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•••••• S••

Former SEC-registered adviserLondon, CRD 293605SEC 801-112928IAPD
Legal name E•••••• S•• C•••••• L••••••
Latest filing Jul 5, 2022
First filing on the tape Mar 23, 2018 · 7 filings
RAUM
$5.8B
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
14
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$5.8B as of Mar 23, 2022
Jun 20, 2019$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2022
Jun 20, 20190 then
Employees (5.A)14 as of Mar 23, 2022
Jun 20, 201912 then
Private funds: no history
RAUM +133% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 5, 2022; 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
$643MderivedRAUM 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
+133%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-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$5.8B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••• A••• C••••••• F••• L•no longer reportedHedge Fund$74.6M1Mar 23, 2018
      K• S•• C••••••• F•••no longer reportedHedge Fund$61.1M1Mar 23, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• L•••• N•• · Chief Compliance Officercontrol
        since 06/2022 · owns less than 5%
      • C••••••••• I•••• · Directorcontrol
        since 01/2020 · owns less than 5%
      • D••••••••• G••••••• · Directorcontrol
        since 01/2020 · owns less than 5%
      • J••• S••••••• L• · Director, Chief Executive Officer And Co-Chief Investment Officercontrol
        since 07/2016 · owns 10% to 25%
      • M••••••• M•••••• · Directorcontrol
        since 07/2016 · owns less than 5%
      • P••••••••• S•••••• · Directorcontrol
        since 02/2020 · owns less than 5%
      • S•••••• A••••••••• M•••• · Directorcontrol
        since 07/2016 · owns less than 5%
      • S•••••••• M•••• · Head Of Operations And Outsourcing Controlcontrol
        since 07/2016 · owns less than 5%
      • Y•••••• F•••• · Director And Co-Chief Investment Officercontrol
        since 07/2016 · owns 10% to 25%
      Entity owners
      • I••••• S••••••• S•• · Owner
        indirect · owns 50% to 75% of E•••••• C•••••• S••
      • E•••••• C•••••• S•• · Owner
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • E•••••• C•••••• S•• S••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 9
        May 17, 2021 to Mar 23, 2022
      • Advisory employees · 8 to 9
        May 17, 2021 to Mar 23, 2022
      • Pooled vehicle clients · 6 to 9
        May 17, 2021 to Mar 23, 2022
      • Discretionary RAUM · $4.5B to $5.8B
        May 17, 2021 to Mar 23, 2022
      • Pooled vehicle RAUM · $4.5B to $5.8B
        May 17, 2021 to Mar 23, 2022
      • RAUM · $4.5B to $5.8B
        May 17, 2021 to Mar 23, 2022
      • Accounts · 4 to 6
        May 19, 2020 to May 17, 2021
      • Pooled vehicle clients · 4 to 6
        May 19, 2020 to May 17, 2021
      • Discretionary RAUM · $2.5B to $4.5B
        May 19, 2020 to May 17, 2021
      • Pooled vehicle RAUM · $2.5B to $4.5B
        May 19, 2020 to May 17, 2021
      • RAUM · $2.5B to $4.5B
        May 19, 2020 to May 17, 2021
      • Accounts · 5 to 4
        Jun 20, 2019 to May 19, 2020
      • Advisory employees · 9 to 8
        Jun 20, 2019 to May 19, 2020
      • Advisory activities · 2 to 1
        Jun 20, 2019 to May 19, 2020
      • Employees · 12 to 14
        Jun 20, 2019 to May 19, 2020
      • Discretionary RAUM · $1.4B to $2.5B
        Jun 20, 2019 to May 19, 2020
      • Pooled vehicle RAUM · $1.3B to $2.5B
        Jun 20, 2019 to May 19, 2020
      • RAUM · $1.4B to $2.5B
        Jun 20, 2019 to May 19, 2020
      • Accounts · 3 to 5
        Mar 23, 2018 to Jun 20, 2019
      • Advisory employees · 7 to 9
        Mar 23, 2018 to Jun 20, 2019
      • Corporate clients · 1.0 to unset
        Mar 23, 2018 to Jun 20, 2019
      • Pooled vehicle clients · 2 to 4
        Mar 23, 2018 to Jun 20, 2019
      • Employees · 14 to 12
        Mar 23, 2018 to Jun 20, 2019
      • Private funds · 2 to unset
        Mar 23, 2018 to Jun 20, 2019
      • Discretionary RAUM · $506M to $1.4B
        Mar 23, 2018 to Jun 20, 2019
      • Pooled vehicle RAUM · $136M to $1.3B
        Mar 23, 2018 to Jun 20, 2019
      • RAUM · $506M to $1.4B
        Mar 23, 2018 to Jun 20, 2019
      Signals
      13 dated events
      • Nmn Luca Artesani (Chief Compliance Officer) appeared on Schedule A of E•••••• S••
        Jul 5, 2022 · Control person joined · fact
      • E•••••• S•• reported RAUM $5.8B, up 30% from $4.5B (2021-05-17 to 2022-03-23)
        Mar 23, 2022 · RAUM change · derived
      • Colin Woods (Head Of Compliance And Aml) no longer on Schedule A of E•••••• S•• (listed 2021-05-17, absent 2022-03-23)
        Mar 23, 2022 · Control person left · inference
      • E•••••• S•• reported RAUM $4.5B, up 80% from $2.5B (2020-05-19 to 2021-05-17)
        May 17, 2021 · RAUM change · derived
      • Saverio Perissinotto (Director) appeared on Schedule A of E•••••• S••
        May 19, 2020 · Control person joined · fact
      • Irene Cervellera (Director) appeared on Schedule A of E•••••• S••
        May 19, 2020 · Control person joined · fact
      • Giuseppe Distefano (Director) appeared on Schedule A of E•••••• S••
        May 19, 2020 · Control person joined · fact
      • E•••••• S•• reported RAUM $2.5B, up 80% from $1.4B (2019-06-20 to 2020-05-19)
        May 19, 2020 · RAUM change · derived
      • T•••••• C••••• (Director) no longer on Schedule A of E•••••• S•• (listed 2019-06-20, absent 2020-05-19)
        May 19, 2020 · Control person left · inference
      • Colin Woods (Head Of Compliance And Aml) appeared on Schedule A of E•••••• S••
        May 19, 2020 · Control person joined · fact
      • E•••••• S•• reported RAUM $1.4B, up 173% from $505.9M (2018-03-23 to 2019-06-20)
        Jun 20, 2019 · RAUM change · derived
      • R••• Maclean (Chief Compliance Officer & Risk Officer) no longer on Schedule A of E•••••• S•• (listed 2018-03-23, absent 2019-06-20)
        Jun 20, 2019 · Control person left · inference
      • E•••••• S•• filed its initial SEC registration (Form ADV)
        Mar 23, 2018 · 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