DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

E•••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 299296SEC 801-119123IAPD

Latest filing Apr 6, 2022

First filing on the tape Mar 1, 2019 · 14 filings

RAUM

$138M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

14 filings and snapshots on the tape

RAUM$138M as of Mar 31, 2022

Mar 31, 2021$69.2M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 31, 2022

Mar 31, 20210 then

Employees (5.A)12 as of Mar 31, 2022

Mar 31, 202118 then

Private funds: 1

RAUM +99% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Apr 6, 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: $15.3MderivedRAUM 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: +99%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 pooled vehicles, portfolio management for investment companiesreportedItem 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

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Investment companies$98.1M96%
Pooled investment vehicles$4.5M4.4%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 9reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
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 departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
E•••• B•••••• F•••••• F••• L•	Hedge Fund	$2.7M	1	Nov 18, 2020

Owners and control persons

Schedule A and B, latest filing

D••••• T•••••• · Chief Compliance Officer, Head Of Etf Operationscontrol
since 06/2020 · owns less than 5%
H••••••• G••••••• A••• · Chief Executive Officercontrol
since 09/2018 · owns less than 5%
S•••••• D•••••••• S• · Chief Financial Officercontrol
since 09/2018 · owns less than 5%
H••••••• G••••••• A••• · Managing Membercontrol
since 06/2020 · owns 75% or more of Y••••• M••••••••• L••

Entity owners

Y••••• H••••• L•• · Managing Member
direct · owns 75% or more
Y••••• M••••••••• L•• · Member
indirect · owns 75% or more of Y••••• H••••• L••

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

Accounts · 7 to 9
Nov 19, 2021 to Mar 31, 2022
BD registered reps · 0 to 1
Nov 19, 2021 to Mar 31, 2022
Assets in custody · 0.0 to unset
Nov 19, 2021 to Mar 31, 2022
Custody of client assets · true to false
Nov 19, 2021 to Mar 31, 2022
Employees · 18 to 12
Nov 19, 2021 to Mar 31, 2022
Private funds · 1 to unset
Nov 19, 2021 to Mar 31, 2022
Discretionary RAUM · $69.2M to $138M
Nov 19, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $2.7M to $4.5M
Nov 19, 2021 to Mar 31, 2022
RAUM · $69.2M to $138M
Nov 19, 2021 to Mar 31, 2022
Accounts · 5 to 7
Nov 18, 2020 to Mar 31, 2021
Employees · 17 to 18
Nov 18, 2020 to Mar 31, 2021
HQ city · unset to NEW YORK
Nov 18, 2020 to Mar 31, 2021
HQ state · unset to NY
Nov 18, 2020 to Mar 31, 2021
Discretionary RAUM · $52.8M to $69.2M
Nov 18, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $1.2M to $2.7M
Nov 18, 2020 to Mar 31, 2021
RAUM · $52.8M to $69.2M
Nov 18, 2020 to Mar 31, 2021
Accounts · 0 to 5
Sep 18, 2020 to Nov 18, 2020
Pooled vehicle clients · unset to 1.0
Sep 18, 2020 to Nov 18, 2020
Assets in custody · unset to 0.0
Sep 18, 2020 to Nov 18, 2020
Custody of client assets · false to true
Sep 18, 2020 to Nov 18, 2020
Private funds · unset to 1
Sep 18, 2020 to Nov 18, 2020
Discretionary RAUM · $0 to $52.8M
Sep 18, 2020 to Nov 18, 2020
Pooled vehicle RAUM · unset to 1190593.0
Sep 18, 2020 to Nov 18, 2020
RAUM · $0 to $52.8M
Sep 18, 2020 to Nov 18, 2020
Advisory activities · 1 to 2
Jul 6, 2020 to Sep 18, 2020
Business name · Y••••• A••••••• L•• to E•••• A••••••• L••
Jun 23, 2020 to Jul 6, 2020
Legal name · Y••••• A••••••• L•• to E•••• A••••••• L••
Jun 23, 2020 to Jul 6, 2020
Other offices · 1 to 0
Jun 23, 2020 to Jul 6, 2020
Accounts · unset to 0.0
Jul 26, 2019 to Jun 23, 2020
Advisory employees · 5 to 8
Jul 26, 2019 to Jun 23, 2020
Employees · 5 to 17
Jul 26, 2019 to Jun 23, 2020
Financial planning clients · unset to 0
Jul 26, 2019 to Jun 23, 2020
Other offices · 0 to 1
Jul 26, 2019 to Jun 23, 2020
Discretionary RAUM · unset to 0.0
Jul 26, 2019 to Jun 23, 2020
Non-discretionary RAUM · unset to 0.0
Jul 26, 2019 to Jun 23, 2020
RAUM · unset to 0.0
Jul 26, 2019 to Jun 23, 2020
Advisory employees · 4 to 5
Mar 1, 2019 to Jul 26, 2019
Employees · 4 to 5
Mar 1, 2019 to Jul 26, 2019

Signals

4 dated events

Agam Sharma (Chief Investment Officer) no longer on Schedule A of E•••• A••••••• L•• (listed 2021-08-11, absent 2021-08-11)
Aug 11, 2021 · Control person left · inference
Jeremiah T•••••• D•••• (Chief Compliance Officer) appeared on Schedule A of E•••• A••••••• L••
Jun 23, 2020 · Control person joined · fact
Agam Sharma (Chief Investment Officer) appeared on Schedule A of E•••• A••••••• L••
Jun 23, 2020 · Control person joined · fact
Y••••• A••••••• L•• filed its initial SEC registration (Form ADV)
Mar 1, 2019 · 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