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••••••••• M••••••••• L•

Asset manager (funds and pooled vehicles)New York, New YorkCRD 299543SEC 801-133915websiteIAPD
Latest filing Mar 13, 2026
First filing on the tape Jun 30, 2025 · 2 filings
SEC status approved since Jul 22, 2025
RAUM
$182M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$182M as of Mar 13, 2026
Jun 30, 2025$188M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 13, 2026
Jun 30, 20250 then
Employees (5.A)2 as of Mar 13, 2026
Jun 30, 20253 then
Private funds1 as of Mar 13, 2026
Jun 30, 20251 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 13, 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
$182MderivedRAUM 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
unknownderivedbetween 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
  • 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$182M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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=true 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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••••• P••••••• L•Hedge Fund$129M13Nov 30, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • R•••• A••••••••• M• · Managing Partner, Chief Compliance Officercontrol
        since 06/2025 · owns 75% or more
      Entity owners
      • E••••• I••••••••• L•• · General Partner
        direct · owns less than 5%
      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
      • Advisory employees · 3 to 2
        Jun 30, 2025 to Mar 13, 2026
      • Employees · 3 to 2
        Jun 30, 2025 to Mar 13, 2026
      • Discretionary RAUM · $188M to $182M
        Jun 30, 2025 to Mar 13, 2026
      • Pooled vehicle RAUM · $188M to $182M
        Jun 30, 2025 to Mar 13, 2026
      • RAUM · $188M to $182M
        Jun 30, 2025 to Mar 13, 2026
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Website
      e•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      (929) 274-0316reportedpublic record, Form ADV, Mar 13, 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