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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
E••• C•••••• M••••••••• L••
Latest filing Apr 27, 2026
First filing on the tape Nov 15, 2017 · 21 filings
SEC status approved since Dec 14, 2017
RAUM
$284M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$94.6M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$284M as of Apr 27, 2026
Mar 14, 2018$188M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Apr 27, 2026
Mar 14, 20180 then
Employees (5.A)9 as of Apr 27, 2026
Mar 14, 20187 then
Private funds2 as of Apr 27, 2026
Mar 28, 20192 then
RAUM -21% over the last fiscal year+19% a year over threeIARs 4 to 4offices 0 to 1
Practice profile
derived from the filing of Apr 27, 2026; every figure names its basis
- RAUM per advisor
- $94.6MderivedRAUM 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
- $142MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- Custody
- $284M, 2 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$284M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $284M for 2 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H••••• L• W••• | New York, Ny | Mar 28, 2021 | 10 y | 0 |
| W•••••• T••••• E•••• D••••• | New York, Ny | Nov 8, 2021 | 18 y | 0 |
| D••• S••• D•••• | London | Nov 13, 2021 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••• C•••••• P•••••••• L••• | Private Equity Fund | $184M | 8 | Mar 28, 2019 |
| E••• C•••••• P••••••• I•• L• | Private Equity Fund | $108M | 9 | Mar 19, 2024 |
| E••• C•••••• S••••••••• M••••• F••• L•no longer reported | Hedge Fund | $93.7M | 2 | Mar 28, 2019 |
Owners and control persons
Schedule A and B, latest filing
- D••••• D•••• S••• · Chief Executive Officercontrolsince 11/2015 · owns less than 5%
- D••••• D•••• S••• · Owner/Presidentcontrolsince 11/2015 · owns 75% or more of E••• C•••••• S•••
- G•••••••• F••••• J• · Chief Financial Officer/Chief Compliance Officersince 11/2022 · owns less than 5%
Entity owners
- E••• C•••••• S••• · Managing Member/Corporate Owner Swiss Corporationdirect · owns 75% or more
Related persons
Schedule D 7.A
- E••• C•••••• P••••••• G•pooled vehicle sponsorn
- E••• C•••••• P••••••• I•• L•pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 18 to 2Mar 24, 2025 to Mar 26, 2026
- Advisory employees · 6 to 7Mar 24, 2025 to Mar 26, 2026
- Assets in custody · unset to 283762599.0Mar 24, 2025 to Mar 26, 2026
- Custody of client assets · false to trueMar 24, 2025 to Mar 26, 2026
- Other offices · 0 to 1Mar 24, 2025 to Mar 26, 2026
- Discretionary RAUM · $360M to $284MMar 24, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $360M to $284MMar 24, 2025 to Mar 26, 2026
- RAUM · $360M to $284MMar 24, 2025 to Mar 26, 2026
- Accounts · 2 to 18Oct 1, 2024 to Mar 24, 2025
- Assets in custody · 29852.0 to unsetOct 1, 2024 to Mar 24, 2025
- Custody of client assets · true to falseOct 1, 2024 to Mar 24, 2025
- Financial planning clients · unset to Oct 1, 2024 to Mar 24, 2025
- State-registered IARs · 3 to 4Oct 1, 2024 to Mar 24, 2025
- Discretionary RAUM · $292M to $360MOct 1, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $292M to $360MOct 1, 2024 to Mar 24, 2025
- RAUM · $292M to $360MOct 1, 2024 to Mar 24, 2025
- Accounts · 1 to 2May 18, 2023 to Mar 19, 2024
- Advisory employees · 4 to 6May 18, 2023 to Mar 19, 2024
- Pooled vehicle clients · 1 to 2May 18, 2023 to Mar 19, 2024
- Assets in custody · $160M to $29,852May 18, 2023 to Mar 19, 2024
- Employees · 5 to 9May 18, 2023 to Mar 19, 2024
- Private funds · 1 to 2May 18, 2023 to Mar 19, 2024
- Discretionary RAUM · $169M to $292MMay 18, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $169M to $292MMay 18, 2023 to Mar 19, 2024
- RAUM · $169M to $292MMay 18, 2023 to Mar 19, 2024
- Assets in custody · $114M to $160MDec 20, 2022 to Mar 1, 2023
- Employees · 7 to 5Dec 20, 2022 to Mar 1, 2023
- Discretionary RAUM · $114M to $169MDec 20, 2022 to Mar 1, 2023
- Pooled vehicle RAUM · $114M to $169MDec 20, 2022 to Mar 1, 2023
- RAUM · $114M to $169MDec 20, 2022 to Mar 1, 2023
- Advisory activities · 2 to 1Nov 4, 2021 to Mar 3, 2022
- Assets in custody · $49.6M to $114MNov 4, 2021 to Mar 3, 2022
- State-registered IARs · 0 to 3Nov 4, 2021 to Mar 3, 2022
- Discretionary RAUM · $85.0M to $114MNov 4, 2021 to Mar 3, 2022
- Pooled vehicle RAUM · $85.0M to $114MNov 4, 2021 to Mar 3, 2022
- RAUM · $85.0M to $114MNov 4, 2021 to Mar 3, 2022
- Accounts · 2 to 1May 7, 2020 to Feb 23, 2021
- Advisory employees · 5 to 4May 7, 2020 to Feb 23, 2021
- Pooled vehicle clients · 2 to 1May 7, 2020 to Feb 23, 2021
- Assets in custody · unset to 49571189.0May 7, 2020 to Feb 23, 2021
Signals
3 dated events
- E••• C•••••• M••••••••• L•• reported RAUM $292.0M, up 73% from $168.6M (2023-05-18 to 2024-03-19)Mar 19, 2024 · RAUM change · derived
- Kenneth Merlo (Vice President/Chief Compliance Officer) no longer on Schedule A of E••• C•••••• M••••••••• L•• (listed 2018-03-14, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- E••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 15, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- E••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- E•••CP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-588-9000reportedpublic record, Form ADV, Apr 27, 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
- $94.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026