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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
E•••• H••••• I••••••••• L•
Latest filing Mar 28, 2026
First filing on the tape Jun 29, 2021 · 7 filings
SEC status approved since Jul 29, 2021
RAUM
$605M
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
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$605M as of Mar 28, 2026
Mar 30, 2022$525M then
HNW client RAUM$0 as of Mar 28, 2024
Mar 30, 2022$0 then
State-registered IARs (5.B.3)0 as of Mar 28, 2026
Mar 30, 20220 then
Employees (5.A)9 as of Mar 28, 2026
Mar 30, 20227 then
Private funds1 as of Mar 28, 2026
Mar 30, 20221 then
RAUM -15% over the last fiscal year-1.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 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
- $202MderivedRAUM 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
- -15%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
- yesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$605M100%
- 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
- $0 for 0 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••• H••••• I••••••••• M••••• F••• L• | Hedge Fund | $800M | 47 | Sep 1, 2020 |
Owners and control persons
Schedule A and B, latest filing
- D••• M•••••••• N•• · Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
- S••••• G•••• J•••••••• · Founder And Chief Investment Officercontrolsince 10/2019 · owns 75% or more
- S••••• G•••• J•••••••• · Managing Membercontrolsince 10/2019 · owns 75% or more of E•••• H••••• I••••••••• G• L••
Entity owners
- E•••• H••••• I••••••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- E•••• H••••• I••••••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $712M to $605MMar 26, 2025 to Mar 28, 2026
- Pooled vehicle RAUM · $712M to $605MMar 26, 2025 to Mar 28, 2026
- RAUM · $712M to $605MMar 26, 2025 to Mar 28, 2026
- Advisory employees · 5 to 6Mar 28, 2024 to Mar 26, 2025
- Charity clients · 0.0 to unsetMar 28, 2024 to Mar 26, 2025
- Corporate clients · 0.0 to unsetMar 28, 2024 to Mar 26, 2025
- HNW clients · 0.0 to unsetMar 28, 2024 to Mar 26, 2025
- Individual clients · 0.0 to unsetMar 28, 2024 to Mar 26, 2025
- Pension plan clients · 0.0 to unsetMar 28, 2024 to Mar 26, 2025
- Employees · 8 to 9Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $698M to $712MMar 28, 2024 to Mar 26, 2025
- HNW RAUM · 0.0 to unsetMar 28, 2024 to Mar 26, 2025
- Individual RAUM · 0.0 to unsetMar 28, 2024 to Mar 26, 2025
- Pension RAUM · 0.0 to unsetMar 28, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $698M to $712MMar 28, 2024 to Mar 26, 2025
- RAUM · $698M to $712MMar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $637M to $698MMar 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $637M to $698MMar 29, 2023 to Mar 28, 2024
- RAUM · $637M to $698MMar 29, 2023 to Mar 28, 2024
- Employees · 7 to 8Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $525M to $637MMar 30, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $525M to $637MMar 30, 2022 to Mar 29, 2023
- RAUM · $525M to $637MMar 30, 2022 to Mar 29, 2023
- Advisory employees · 3 to 5Jan 25, 2022 to Mar 30, 2022
- Employees · 5 to 7Jan 25, 2022 to Mar 30, 2022
- Discretionary RAUM · $403M to $525MJan 25, 2022 to Mar 30, 2022
- Pooled vehicle RAUM · $403M to $525MJan 25, 2022 to Mar 30, 2022
- RAUM · $403M to $525MJan 25, 2022 to Mar 30, 2022
- Private funds · 2 to 1Jun 29, 2021 to Jan 25, 2022
Signals
2 dated events
- E•••• H••••• I••••••••• L• reported RAUM $525.4M, up 30% from $402.9M (2022-01-25 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- E•••• H••••• I••••••••• L• filed its initial SEC registration (Form ADV)Jun 29, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E•••• H••••• I••••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 203-516-3755reportedpublic record, Form ADV, Mar 28, 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