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E••••• I•••

Former SEC-registered adviserFormer SEC adviser· San Francisco, California

Former SEC-registered adviser, based in San Francisco, California, reporting $115M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$115M
Form ADV
RAUM change, 1 year
+15%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 9 Jan 2024, RAUM $100M to $115M (+15.0%) on the Form ADV filed 9 Jan 2024.

Every filed figure, and the identifiersCRD 289216 · SEC 801-110987 · 33 filingsShow
CRD 289216SEC 801-110987First filing on the tape Jul 11, 2017, latest Jan 9, 2024IAPD
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
Not computed
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape

RAUM -12% a year over three years · the tape starts Jul 11, 2017

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$115M as of Jan 9, 2024
Mar 2, 2018$90.0M then
HNW client RAUM$0 as of Jan 9, 2024
Jan 30, 2019$0 then
State-registered IARs (5.B.3)0 as of Jan 9, 2024
Mar 2, 20180 then
Employees (5.A)4 as of Jan 9, 2024
Mar 2, 20183 then
Private funds: no history
RAUM +15% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 9, 2024; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$115MderivedRAUM 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
+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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companies, publicationsreportedItem 5.G
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

100% investment companies

The breakdown by client type, and the client counts1 client typesShow
  • Investment companies$115M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• A••••• · Chief Operating Officer / Chief Compliance Officercontrol
        since 02/2017 · owns less than 5%
      • K•••••• C••••••••• · Chief Executive Officercontrol
        since 02/2017 · owns less than 5%
      • A•••••• A••••• · Trusteecontrol
        since 01/2017 · owns F of A••••• G•••••••• F••••• T••••
      • K•••••• C••••••••• · Trusteecontrol
        since 01/2017 · owns F of C••••••••• K••••• L••••• T••••
      • N••••••••• C••••••••• M••• · Owner
        since 05/2018 · owns 10% to 25%
      All 6 control persons
      • T•••••••• S••••••••• N•• · Managing Director Investment Solutions
        since 08/2021 · owns less than 5%
      Entity owners
      • A••••• G•••••••• F••••• T•••• · Owner
        direct · owns 25% to 50%
      • C••••••••• K••••• L••••• T•••• · Owner
        direct · owns 50% to 75%
      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
      • Discretionary RAUM · $117M to $115M
        Jul 31, 2023 to Jan 9, 2024
      • RAUM · $117M to $115M
        Jul 31, 2023 to Jan 9, 2024
      • Discretionary RAUM · $100M to $117M
        Apr 25, 2023 to Jul 31, 2023
      • RAUM · $100M to $117M
        Apr 25, 2023 to Jul 31, 2023
      • Discretionary RAUM · $122M to $100M
        Oct 17, 2022 to Jan 12, 2023
      Full history · 55 changes
      • RAUM · $122M to $100M
        Oct 17, 2022 to Jan 12, 2023
      • Accounts · 2 to 1
        Jan 13, 2022 to Oct 17, 2022
      • Advisory activities · 3 to 2
        Jan 13, 2022 to Oct 17, 2022
      • BD registered reps · 1 to 0
        Jan 13, 2022 to Oct 17, 2022
      • State-registered IARs · 1 to 0
        Jan 13, 2022 to Oct 17, 2022
      • Discretionary RAUM · $172M to $122M
        Jan 13, 2022 to Oct 17, 2022
      • RAUM · $172M to $122M
        Jan 13, 2022 to Oct 17, 2022
      • Discretionary RAUM · $187M to $172M
        Jan 12, 2022 to Jan 13, 2022
      • RAUM · $187M to $172M
        Jan 12, 2022 to Jan 13, 2022
      • Discretionary RAUM · $170M to $187M
        Oct 29, 2021 to Nov 18, 2021
      • RAUM · $170M to $187M
        Oct 29, 2021 to Nov 18, 2021
      • Employees · 3 to 4
        Aug 23, 2021 to Oct 29, 2021
      • Advisory activities · 2 to 3
        Feb 18, 2021 to Jul 23, 2021
      • Discretionary RAUM · $120M to $170M
        Sep 11, 2020 to Feb 18, 2021
      • RAUM · $120M to $170M
        Sep 11, 2020 to Feb 18, 2021
      • Advisory activities · 1 to 2
        Jan 7, 2020 to Apr 7, 2020
      • Other offices · 1 to 0
        Apr 15, 2019 to Jan 7, 2020
      • Discretionary RAUM · $135M to $120M
        Apr 15, 2019 to Jan 7, 2020
      • RAUM · $135M to $120M
        Apr 15, 2019 to Jan 7, 2020
      • Charity clients · unset to 0.0
        Oct 15, 2018 to Jan 30, 2019
      • Corporate clients · unset to 0.0
        Oct 15, 2018 to Jan 30, 2019
      • HNW clients · unset to 0.0
        Oct 15, 2018 to Jan 30, 2019
      • Individual clients · unset to 0.0
        Oct 15, 2018 to Jan 30, 2019
      • Pension plan clients · unset to 0.0
        Oct 15, 2018 to Jan 30, 2019
      • Pooled vehicle clients · unset to 0.0
        Oct 15, 2018 to Jan 30, 2019
      • Discretionary RAUM · $205M to $135M
        Oct 15, 2018 to Jan 30, 2019
      • HNW RAUM · unset to 0.0
        Oct 15, 2018 to Jan 30, 2019
      • Individual RAUM · unset to 0.0
        Oct 15, 2018 to Jan 30, 2019
      • Pension RAUM · unset to 0.0
        Oct 15, 2018 to Jan 30, 2019
      • Pooled vehicle RAUM · unset to 0.0
        Oct 15, 2018 to Jan 30, 2019
      • RAUM · $205M to $135M
        Oct 15, 2018 to Jan 30, 2019
      • Discretionary RAUM · $154M to $205M
        Jul 23, 2018 to Oct 10, 2018
      • RAUM · $154M to $205M
        Jul 23, 2018 to Oct 10, 2018
      • State-registered IARs · 0 to 1
        Jun 28, 2018 to Jul 9, 2018
      • Discretionary RAUM · $150M to $154M
        Jun 28, 2018 to Jul 9, 2018
      • RAUM · $150M to $154M
        Jun 28, 2018 to Jul 9, 2018
      • Accounts · 1 to 2
        May 22, 2018 to Jun 28, 2018
      • Business name · E••••• L•• to E••••• I•••
        May 22, 2018 to Jun 28, 2018
      • Legal name · E••••• L•• to E••••• I•••
        May 22, 2018 to Jun 28, 2018
      • Discretionary RAUM · $90.0M to $150M
        May 22, 2018 to Jun 28, 2018
      • RAUM · $90.0M to $150M
        May 22, 2018 to Jun 28, 2018
      • Succession · true to false
        May 22, 2018 to Jun 28, 2018
      • Organization form · Limited Liability Company to Corporation
        Apr 6, 2018 to May 22, 2018
      • Succession · false to true
        Apr 6, 2018 to May 22, 2018
      • Discretionary RAUM · $88.0M to $90.0M
        Jan 2, 2018 to Mar 2, 2018
      • RAUM · $88.0M to $90.0M
        Jan 2, 2018 to Mar 2, 2018
      • Accounts · 0 to 1
        Jul 14, 2017 to Jan 2, 2018
      • Other offices · unset to 1.0
        Jul 14, 2017 to Jan 2, 2018
      • Discretionary RAUM · $0 to $88.0M
        Jul 14, 2017 to Jan 2, 2018
      • RAUM · $0 to $88.0M
        Jul 14, 2017 to Jan 2, 2018
      Signals
      2 dated events
      • ••• Locked
        May 22, 2018 · Succession (Item 4) · fact
      • ••• Locked
        Jul 11, 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.
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026