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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

E•••••• N•••• A••••••• I•••

Other adviserNew York, New YorkCRD 300444SEC 801-116791IAPD
Latest filing Aug 13, 2026
First filing on the tape May 15, 2019 · 12 filings
SEC status approved since Jun 27, 2019
RAUM
$1.6B
reported, Item 5.F
Discretionary
0.0%
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
12
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.6B as of Aug 13, 2026
Mar 30, 2020$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 13, 2026
Mar 30, 20200 then
Employees (5.A)12 as of Aug 13, 2026
Mar 30, 202020 then
Private funds: no history
RAUM -6.8% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 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
$807MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
-6.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, otherreportedItem 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$1.2B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
private_client_share=0.0 fund_share=0.0 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• V••••••• · Managing Directorcontrol
        since 03/2016 · owns less than 5%
      • B••••••• C••••••••• · Co-Chief Executive Officercontrol
        since 02/2023 · owns less than 5%
      • K••••••••• W•••••• · Co-Chief Executive Officercontrol
        since 02/2023 · owns less than 5%
      • M•••••• S••••• K•••• · General Counsel And Chief Compliance Officer N•••• A••••••control
        since 01/2022 · owns less than 5%
      • S•••••• E•••• R• · Managing Directorcontrol
        since 09/2020 · owns less than 5%
      Entity owners
      • E•••••• S• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      2 against comparable advisers; where to look, not conclusions
      • low discretionary shareStatic outlier · filing Aug 13, 2026
        discretionary share of RAUM of 0% against a peer median of 100% (247 comparable advisers, 0.0th percentile, 33.7 robust deviations)
        peers: other advisers, $1B to $5B (247) · 0.0% percentile
      • institutional asset share shiftChange between filings · filing Mar 31, 2026
        institutional share of RAUM moved from 30.0% to 73.0% between the annual amendments of 2025-03-28 and 2026-03-31
        peers: other advisers, $1B to $5B (247)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Employees · 13 to 12
        Mar 28, 2025 to Mar 31, 2026
      • Non-discretionary RAUM · $1.7B to $1.6B
        Mar 28, 2025 to Mar 31, 2026
      • RAUM · $1.7B to $1.6B
        Mar 28, 2025 to Mar 31, 2026
      • Advisory employees · 15 to 10
        Oct 17, 2024 to Mar 28, 2025
      • Employees · 21 to 13
        Oct 17, 2024 to Mar 28, 2025
      • Financial planning clients · unset to
        Oct 17, 2024 to Mar 28, 2025
      • Non-discretionary RAUM · $2.2B to $1.7B
        Oct 17, 2024 to Mar 28, 2025
      • RAUM · $2.2B to $1.7B
        Oct 17, 2024 to Mar 28, 2025
      • Accounts · 1 to 2
        Mar 30, 2023 to Mar 27, 2024
      • Advisory employees · 19 to 15
        Mar 30, 2023 to Mar 27, 2024
      • Employees · 25 to 21
        Mar 30, 2023 to Mar 27, 2024
      • Non-discretionary RAUM · $2.3B to $2.2B
        Mar 30, 2023 to Mar 27, 2024
      • RAUM · $2.3B to $2.2B
        Mar 30, 2023 to Mar 27, 2024
      • Advisory employees · 18 to 19
        Feb 23, 2023 to Mar 30, 2023
      • Non-discretionary RAUM · $1.8B to $2.3B
        Feb 23, 2023 to Mar 30, 2023
      • RAUM · $1.8B to $2.3B
        Feb 23, 2023 to Mar 30, 2023
      • Advisory employees · 16 to 18
        Jan 31, 2022 to Mar 30, 2022
      • Employees · 20 to 25
        Jan 31, 2022 to Mar 30, 2022
      • Non-discretionary RAUM · $1.1B to $1.8B
        Jan 31, 2022 to Mar 30, 2022
      • RAUM · $1.1B to $1.8B
        Jan 31, 2022 to Mar 30, 2022
      • Non-discretionary RAUM · $1.3B to $1.1B
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $1.3B to $1.1B
        Mar 30, 2020 to Mar 31, 2021
      • Advisory employees · 13 to 16
        May 15, 2019 to Mar 30, 2020
      • Employees · 16 to 20
        May 15, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $774M to $1.3B
        May 15, 2019 to Mar 30, 2020
      • RAUM · $774M to $1.3B
        May 15, 2019 to Mar 30, 2020
      Signals
      11 dated events
      • E•••••• N•••• A••••••• I••• reported RAUM $2.3B, up 29% from $1.8B (2023-02-23 to 2023-03-30)
        Mar 30, 2023 · RAUM change · derived
      • V••••••• M••••• (Chief Executive Officer) no longer on Schedule A of E•••••• N•••• A••••••• I••• (listed 2022-03-30, absent 2023-02-23)
        Feb 23, 2023 · Control person left · inference
      • C••••••••• B•••••• (Co-Chief Executive Officer) appeared on Schedule A of E•••••• N•••• A••••••• I•••
        Feb 23, 2023 · Control person joined · fact
      • W•••••• K••••••••• (Co-Chief Executive Officer) appeared on Schedule A of E•••••• N•••• A••••••• I•••
        Feb 23, 2023 · Control person joined · fact
      • E•••••• N•••• A••••••• I••• reported RAUM $1.8B, up 58% from $1.1B (2022-01-31 to 2022-03-30)
        Mar 30, 2022 · RAUM change · derived
      • Kanji Shari Miller (General Counsel And Chief Compliance Officer North America) appeared on Schedule A of E•••••• N•••• A••••••• I•••
        Jan 31, 2022 · Control person joined · fact
      • Nicolas Huet (Secretary And Cco) no longer on Schedule A of E•••••• N•••• A••••••• I••• (listed 2021-03-31, absent 2022-01-31)
        Jan 31, 2022 · Control person left · inference
      • E••• S••••••• (Managing Director) no longer on Schedule A of E•••••• N•••• A••••••• I••• (listed 2020-03-30, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • R E••• Sondag (Managing Director) appeared on Schedule A of E•••••• N•••• A••••••• I•••
        Mar 31, 2021 · Control person joined · fact
      • E•••••• N•••• A••••••• I••• reported RAUM $1.3B, up 65% from $774.2M (2019-05-15 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • E•••••• N•••• A••••••• I••• filed its initial SEC registration (Form ADV)
        May 15, 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.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      2126106060reportedpublic record, Form ADV, Aug 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
      Other 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