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•••••• C••••••• L•
Latest filing Sep 4, 2026
First filing on the tape Mar 19, 2024 · 7 filings
SEC status approved since Apr 18, 2024
RAUM
$2.1B
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
30
13 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$2.1B as of May 13, 2026
Mar 31, 2025$881M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 13, 2026
Mar 31, 20250 then
Employees (5.A)30 as of May 13, 2026
Mar 31, 202523 then
Private funds4 as of May 13, 2026
Mar 31, 20253 then
RAUM +135% over the last fiscal yearIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of Sep 4, 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
- $516MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -41%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $2.1B, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.1B for 4 clientsreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=18.0derived
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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••••• I••••••••• L•• | Hedge Fund | $302M | 9 | Jun 13, 2023 |
| E•••••• D•••••• S••••••••• L•• | Hedge Fund | $51.2M | 9 | Jun 13, 2023 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• C••••••••• C•••••• · Chief Compliance Officercontrolsince 05/2023 · owns less than 5%
- F••••••••• J••••• D••• · Chief Operating Officercontrolsince 06/2023 · owns less than 5%
- G••••••••• P••••• G••••• · General Partner Representativecontrolsince 10/2019 · owns 75% or more
Related persons
Schedule D 7.A
- E•••••• S••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $880,573,105 to $520,233,162 (-41.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +11.0% (1368 comparable advisers, 2.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 1.6% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0May 13, 2026 to Sep 4, 2026
- Private funds · 4 to unsetMay 13, 2026 to Sep 4, 2026
- Succession · false to unsetMay 13, 2026 to Sep 4, 2026
- Accounts · 3 to 4Mar 30, 2026 to May 13, 2026
- Advisory employees · 12 to 13Mar 30, 2026 to May 13, 2026
- BD registered reps · 17 to 18Mar 30, 2026 to May 13, 2026
- Pooled vehicle clients · 3 to 4Mar 30, 2026 to May 13, 2026
- Assets in custody · $520M to $2.1BMar 30, 2026 to May 13, 2026
- Employees · 27 to 30Mar 30, 2026 to May 13, 2026
- Private funds · 3 to 4Mar 30, 2026 to May 13, 2026
- Discretionary RAUM · $520M to $2.1BMar 30, 2026 to May 13, 2026
- Pooled vehicle RAUM · $520M to $2.1BMar 30, 2026 to May 13, 2026
- RAUM · $520M to $2.1BMar 30, 2026 to May 13, 2026
- Advisory employees · 11 to 12Aug 4, 2025 to Mar 30, 2026
- BD registered reps · 12 to 17Aug 4, 2025 to Mar 30, 2026
- Assets in custody · $881M to $520MAug 4, 2025 to Mar 30, 2026
- Employees · 23 to 27Aug 4, 2025 to Mar 30, 2026
- Other offices · 1 to 2Aug 4, 2025 to Mar 30, 2026
- Discretionary RAUM · $881M to $520MAug 4, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $881M to $520MAug 4, 2025 to Mar 30, 2026
- RAUM · $881M to $520MAug 4, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Aug 4, 2025
- Accounts · 2 to 3Jun 18, 2024 to Mar 31, 2025
- Advisory employees · 10 to 11Jun 18, 2024 to Mar 31, 2025
- BD registered reps · 10 to 12Jun 18, 2024 to Mar 31, 2025
- Pooled vehicle clients · 2 to 3Jun 18, 2024 to Mar 31, 2025
- Assets in custody · $353M to $881MJun 18, 2024 to Mar 31, 2025
- Employees · 13 to 23Jun 18, 2024 to Mar 31, 2025
- Other offices · 0 to 1Jun 18, 2024 to Mar 31, 2025
- Private funds · 2 to 3Jun 18, 2024 to Mar 31, 2025
- Discretionary RAUM · $353M to $881MJun 18, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $353M to $881MJun 18, 2024 to Mar 31, 2025
- RAUM · $353M to $881MJun 18, 2024 to Mar 31, 2025
- Private funds · 4 to 2Mar 19, 2024 to Jun 18, 2024
Signals
4 dated events
- E•••••• C••••••• L• reported RAUM $2.1B, up 297% from $520.2M (2026-03-30 to 2026-05-13)May 13, 2026 · RAUM change · derived
- E•••••• C••••••• L• reported RAUM $520.2M, down 41% from $880.6M (2025-08-04 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- E•••••• C••••••• L• reported RAUM $880.6M, up 149% from $353.4M (2024-06-18 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- E•••••• C••••••• L• filed its initial SEC registration (Form ADV)Mar 19, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E•••••• C••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- e•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 929.226.2115reportedpublic record, Form ADV, Sep 4, 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