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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SEC-registered adviser
E•••••••• C•••••• M••••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Sep 8, 2017 · 12 filings
SEC status approved since Oct 5, 2017
RAUM
$1.2B
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
29
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.2B as of Mar 6, 2026
Mar 28, 2018$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 6, 2026
Mar 28, 20180 then
Employees (5.A)29 as of Mar 6, 2026
Mar 28, 201829 then
Private funds1 as of Mar 6, 2026
Mar 28, 20241 then
RAUM +27% over the last fiscal year+3.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 6, 2026; 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
- $89.0MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%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 vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $746M, 11 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$977M84%
- Investment companies$179M16%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $746M for 11 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••••••• U••• F••••• L•• • G••••••••• M••••••••• S••••• | Hedge Fund | $49.1M | 0 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- A••••• D••••• M•••• · Chief Compliance Officercontrolsince 07/2005 · owns less than 5%
- B•••••••• C•••••• W• · Managing Directorcontrolsince 06/2016 · owns less than 5%
- B••••••••• M•••••• K•••••• · General Counselcontrolsince 01/2018 · owns less than 5%
- J••••••••• E•••••• L•• · Chief Executive Officer, Co-Chief Investment Officercontrolsince 07/1999 · owns less than 5%
- L••••• S••••• B••••••• · Chief Financial Officercontrolsince 10/2023 · owns less than 5%
- M••••••••• C•••• R•••••• · Co-Chief Investment Officercontrolsince 03/2002 · owns less than 5%
- M•••••• V••••• K•••••••• · Director, Fund Administrationcontrolsince 10/2023 · owns less than 5%
- M••••• L••••• · Managing Director, Portfolio Strategycontrolsince 10/2021 · owns less than 5%
- M•••••••• M•••• · Chief Risk Officercontrolsince 08/2001 · owns less than 5%
- J••••••••• E•••••• L•• · Managing Membercontrolsince 01/2006 · owns 25% to 50% of J•••••••• M••••••••• C•••••• L••
- J••••••••• T••••• M••••• · Membercontrolsince 01/2006 · owns 25% to 50% of J•••••••• M••••••••• C•••••• L••
Entity owners
- E•••••••• C•••••• H•••••••• L•• · Memberdirect · owns 75% or more
- J•••••••• M••••••••• C•••••• L•• · Managerdirect · owns less than 5%
- J•••••••• M••••••••• C•••••• L•• · Managerindirect · owns 50% to 75% of E•••••••• Capital Holdings LLC
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 14 to 13Mar 25, 2025 to Mar 6, 2026
- Assets in custody · $914M to $746MMar 25, 2025 to Mar 6, 2026
- Discretionary RAUM · $914M to $1.2BMar 25, 2025 to Mar 6, 2026
- Pooled vehicle RAUM · $914M to $977MMar 25, 2025 to Mar 6, 2026
- RAUM · $914M to $1.2BMar 25, 2025 to Mar 6, 2026
- Accounts · 21 to 13Mar 28, 2024 to Mar 25, 2025
- Advisory activities · 1 to 2Mar 28, 2024 to Mar 25, 2025
- Pooled vehicle clients · 21 to 12Mar 28, 2024 to Mar 25, 2025
- Assets in custody · $1.0B to $914MMar 28, 2024 to Mar 25, 2025
- Employees · 28 to 29Mar 28, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.0B to $914MMar 28, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $1.0B to $914MMar 28, 2024 to Mar 25, 2025
- RAUM · $1.0B to $914MMar 28, 2024 to Mar 25, 2025
- Related bank · true to falseMar 28, 2024 to Mar 25, 2025
- Accounts · 18 to 21Mar 30, 2023 to Mar 28, 2024
- Advisory employees · 10 to 14Mar 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · 18 to 21Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $1.0B to $1.0BMar 30, 2023 to Mar 28, 2024
- Employees · 24 to 28Mar 30, 2023 to Mar 28, 2024
- Private funds · unset to 1Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.0B to $1.0BMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.0B to $1.0BMar 30, 2023 to Mar 28, 2024
- RAUM · $1.0B to $1.0BMar 30, 2023 to Mar 28, 2024
- Related bank · false to trueMar 30, 2023 to Mar 28, 2024
- Advisory employees · 11 to 10Mar 29, 2022 to Mar 30, 2023
- Assets in custody · $836M to $1.0BMar 29, 2022 to Mar 30, 2023
- Employees · 25 to 24Mar 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $836M to $1.0BMar 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $836M to $1.0BMar 29, 2022 to Mar 30, 2023
- RAUM · $836M to $1.0BMar 29, 2022 to Mar 30, 2023
- Accounts · 23 to 18Mar 25, 2021 to Mar 29, 2022
- Pooled vehicle clients · 23 to 18Mar 25, 2021 to Mar 29, 2022
- Assets in custody · $827M to $836MMar 25, 2021 to Mar 29, 2022
- Discretionary RAUM · $827M to $836MMar 25, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $827M to $836MMar 25, 2021 to Mar 29, 2022
- RAUM · $827M to $836MMar 25, 2021 to Mar 29, 2022
- Assets in custody · $809M to $827MMar 30, 2020 to Mar 25, 2021
- Discretionary RAUM · $809M to $827MMar 30, 2020 to Mar 25, 2021
- Pooled vehicle RAUM · $809M to $827MMar 30, 2020 to Mar 25, 2021
Signals
11 dated events
- E•••••••• C•••••• M••••••••• L•• reported RAUM $1.2B, up 27% from $913.9M (2025-03-25 to 2026-03-06)Mar 6, 2026 · RAUM change · derived
- Lynn Karen Kregor (Head Of Fund Administration) no longer on Schedule A of E•••••••• C•••••• M••••••••• L•• (listed 2023-03-30, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- K•••••••• V•••• M••••• (Director, Fund Administration) appeared on Schedule A of E•••••••• C•••••• M••••••••• L••Mar 28, 2024 · Control person joined · fact
- Martin James Field (Chief Financial Officer) no longer on Schedule A of E•••••••• C•••••• M••••••••• L•• (listed 2022-03-29, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- B••••••• S•••• L•••• (Head Of Finance) appeared on Schedule A of E•••••••• C•••••• M••••••••• L••Mar 29, 2022 · Control person joined · fact
- Lynn Karen Kregor (Head Of Fund Administration) appeared on Schedule A of E•••••••• C•••••• M••••••••• L••Mar 29, 2022 · Control person joined · fact
- L••••• M•••• (Managing Director, Portfolio Strategy) appeared on Schedule A of E•••••••• C•••••• M••••••••• L••Mar 29, 2022 · Control person joined · fact
- Leslie Ronald Davis (Chief Operating Officer) no longer on Schedule A of E•••••••• C•••••• M••••••••• L•• (listed 2021-03-25, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- Marat Molyboga (Chief Risk Officer) appeared on Schedule A of E•••••••• C•••••• M••••••••• L••Mar 22, 2019 · Control person joined · fact
- Roy Michael Marcey (Managing Director, Strategic Development) no longer on Schedule A of E•••••••• C•••••• M••••••••• L•• (listed 2018-03-28, absent 2019-03-22)Mar 22, 2019 · Control person left · inference
- E•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 8, 2017 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/efficient-capital-management-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- e••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 630-657-6800reportedpublic record, Form ADV, Mar 6, 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
- Asset manager (funds and pooled vehicles)deriveda 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