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••• A•••• M••••••••• L••
Latest filing Aug 13, 2026
First filing on the tape Oct 1, 2020 · 30 filings
SEC status approved since Nov 2, 2020
RAUM
$682,181
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
20%
$134,757 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.9M as of Apr 22, 2026
Feb 3, 2021$114M then
HNW client RAUM$146,478 as of Apr 22, 2026
Feb 29, 2024$0 then
State-registered IARs (5.B.3)5 as of Apr 22, 2026
Feb 3, 20210 then
Employees (5.A)24 as of Apr 22, 2026
Feb 3, 202111 then
Private funds2 as of Apr 22, 2026
Feb 3, 20211 then
RAUM -99% over the last fiscal year-91% a year over threeIARs 5 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
- $67,379derivedHNW RAUM over HNW clients
- Average account
- $170,545derivedRAUM 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
- -98%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $682,181, 4 clientsreportedItem 9.A
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$547,42480%
- High-net-worth individuals$134,75720%
- Individual clients
- 0reported
- HNW clients
- 2reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $682,181 for 4 clientsreported
- 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
- P•••• E•••• to M••••• S••••••May 9, 2024 · Other
Joined, latest
- P•••• E•••• from G••••••••• I••••••••• A•••••••• L••Jul 1, 2021 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••• C••••••••• S••• H••••••• F••• L••• | Hedge Fund | $182M | 1 | Feb 24, 2023 |
| E••• C•• O••••••••• F••• I• L• | Real Estate Fund | $40.0M | 2 | Feb 25, 2022 |
| E••• S••• O••••••••• I• L••no longer reported | Hedge Fund | $4.8M | 1 | Mar 23, 2020 |
| E••• S••• W•••••• O••••••••• I• L•• | Hedge Fund | $2.1M | 1 | Feb 24, 2023 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• B••••• W•••••• · Chief Executive Officercontrolsince 03/2020 · owns less than 5%
- H•••••••• P•••••••• A•••• · Chief Risk Officercontrolsince 03/2020 · owns less than 5%
- R••••• D•••••• N••• · Chief Legal Officercontrolsince 03/2020 · owns less than 5%
- D•••••• B••••• W•••••• · Shareholdercontrolsince 07/2018 · owns 50% to 75% of A••••••• L••
- B••••• R•••••• L• · Chief Administration Officersince 05/2024 · owns less than 5%
- F•••••• M•••••• · Chief Compliance Officersince 11/2023 · owns less than 5%
- K•••••• J••••••• · Chief Financial Officersince 06/2024 · owns less than 5%
Entity owners
- E••• T•• H••••••• L•• · Ownerdirect · owns 75% or more
- A••••••• L•• · Shareholderindirect · owns 50% to 75% of E••• T•• H••••••• L••
Related persons
Schedule D 7.A
- E••• C••••••••• S••• H••••••• F••• G• L••pooled vehicle sponsory
- E••• S••••••••• L••broker-dealern
- E••• S••• W•••••• O••••••••• G• L••pooled vehicle sponsory
- P••••••• L••• G••••• C••• E••••• G•• L••pooled vehicle sponsorn
- P••••••• L•••investment advisernRAUM $101M
Advisers that list E••• A•••• M••••••••• L•• as a related person
- 300972 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 4Apr 22, 2026 to Aug 13, 2026
- Advisory employees · 11 to 8Apr 22, 2026 to Aug 13, 2026
- Corporate clients · 1 to 0Apr 22, 2026 to Aug 13, 2026
- Assets in custody · $848,393 to $682,181Apr 22, 2026 to Aug 13, 2026
- Employees · 24 to 25Apr 22, 2026 to Aug 13, 2026
- Financial planning clients · to unsetApr 22, 2026 to Aug 13, 2026
- State-registered IARs · 5 to 0Apr 22, 2026 to Aug 13, 2026
- Private funds · 2 to unsetApr 22, 2026 to Aug 13, 2026
- Discretionary RAUM · $1.9M to $682,181Apr 22, 2026 to Aug 13, 2026
- HNW RAUM · $146,478 to $134,757Apr 22, 2026 to Aug 13, 2026
- Pooled vehicle RAUM · $531,915 to $547,424Apr 22, 2026 to Aug 13, 2026
- RAUM · $1.9M to $682,181Apr 22, 2026 to Aug 13, 2026
- Succession · false to unsetApr 22, 2026 to Aug 13, 2026
- Accounts · 4 to 5Apr 1, 2025 to Feb 27, 2026
- Advisory employees · 12 to 11Apr 1, 2025 to Feb 27, 2026
- Advisory activities · 2 to 3Apr 1, 2025 to Feb 27, 2026
- HNW clients · 0 to 2Apr 1, 2025 to Feb 27, 2026
- Assets in custody · $79.8M to $848,393Apr 1, 2025 to Feb 27, 2026
- Employees · 27 to 24Apr 1, 2025 to Feb 27, 2026
- Discretionary RAUM · $99.1M to $1.9MApr 1, 2025 to Feb 27, 2026
- HNW RAUM · $0 to $146,478Apr 1, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $453,090 to $0Apr 1, 2025 to Feb 27, 2026
- Pooled vehicle RAUM · $360,302 to $531,915Apr 1, 2025 to Feb 27, 2026
- RAUM · $99.5M to $1.9MApr 1, 2025 to Feb 27, 2026
- Financial planning clients · unset to Feb 27, 2025 to Apr 1, 2025
- Accounts · 2 to 4Aug 22, 2024 to Feb 27, 2025
- Advisory employees · 7 to 12Aug 22, 2024 to Feb 27, 2025
- Advisory activities · 1 to 2Aug 22, 2024 to Feb 27, 2025
- BD registered reps · 16 to 11Aug 22, 2024 to Feb 27, 2025
- Corporate clients · 0 to 1Aug 22, 2024 to Feb 27, 2025
- Assets in custody · $178M to $79.8MAug 22, 2024 to Feb 27, 2025
- Employees · 28 to 27Aug 22, 2024 to Feb 27, 2025
- Discretionary RAUM · $178M to $99.1MAug 22, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $0 to $453,090Aug 22, 2024 to Feb 27, 2025
- Pooled vehicle RAUM · $178M to $360,302Aug 22, 2024 to Feb 27, 2025
- RAUM · $178M to $99.5MAug 22, 2024 to Feb 27, 2025
- Related adviser · true to falseAug 22, 2024 to Feb 27, 2025
- Accounts · 4 to 2Feb 29, 2024 to Aug 15, 2024
- BD registered reps · 17 to 16Feb 29, 2024 to Aug 15, 2024
- Pooled vehicle clients · 4 to 2Feb 29, 2024 to Aug 15, 2024
Signals
14 dated events
- E••• A•••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $1.9M)Jun 1, 2026 · Left the SEC roster · derived
- Lyons P•••• E•••• (Partner, Head Of Business Strategy) no longer on Schedule A of E••• A•••• M••••••••• L•• (listed 2024-02-29, absent 2024-08-15)Aug 15, 2024 · Control person left · inference
- P•••• E•••• left E••• A•••• M••••••••• L•• for M••••• S•••••• (registered 2025-10-27)May 9, 2024 · Advisor changed firm · fact
- E••• A•••• M••••••••• L•• reported RAUM $205.7M, down 77% from $886.4M (2023-11-27 to 2024-02-29)Feb 29, 2024 · RAUM change · derived
- Wenzlaff Jill Ostergaard (Chief Compliance Officer) no longer on Schedule A of E••• A•••• M••••••••• L•• (listed 2023-11-02, absent 2023-11-27)Nov 27, 2023 · Control person left · inference
- Elliot J••••••• Cohen (Head Of Asset Management) no longer on Schedule A of E••• A•••• M••••••••• L•• (listed 2023-05-24, absent 2023-11-02)Nov 2, 2023 · Control person left · inference
- F K•••••• K••••• (Vice Chair) no longer on Schedule A of E••• A•••• M••••••••• L•• (listed 2023-05-24, absent 2023-11-02)Nov 2, 2023 · Control person left · inference
- Ann Jacqueline Neisch (Controller) no longer on Schedule A of E••• A•••• M••••••••• L•• (listed 2023-05-24, absent 2023-11-02)Nov 2, 2023 · Control person left · inference
- Ann Jacqueline Neisch (Controller) appeared on Schedule A of E••• A•••• M••••••••• L••Feb 24, 2023 · Control person joined · fact
- Williams Jason Hauf (Chief Financial Officer) no longer on Schedule A of E••• A•••• M••••••••• L•• (listed 2022-02-25, absent 2022-07-06)Jul 6, 2022 · Control person left · inference
- Elliot J••••••• Cohen (Head Of Asset Management) appeared on Schedule A of E••• A•••• M••••••••• L••Jul 6, 2022 · Control person joined · fact
- Frank K•••••• K••••• (Vice Chair) appeared on Schedule A of E••• A•••• M••••••••• L••Jul 6, 2022 · Control person joined · fact
- E••• A•••• M••••••••• L•• reported RAUM $719.5M, up 533% from $113.6M (2022-01-11 to 2022-02-25)Feb 25, 2022 · RAUM change · derived
- E••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 1, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E••• A•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/exosfinancialreportedpublic record, Form ADV, Sep 19, 2026
- Website
- e•••••••••.comreportedpublic record, Form ADV, Sep 19, 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
- 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
Across the graphs
E••• A•••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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