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••••••• V•••••• C•••••• M••••••••• L•
Latest filing Mar 28, 2023
First filing on the tape Jan 17, 2018 · 11 filings
RAUM
$287M
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$217M gross assets
History
11 filings and snapshots on the tape
RAUM$287M as of Mar 28, 2023
Mar 8, 2019$163M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2023
Mar 8, 20190 then
Employees (5.A)5 as of Mar 28, 2023
Mar 8, 20193 then
Private funds3 as of Mar 28, 2023
Mar 8, 20192 then
RAUM -37% over the last fiscal year-3.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2023; 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
- $41.0MderivedRAUM 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
- -37%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $217M, 6 clientsreportedItem 9.A
- 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
- Pooled investment vehicles$217M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $217M for 6 clientsreported
- Compensation
- % of AUM, fixed, 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••••••• V•••••• D••••••••• M••••• F••• | Hedge Fund | $58.3M | 5 | Mar 27, 2020 |
| E•••• F••• L• | Private Equity Fund | $34.6M | 4 | May 22, 2024 |
| E••••••• V•••••• L•••• A••••••• O••••••••• M••••• F••• L• | Hedge Fund | $12.1M | 12 | Jan 17, 2018 |
| E••••••• V•••••• P••••••• A• L• | Private Equity Fund | $9.4M | 2 | Jun 8, 2018 |
Owners and control persons
Schedule A and B, latest filing
- A••••• S•••••••• J•••••• · Cio/Limited Partnercontrolsince 01/2018 · owns 75% or more
- L••••• R••••••• O••••••• · Cco/Coocontrolsince 01/2018 · owns less than 5%
- A••••• S•••••••• J•••••• · Owner/Managing Membercontrolsince 09/2017 · owns 75% or more of E• C•••••• L••
Entity owners
- E• C•••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- E••••••• V•••••• D••••••••• F••• G• L••bankpooled vehicle sponsorn
- E••••••• V•••••• G• L••bankpooled vehicle sponsorn
- E••••••• V•••••• P••••••• A• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $358M to $217MMar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $453M to $287MMar 30, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $358M to $217MMar 30, 2022 to Mar 28, 2023
- RAUM · $453M to $287MMar 30, 2022 to Mar 28, 2023
- Assets in custody · $388M to $358MApr 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $478M to $453MApr 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $388M to $358MApr 30, 2021 to Mar 30, 2022
- RAUM · $478M to $453MApr 30, 2021 to Mar 30, 2022
- Advisory employees · 2 to 4Apr 21, 2020 to Mar 26, 2021
- Assets in custody · $239M to $388MApr 21, 2020 to Mar 26, 2021
- Employees · 3 to 5Apr 21, 2020 to Mar 26, 2021
- Discretionary RAUM · $317M to $478MApr 21, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $239M to $388MApr 21, 2020 to Mar 26, 2021
- RAUM · $317M to $478MApr 21, 2020 to Mar 26, 2021
- Accounts · 5 to 7Apr 30, 2019 to Mar 27, 2020
- Pooled vehicle clients · 4 to 6Apr 30, 2019 to Mar 27, 2020
- Assets in custody · $95.0M to $239MApr 30, 2019 to Mar 27, 2020
- Private funds · 2 to 3Apr 30, 2019 to Mar 27, 2020
- Discretionary RAUM · $163M to $317MApr 30, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $95.0M to $239MApr 30, 2019 to Mar 27, 2020
- RAUM · $163M to $317MApr 30, 2019 to Mar 27, 2020
- Assets in custody · $163M to $95.0MMar 8, 2019 to Apr 30, 2019
- Accounts · 4 to 5Sep 4, 2018 to Mar 8, 2019
- Assets in custody · $68.5M to $163MSep 4, 2018 to Mar 8, 2019
- Discretionary RAUM · $68.5M to $163MSep 4, 2018 to Mar 8, 2019
- Pooled vehicle RAUM · $68.5M to $95.0MSep 4, 2018 to Mar 8, 2019
- RAUM · $68.5M to $163MSep 4, 2018 to Mar 8, 2019
- Accounts · 3 to 4Jan 17, 2018 to Jun 8, 2018
- Pooled vehicle clients · 3 to 4Jan 17, 2018 to Jun 8, 2018
- Assets in custody · $45.0M to $68.5MJan 17, 2018 to Jun 8, 2018
- Private funds · 1 to 2Jan 17, 2018 to Jun 8, 2018
- Discretionary RAUM · $45.0M to $68.5MJan 17, 2018 to Jun 8, 2018
- Pooled vehicle RAUM · $45.0M to $68.5MJan 17, 2018 to Jun 8, 2018
- RAUM · $45.0M to $68.5MJan 17, 2018 to Jun 8, 2018
- Related bank · false to trueJan 17, 2018 to Jun 8, 2018
Signals
4 dated events
- E••••••• V•••••• C•••••• M••••••••• L• reported RAUM $287.3M, down 37% from $452.6M (2022-03-30 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- E••••••• V•••••• C•••••• M••••••••• L• reported RAUM $478.0M, up 51% from $316.9M (2020-04-21 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- E••••••• V•••••• C•••••• M••••••••• L• reported RAUM $316.9M, up 94% from $163.0M (2019-04-30 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- E••••••• V•••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jan 17, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E••••••• V•••••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- E••••••• V•••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
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