DFX Intelligence

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SEC-registered adviser

E••• F•••• C•••••• M••••••••• L••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 309884SEC 801-119377website IAPD

Latest filing Sep 1, 2026

First filing on the tape Jul 31, 2020 · 15 filings

SEC status approved since Sep 2, 2020

RAUM

$451M

reported, Item 5.F

Discretionary

11%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM$451M as of Mar 31, 2026

Mar 19, 2021$33.6M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 31, 2026

Mar 19, 20210 then

Employees (5.A)22 as of Mar 31, 2026

Mar 19, 20214 then

Private funds3 as of Mar 31, 2026

Mar 19, 20211 then

RAUM -9.3% over the last fiscal year+14% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Sep 1, 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: $90.3MderivedRAUM over accounts (5.F.2.f)
Discretionary: 11%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: -9.3%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $497M, 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

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)
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

Other investment advisers$342M76%
Pooled investment vehicles$109M24%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 5reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $497M for 4 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=true 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

Every departure Every arrival

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
E••• F•••• A•••• F•••• L•	Hedge Fund	$121M	34	Aug 31, 2021
E••• F•••• H••• Y•••• F•••• L•	Hedge Fund	$26.3M	69	Jul 31, 2020
E••• F•••• P••••••• F••• I• L•••	Private Equity Fund	$0	3	Mar 19, 2024

Owners and control persons

Schedule A and B, latest filing

H•••••••• K••••• J•••• · Ciocontrol
since 05/2017 · owns less than 5%
J••••• F••••• C••••••••• · Ctocontrol
since 05/2017 · owns less than 5%
L•••••• E••••••• J•••• · Ceocontrol
since 05/2017 · owns less than 5%
H•••••••• K••••• J•••• · Membercontrol
since 07/2021 · owns 25% to 50% of E••• F•••• G• L••
J••••• F••••• C••••••••• · Membercontrol
since 07/2021 · owns 25% to 50% of E••• F•••• G• L••
L•••••• E••••••• J•••• · Membercontrol
since 07/2021 · owns 25% to 50% of E••• F•••• G• L••
N•••••• W••••••• K•••••• · Cco
since 07/2021 · owns less than 5%

Entity owners

E••• F•••• H••••••• L• · Member And Manager
direct · owns 75% or more
E••• F•••• G• L•• · General Partner
indirect · owns F of E••• F•••• H••••••• L•

Related persons

Schedule D 7.A

E••• F•••• P•••••••• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

institutional asset share shiftChange between filings · filing Mar 31, 2026
institutional share of RAUM moved from 0.0% to 76.0% between the annual amendments of 2025-03-28 and 2026-03-31
peers: asset managers, $100M to $500M (1,568)
discretionary share shiftChange between filings · filing Mar 31, 2026
discretionary share of RAUM moved from 100.0% to 11.0% between the annual amendments of 2025-03-28 and 2026-03-31
peers: asset managers, $100M to $500M (1,568)

How anomalies are measured

What changed

consecutive filings, newest first

Financial planning clients · to unset
Mar 31, 2026 to Sep 1, 2026
Private funds · 3 to unset
Mar 31, 2026 to Sep 1, 2026
Succession · false to unset
Mar 31, 2026 to Sep 1, 2026
Pooled vehicle clients · 4 to 3
May 9, 2025 to Mar 31, 2026
Employees · 18 to 22
May 9, 2025 to Mar 31, 2026
Private funds · 4 to 3
May 9, 2025 to Mar 31, 2026
Discretionary RAUM · $498M to $51.1M
May 9, 2025 to Mar 31, 2026
Non-discretionary RAUM · $0 to $400M
May 9, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $497M to $109M
May 9, 2025 to Mar 31, 2026
RAUM · $498M to $451M
May 9, 2025 to Mar 31, 2026
Financial planning clients · unset to
Mar 28, 2025 to May 9, 2025
Accounts · 4 to 5
Nov 12, 2024 to Mar 28, 2025
Pooled vehicle clients · 3 to 4
Nov 12, 2024 to Mar 28, 2025
Assets in custody · $147M to $497M
Nov 12, 2024 to Mar 28, 2025
Employees · 14 to 18
Nov 12, 2024 to Mar 28, 2025
Private funds · 3 to 4
Nov 12, 2024 to Mar 28, 2025
Discretionary RAUM · $151M to $498M
Nov 12, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $147M to $497M
Nov 12, 2024 to Mar 28, 2025
RAUM · $151M to $498M
Nov 12, 2024 to Mar 28, 2025
Accounts · 3 to 4
Mar 30, 2023 to Mar 19, 2024
Advisory employees · 5 to 4
Mar 30, 2023 to Mar 19, 2024
Pooled vehicle clients · 2 to 3
Mar 30, 2023 to Mar 19, 2024
Assets in custody · $293M to $147M
Mar 30, 2023 to Mar 19, 2024
Employees · 23 to 14
Mar 30, 2023 to Mar 19, 2024
Private funds · 2 to 3
Mar 30, 2023 to Mar 19, 2024
Discretionary RAUM · $301M to $151M
Mar 30, 2023 to Mar 19, 2024
Pooled vehicle RAUM · $293M to $147M
Mar 30, 2023 to Mar 19, 2024
RAUM · $301M to $151M
Mar 30, 2023 to Mar 19, 2024
Related bank · false to true
Mar 30, 2023 to Mar 19, 2024
Advisory employees · 4 to 5
May 17, 2022 to Mar 30, 2023
Assets in custody · $0 to $293M
May 17, 2022 to Mar 30, 2023
Employees · 14 to 23
May 17, 2022 to Mar 30, 2023
Discretionary RAUM · $175M to $301M
May 17, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $172M to $293M
May 17, 2022 to Mar 30, 2023
RAUM · $175M to $301M
May 17, 2022 to Mar 30, 2023
HQ city · CHICAGO to NEW YORK
Mar 31, 2022 to May 17, 2022
HQ state · IL to NY
Mar 31, 2022 to May 17, 2022
Employees · 4 to 14
Aug 31, 2021 to Mar 31, 2022
Discretionary RAUM · $108M to $175M
Aug 31, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $87.3M to $172M
Aug 31, 2021 to Mar 31, 2022

Signals

5 dated events

••• Locked
Mar 28, 2025 · RAUM change · derived
••• Locked
Nov 12, 2024 · Control person left · inference
••• Locked
Mar 19, 2024 · RAUM change · derived
••• Locked
Mar 30, 2023 · RAUM change · derived
••• Locked
Jul 31, 2020 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

E••• F•••• C•••••• M••••••••• L•• · Independent Sponsors
shared crd · capital_provider
E••• F•••• C•••••• M••••••••• L•• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Website: e•••••••••.comreportedpublic record, Form ADV, Sep 1, 2026
Principal office phone: 312-725-8901reportedpublic record, Form ADV, Sep 1, 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