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

E••• W••• I••••••••• M••••••••• L••

Former SEC-registered adviserPasadena, CaliforniaCRD 305688SEC 801-117650IAPD
Latest filing Nov 12, 2020
First filing on the tape Oct 17, 2019 · 4 filings
RAUM
$350M
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
7
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$350M gross assets
History
4 filings and snapshots on the tape
RAUM$350M as of Nov 12, 2020
Mar 3, 2020$350M then
HNW client RAUM$0 as of Nov 12, 2020
Oct 17, 2019$0 then
State-registered IARs (5.B.3)0 as of Nov 12, 2020
Oct 17, 20190 then
Employees (5.A)7 as of Nov 12, 2020
Oct 17, 20197 then
Private funds1 as of Nov 12, 2020
Mar 3, 20201 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 12, 2020; 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
$350MderivedRAUM 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
unknownderived2 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
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • 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$350M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••• W••• I••••••••• M••••••••• C•• 2•••••• L•••Securitized Asset Fund$350M5Mar 3, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• B•••••••• D•••• · Chief Executive Officercontrol
        since 10/2020 · owns less than 5%
      • D••••• S•••• T• · Senior Managing Directorcontrol
        since 07/2019 · owns less than 5%
      • H•••••• H••• · Chief Compliance Officer
        since 07/2019 · owns less than 5%
      Entity owners
      • E••• W••• B•••••• I••• · Initial Member
        direct · owns 75% or more · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY1 employees
      What changed
      consecutive filings, newest first
      • Accounts · unset to 1.0
        Oct 17, 2019 to Mar 3, 2020
      • Pooled vehicle clients · 0 to 1
        Oct 17, 2019 to Mar 3, 2020
      • Private funds · unset to 1
        Oct 17, 2019 to Mar 3, 2020
      • Discretionary RAUM · unset to 350000000.0
        Oct 17, 2019 to Mar 3, 2020
      • Non-discretionary RAUM · unset to 0.0
        Oct 17, 2019 to Mar 3, 2020
      • Pooled vehicle RAUM · $0 to $350M
        Oct 17, 2019 to Mar 3, 2020
      • RAUM · unset to 350000000.0
        Oct 17, 2019 to Mar 3, 2020
      Signals
      2 dated events
      • Michael Andrew Maria (Chief Executive Officer And Chief Investment Officer) no longer on Schedule A of E••• W••• I••••••••• M••••••••• L•• (listed 2020-09-02, absent 2020-11-12)
        Nov 12, 2020 · Control person left · inference
      • E••• W••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 17, 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