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

I•••••• E••••••• R• L••

Former SEC-registered adviserNew York, New YorkCRD 301129SEC 801-115138IAPD
Latest filing Feb 1, 2021
First filing on the tape Mar 29, 2019 · 8 filings
RAUM
$1.4B
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
75
48 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
3
$1.4B gross assets
History
8 filings and snapshots on the tape
RAUM$1.4B as of Feb 1, 2021
Mar 29, 2019$458M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 1, 2021
Mar 29, 20193 then
Employees (5.A)75 as of Feb 1, 2021
Mar 29, 201954 then
Private funds3 as of Feb 1, 2021
Mar 29, 20191 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 1, 2021; every figure names its basis
RAUM per advisor
$453MderivedRAUM 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
$453MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
25.0derivedItem 5.A over advisors
Advisors per office
0.8derived4 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.4B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••••• J•••••• E••• · Chief Compliance Officercontrol
        since 02/2021 · owns less than 5%
      Entity owners
      • E•••••• O•• C•••••• · L•••••• Partner
        direct · owns 25% to 50%
      • I•••••• E• R• A••••••••• L•• · General Partner
        direct · owns 75% or more
      • I•••••• E••••••• R• ••••••• L••• · L•••••• Partner
        direct · owns 25% to 50%
      • I•••••• A•••••••• I••• · Sole Shareholder
        indirect · owns 75% or more of I•••••• S••••• S•••••• M••••••••• I•••
      • I•••••• G•••• S•••••••• I••• · Sole Shareholder
        indirect · owns 75% or more of I•••••• A•••••••• I•••
      • I•••••• H•••••• C•••••• •••• I••• · Sole Shareholder
        indirect · owns 75% or more of O••••••••• A••••••••• C•••••••••
      • I•••••• H•••••• C•••••• L•••••• · Sole Shareholder
        indirect · owns 75% or more of I•••••• H•••••• C•••••• •••• I•••
      • I•••••• L•• · Sole Shareholder
        indirect · owns 75% or more of I•••••• H•••••• C•••••• L•••••• · public reporting company
      • I•••••• S••••• S•••••• M••••••••• I••• · Sole Shareholder
        indirect · owns 75% or more of I•••••• E• R• A••••••••• L••
      • O••••••••• A••••••••• C••••••••• · Sole Shareholder
        indirect · owns 75% or more of O••••••••• I•••
      • O••••••••• I••• · Sole Shareholder
        indirect · owns 75% or more of I•••••• G•••• S•••••••• I•••
      • G••••• O•• C•••••• · L•••••• Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Advisers that list I•••••• E••••••• R• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Downers Grove, IL9 employees
      • Centennial, CO7 employees
      • London, United Kingdom4 employees
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 3
        Jun 21, 2019 to Mar 12, 2020
      • Advisory employees · 31 to 48
        Jun 21, 2019 to Mar 12, 2020
      • BD registered reps · 6 to 7
        Jun 21, 2019 to Mar 12, 2020
      • Pooled vehicle clients · 1 to 3
        Jun 21, 2019 to Mar 12, 2020
      • Employees · 54 to 75
        Jun 21, 2019 to Mar 12, 2020
      • Private funds · 1 to 3
        Jun 21, 2019 to Mar 12, 2020
      • Discretionary RAUM · $458M to $1.4B
        Jun 21, 2019 to Mar 12, 2020
      • Pooled vehicle RAUM · $458M to $1.4B
        Jun 21, 2019 to Mar 12, 2020
      • RAUM · $458M to $1.4B
        Jun 21, 2019 to Mar 12, 2020
      Signals
      4 dated events
      • E••• J••••• L•••• (Chief Compliance Officer) appeared on Schedule A of I•••••• E••••••• R• L••
        Feb 1, 2021 · Control person joined · fact
      • Mary Tara Mcaleer (Chief Compliance Officer) no longer on Schedule A of I•••••• E••••••• R• L•• (listed 2020-12-23, absent 2021-02-01)
        Feb 1, 2021 · Control person left · inference
      • I•••••• E••••••• R• L•• reported RAUM $1.4B, up 196% from $458.3M (2019-06-21 to 2020-03-12)
        Mar 12, 2020 · RAUM change · derived
      • I•••••• E••••••• R• L•• filed its initial SEC registration (Form ADV)
        Mar 29, 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