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•• I••••••••• A••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Sep 27, 2019 · 13 filings
SEC status approved since Oct 31, 2019
RAUM
$1.0B
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
16
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$1.0B as of Mar 26, 2026
Mar 25, 2020$2.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 25, 20200 then
Employees (5.A)16 as of Mar 26, 2026
Mar 25, 202014 then
Private funds3 as of Mar 26, 2026
Mar 25, 20203 then
RAUM -35% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $347MderivedRAUM 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
- -35%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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.0B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••••• S••••••• P••••••• V••• L• | Venture Capital Fund | $1.2B | 81 | Dec 27, 2018 |
| E••••• S••••••• P••••••• V•• L• | Venture Capital Fund | $698M | 94 | Mar 27, 2015 |
| E••••• S••••••• P••••••• V• L• | Venture Capital Fund | $34.5M | 58 | Mar 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• P••••• W• · Senior Vice Presidentcontrolsince 07/2018 · owns less than 5%
- B•••••• J••••• P•••••• · Managing Directorcontrolsince 07/2018 · owns less than 5%
- D••••• B•••••••• H•••• · Senior Vice Presidentcontrolsince 07/2018 · owns less than 5%
- D•••••• E••••••••• A••••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- F••••••• A•••••• K••• · Chief Financial Officercontrolsince 07/2018 · owns less than 5%
- H••••••••• M•••• S• · Senior Vice Presidentcontrolsince 07/2018 · owns less than 5%
- M••••• M••••••• C•••••• · Vice Presidentcontrolsince 07/2018 · owns less than 5%
- M•••••••• M••••••• P•••••• · Vice Presidentcontrolsince 01/2019 · owns less than 5%
- P•••••••• C•••••••• A••••• · Vice Presidentcontrolsince 07/2018 · owns less than 5%
- S••••• J••••• W•••••• · Managing Director And Deputy Compliance Officercontrolsince 01/2023 · owns less than 5%
- W•••••••• T•••••• O••••• · Presidentcontrolsince 07/2018 · owns less than 5%
- B•••••• J••••• P•••••• · Shareholdercontrolsince 10/1997 · owns 25% to 50% of E••••• S••••••• S••••••••• C•••••••••
- S••••• J••••• W•••••• · Shareholdercontrolsince 10/1997 · owns 25% to 50% of E••••• S••••••• S••••••••• C•••••••••
- W•••••••• T•••••• O••••• · Shareholdercontrolsince 10/1997 · owns 25% to 50% of E••••• S••••••• S••••••••• C•••••••••
Entity owners
- E••••• S••••••• C•••••• V••• L• · Memberdirect · owns 75% or more
- E••••• S••••••• S••••••••• C••••••••• · Memberdirect · owns 75% or more
- E••••• S••••••• S••••••••• C••••••••• · Memberindirect · owns 75% or more of E••••• S••••••• V••• L••
- E••••• S••••••• V••• L•• · General Partnerindirect · owns F of E••••• S••••••• C•••••• V••• L•
Related persons
Schedule D 7.A
- E••••• S••••••• C•••••• V• L•pooled vehicle sponsory
- E••••• S••••••• C•••••• V•• L•pooled vehicle sponsory
- E••••• S••••••• C•••••• V••• L•pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $1,607,019,160 to $1,040,678,006 (-35.0%) between the annual amendments of 2025-03-28 and 2026-03-26; the peer median change was +11.0% (1368 comparable advisers, 2.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 2.1% percentile
What changed
consecutive filings, newest first
- Advisory employees · 11 to 9Nov 11, 2025 to Mar 26, 2026
- Employees · 18 to 16Nov 11, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.6B to $1.0BNov 11, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $1.6B to $1.0BNov 11, 2025 to Mar 26, 2026
- RAUM · $1.6B to $1.0BNov 11, 2025 to Mar 26, 2026
- Advisory employees · 12 to 11Mar 27, 2024 to Mar 28, 2025
- Employees · 19 to 18Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.9B to $1.6BMar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.9B to $1.6BMar 27, 2024 to Mar 28, 2025
- RAUM · $1.9B to $1.6BMar 27, 2024 to Mar 28, 2025
- Advisory employees · 11 to 12Nov 2, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.9B to $1.9BNov 2, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.9B to $1.9BNov 2, 2023 to Mar 27, 2024
- RAUM · $1.9B to $1.9BNov 2, 2023 to Mar 27, 2024
- Discretionary RAUM · $2.2B to $1.9BJan 9, 2023 to Mar 29, 2023
- Pooled vehicle RAUM · $2.2B to $1.9BJan 9, 2023 to Mar 29, 2023
- RAUM · $2.2B to $1.9BJan 9, 2023 to Mar 29, 2023
- Advisory employees · 10 to 11Mar 26, 2021 to Mar 30, 2022
- Assets in custody · 0.0 to unsetMar 26, 2021 to Mar 30, 2022
- Custody of client assets · true to falseMar 26, 2021 to Mar 30, 2022
- Employees · 18 to 19Mar 26, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.9B to $2.2BMar 26, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.9B to $2.2BMar 26, 2021 to Mar 30, 2022
- RAUM · $1.9B to $2.2BMar 26, 2021 to Mar 30, 2022
- Employees · 14 to 18Jan 5, 2021 to Mar 26, 2021
- Discretionary RAUM · $2.2B to $1.9BJan 5, 2021 to Mar 26, 2021
- Pooled vehicle RAUM · $2.2B to $1.9BJan 5, 2021 to Mar 26, 2021
- RAUM · $2.2B to $1.9BJan 5, 2021 to Mar 26, 2021
- Accounts · 4 to 3Sep 27, 2019 to Mar 25, 2020
- Pooled vehicle clients · 4 to 3Sep 27, 2019 to Mar 25, 2020
- Assets in custody · unset to 0.0Sep 27, 2019 to Mar 25, 2020
- Custody of client assets · false to trueSep 27, 2019 to Mar 25, 2020
- Private funds · 8 to 3Sep 27, 2019 to Mar 25, 2020
- Discretionary RAUM · $2.2B to $2.2BSep 27, 2019 to Mar 25, 2020
- Pooled vehicle RAUM · $2.2B to $2.2BSep 27, 2019 to Mar 25, 2020
- RAUM · $2.2B to $2.2BSep 27, 2019 to Mar 25, 2020
Signals
4 dated events
- E•• I••••••••• A••••••• L•• reported RAUM $1.0B, down 35% from $1.6B (2025-11-11 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- Ashley Elizabeth Deluca (Compliance Officer) appeared on Schedule A of E•• I••••••••• A••••••• L••Mar 30, 2022 · Control person joined · fact
- Patrick Michael Mitchell (Vice President) appeared on Schedule A of E•• I••••••••• A••••••• L••Mar 25, 2020 · Control person joined · fact
- E•• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Sep 27, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E•• I••••••••• A••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/energy-spectrum-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- energyspectrum.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-987-6100reportedpublic record, Form ADV, Mar 26, 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