidentcontrol
        since 06/2017 · owns less than 5%
      • W•••••••• M••••••• R•••• · Senior Vice President & Chief Legal Officercontrol
        since 06/2017 · owns less than 5%
      • A••••• J••••• A••••• · Member Of Board Of M••••••Scontrol
        since 01/2019 · owns F of C•••• C•••••• P••••••• L••
      • C••••• J••••••• P•••••• · Member Of Board Of M••••••Scontrol
        since 02/2010 · owns F of C•••• C•••••• P••••••• L••
      • F•••••• A•••••• L••••••• · Membercontrol
        since 07/2013 · owns 75% or more of I••••• C•••••• G•••• L••
      • F•••••• A•••••• L••••••• · Member Of Board Of M••••••Scontrol
        since 02/2010 · owns F of C•••• C•••••• P••••••• L••
      • J••••••••• M••••••• G•••••• · Member Of Board Of M••••••Scontrol
        since 05/2012 · owns F of C•••• C•••••• P••••••• L••
      • R••••••• S•••••• J••••• · Member Of Board Of M••••••Scontrol
        since 02/2010 · owns F of C•••• C•••••• P••••••• L••
      Entity owners
      • R••••••• F•••••••• F••• M••••••••• L•• · Sole Shareholder
        direct · owns 75% or more
      • A••••• A••••••• L•• · Member
        indirect · owns 75% or more of I••••• C•••• M•••••• L••
      • C•••• C•••••• P••••••• L•• · Sole Shareholder
        indirect · owns 75% or more of R••••••• A••••••• I•••
      • I••••• C•••• D••••••••• I• L•• · Managing Member
        indirect · owns F of I••••• C•••• H••••••• I• L••
      • I••••• C•••• D••••••••• L•• · Member
        indirect · owns F of I••••• C•••• H••••••• L••
      • I••••• C•••• H••••••• I• L•• · Member
        indirect · owns 25% to 50% of C•••• C•••••• P••••••• L••
      • I••••• C•••• H••••••• L•• · Member
        indirect · owns 25% to 50% of C•••• C•••••• P••••••• L••
      • I••••• C•••• M•••••• L•• · M••••••
        indirect · owns F of C•••• C•••••• P••••••• L••
      • I••••• C•••••• G•••• L•• · Member
        indirect · owns 75% or more of I••••• C•••• D••••••••• L••
      • I••••• C•••••• G•••• L•• · Member
        indirect · owns 75% or more of A••••• A••••••• L••
      • I••••• C•••••• G•••• L•• · Member
        indirect · owns 75% or more of I••••• C•••• D••••••••• I• L••
      • R••••••• A••••••• I••• · Sole Shareholder
        indirect · owns F of R••••••• F•••••••• F••• M••••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list E•••••• C•••••• M•••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • El Segundo, CA4 employees
      • Irving, TX3 employees
      • Philadelphia, PA2 employees
      • Greenville, SC1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 76 to 40
        May 9, 2019 to Mar 19, 2020
      • BD registered reps · 3 to 2
        May 9, 2019 to Mar 19, 2020
      • Assets in custody · $2.1B to $2.5B
        May 9, 2019 to Mar 19, 2020
      • Employees · 160 to 110
        May 9, 2019 to Mar 19, 2020
      • Other offices · 5 to 4
        May 9, 2019 to Mar 19, 2020
      • Discretionary RAUM · $2.1B to $2.5B
        May 9, 2019 to Mar 19, 2020
      • Pooled vehicle RAUM · $2.1B to $2.5B
        May 9, 2019 to Mar 19, 2020
      • RAUM · $2.1B to $2.5B
        May 9, 2019 to Mar 19, 2020
      • Advisory employees · 110 to 76
        Jan 8, 2019 to Mar 26, 2019
      • Charity clients · 0.0 to unset
        Jan 8, 2019 to Mar 26, 2019
      • Corporate clients · 1.0 to unset
        Jan 8, 2019 to Mar 26, 2019
      • HNW clients · 0.0 to unset
        Jan 8, 2019 to Mar 26, 2019
      • Individual clients · 0.0 to unset
        Jan 8, 2019 to Mar 26, 2019
      • Pension plan clients · 0.0 to unset
        Jan 8, 2019 to Mar 26, 2019
      • Pooled vehicle clients · 0 to 1
        Jan 8, 2019 to Mar 26, 2019
      • Assets in custody · $1.6B to $2.1B
        Jan 8, 2019 to Mar 26, 2019
      • Employees · 225 to 160
        Jan 8, 2019 to Mar 26, 2019
      • Other offices · 3 to 5
        Jan 8, 2019 to Mar 26, 2019
      • Discretionary RAUM · $1.6B to $2.1B
        Jan 8, 2019 to Mar 26, 2019
      • Pooled vehicle RAUM · $0 to $2.1B
        Jan 8, 2019 to Mar 26, 2019
      • RAUM · $1.6B to $2.1B
        Jan 8, 2019 to Mar 26, 2019
      • Business name · R••••••• C•••••• M••••••• I••• to E•••••• C•••••• M•••••• I•••
        May 24, 2018 to Jan 7, 2019
      • Legal name · R••••••• C•••••• M••••••• I••• to E•••••• C•••••• M•••••• I•••
        May 24, 2018 to Jan 7, 2019
      • Advisory employees · 18 to 110
        Sep 28, 2017 to Mar 29, 2018
      • BD registered reps · 2 to 3
        Sep 28, 2017 to Mar 29, 2018
      • Charity clients · unset to 0.0
        Sep 28, 2017 to Mar 29, 2018
      • Corporate clients · unset to 1.0
        Sep 28, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Sep 28, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Sep 28, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        Sep 28, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 0.0
        Sep 28, 2017 to Mar 29, 2018
      • Assets in custody · $1.3B to $1.6B
        Sep 28, 2017 to Mar 29, 2018
      • Employees · 37 to 225
        Sep 28, 2017 to Mar 29, 2018
      • Other offices · unset to 3.0
        Sep 28, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.9B to $1.6B
        Sep 28, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 0.0
        Sep 28, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 0.0
        Sep 28, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 0.0
        Sep 28, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Sep 28, 2017 to Mar 29, 2018
      • RAUM · $1.9B to $1.6B
        Sep 28, 2017 to Mar 29, 2018
      Signals
      8 dated events
      • Gervase Kyle Geoghegan (Senior Vice President) no longer on Schedule A of E•••••• C•••••• M•••••• I••• (listed 2019-05-09, absent 2020-03-19)
        Mar 19, 2020 · Control person left · inference
      • Hallowell Darryl Myrose (Senior Vice President) no longer on Schedule A of E•••••• C•••••• M•••••• I••• (listed 2019-05-09, absent 2020-03-19)
        Mar 19, 2020 · Control person left · inference
      • Hallowell Darryl Myrose (Senior Vice President) appeared on Schedule A of E•••••• C•••••• M•••••• I•••
        Mar 26, 2019 · Control person joined · fact
      • Gervase Kyle Geoghegan (Senior Vice President) appeared on Schedule A of E•••••• C•••••• M•••••• I•••
        Mar 26, 2019 · Control person joined · fact
      • Edward Tai (Senior Vice President) appeared on Schedule A of E•••••• C•••••• M•••••• I•••
        Mar 26, 2019 · Control person joined · fact
      • E•••••• C•••••• M•••••• I••• reported RAUM $2.1B, up 33% from $1.6B (2019-01-08 to 2019-03-26)
        Mar 26, 2019 · RAUM change · derived
      • Mcmurry Frank Garrison (Executive Vice President & Director) no longer on Schedule A of E•••••• C•••••• M•••••• I••• (listed 2018-05-24, absent 2019-01-07)
        Jan 7, 2019 · Control person left · inference
      • R••••••• C•••••• M••••••• I••• filed its initial SEC registration (Form ADV)
        Nov 3, 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