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••••••
Legal name E••••••• C•••••• M••••••••• L•••••
Latest filing Mar 26, 2026
First filing on the tape Mar 30, 2023 · 4 filings
SEC status approved since Apr 27, 2023
RAUM
$453M
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
11
9 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
3
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$453M as of Mar 26, 2026
Mar 27, 2024$421M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 27, 20240 then
Employees (5.A)11 as of Mar 26, 2026
Mar 27, 202413 then
Private funds3 as of Mar 26, 2026
Mar 27, 20243 then
RAUM -5.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $151MderivedRAUM 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
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.0%derivedbetween 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
- Custody
- $315M, 3 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$453M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $315M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••••••• C••••••• L••• | Private Equity Fund | $107M | 98 | Mar 30, 2020 |
| E••••••• C•••••• I•• L••• | Private Equity Fund | $86.6M | 170 | Mar 30, 2023 |
| E••• C•••••••• I•• L••• | Private Equity Fund | $54.9M | 93 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C••••• M••••••• A••••• · Managing Membercontrolsince 01/2021 · owns 25% to 50%
- G••••••••• W••••• K•••••• · Managing Membercontrolsince 07/2019 · owns 25% to 50%
- M••••••• B••••••• E••• · Managing Member/Ccocontrolsince 01/2021 · owns 25% to 50%
- P•••••• W•••••• · Managing Membercontrolsince 07/2019 · owns 25% to 50%
Related persons
Schedule D 7.A
- E• G•• L•••••investment adviserpooled vehicle sponsorn
- E• I• G•• L•••••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 10 to 9Mar 28, 2025 to Mar 26, 2026
- Assets in custody · $326M to $315MMar 28, 2025 to Mar 26, 2026
- Employees · 13 to 11Mar 28, 2025 to Mar 26, 2026
- Discretionary RAUM · $476M to $453MMar 28, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $476M to $453MMar 28, 2025 to Mar 26, 2026
- RAUM · $476M to $453MMar 28, 2025 to Mar 26, 2026
- Assets in custody · $249M to $326MMar 27, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $421M to $476MMar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $421M to $476MMar 27, 2024 to Mar 28, 2025
- RAUM · $421M to $476MMar 27, 2024 to Mar 28, 2025
- Assets in custody · $218M to $249MMar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $350M to $421MMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $350M to $421MMar 30, 2023 to Mar 27, 2024
- RAUM · $350M to $421MMar 30, 2023 to Mar 27, 2024
Signals
1 dated events
- E••••••• C•••••• filed its initial SEC registration (Form ADV)Mar 30, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E••••••• C•••••• · Independent Sponsorsshared crd · capital_provider
- E••••••• C•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/endicott-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- e•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-450-8070reportedpublic record, Form ADV, Mar 26, 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