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••••••••
Legal name E•••••••• I••••••••• A•••••••• L••
Latest filing Mar 4, 2025
First filing on the tape Dec 3, 2020 · 25 filings
SEC status approved since Jan 11, 2021
RAUM
$18.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$18.2M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$18.2M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$18.2M as of Mar 4, 2025
Feb 23, 2022$11.0M then
HNW client RAUM$15.9M as of Mar 4, 2025
Feb 23, 2022$5.9M then
State-registered IARs (5.B.3)1 as of Mar 4, 2025
Feb 23, 20222 then
Employees (5.A)1 as of Mar 4, 2025
Feb 23, 20224 then
Private funds1 as of Feb 16, 2024
Feb 23, 20221 then
RAUM +20% over the last fiscal year+18% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 4, 2025; every figure names its basis
- RAUM per advisor
- $18.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $293,702derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- High-net-worth individuals$15.9M87%
- Individuals$2.3M13%
- Individual clients
- n/areported
- HNW clients
- 8reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 62reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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•••••••• E•••••••• F••• L• | Hedge Fund | $2.3M | 8 | May 5, 2021 |
Owners and control persons
Schedule A and B, latest filing
- F••••••••• C•••• A••••• · Ciocontrolsince 11/2020 · owns less than 5%
- P••••••• S••••••• T• · Coo & Ccocontrolsince 11/2020 · owns less than 5%
- F••••••••• C•••• A••••• · Shareholdercontrolsince 11/2020 · owns 50% to 75% of F•••••••• P•••••• L••
- P••••••• S••••••• T• · Shareholdercontrolsince 11/2020 · owns 50% to 75% of F•••••••• P•••••• L••
Entity owners
- F•••••••• P•••••• L•• · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- E•••••••• M••••••••• L••bankpooled vehicle sponsorn
- E•••••••• O••••••••• M••••••••• L••bankpooled vehicle sponsorn
- F••• C••••••••• L••investment adviserbanknRAUM $171M
Advisers that list E•••••••• as a related person
- 111457 n
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 57 to 62Dec 20, 2024 to Jan 30, 2025
- Advisory employees · 2 to 1Dec 20, 2024 to Jan 30, 2025
- HNW clients · 9 to 8Dec 20, 2024 to Jan 30, 2025
- Assets in custody · 0.0 to unsetDec 20, 2024 to Jan 30, 2025
- Employees · 4 to 1Dec 20, 2024 to Jan 30, 2025
- Insurance-licensed employees · 2 to 0Dec 20, 2024 to Jan 30, 2025
- HQ city · unset to MELVILLEDec 20, 2024 to Jan 30, 2025
- HQ state · unset to NYDec 20, 2024 to Jan 30, 2025
- State-registered IARs · 2 to 1Dec 20, 2024 to Jan 30, 2025
- Discretionary RAUM · $18.4M to $18.2MDec 20, 2024 to Jan 30, 2025
- HNW RAUM · $16.8M to $15.9MDec 20, 2024 to Jan 30, 2025
- Individual RAUM · $1.6M to $2.3MDec 20, 2024 to Jan 30, 2025
- RAUM · $18.4M to $18.2MDec 20, 2024 to Jan 30, 2025
- Related adviser · true to falseDec 20, 2024 to Jan 30, 2025
- Related bank · true to falseDec 20, 2024 to Jan 30, 2025
- Accounts · 59 to 57Sep 13, 2024 to Dec 19, 2024
- Advisory activities · 5 to 3Sep 13, 2024 to Dec 19, 2024
- HNW clients · 6 to 9Sep 13, 2024 to Dec 19, 2024
- Pooled vehicle clients · 1.0 to unsetSep 13, 2024 to Dec 19, 2024
- Assets in custody · $2.3M to $0Sep 13, 2024 to Dec 19, 2024
- Custody of client assets · true to falseSep 13, 2024 to Dec 19, 2024
- Private funds · 1 to unsetSep 13, 2024 to Dec 19, 2024
- Discretionary RAUM · $14.9M to $18.4MSep 13, 2024 to Dec 19, 2024
- HNW RAUM · $11.3M to $16.8MSep 13, 2024 to Dec 19, 2024
- Individual RAUM · $1.6M to $1.6MSep 13, 2024 to Dec 19, 2024
- Non-discretionary RAUM · $295,560 to $0Sep 13, 2024 to Dec 19, 2024
- Pooled vehicle RAUM · 2287553.0 to unsetSep 13, 2024 to Dec 19, 2024
- RAUM · $15.2M to $18.4MSep 13, 2024 to Dec 19, 2024
- HQ city · MELVILLE to unsetJun 20, 2024 to Sep 13, 2024
- HQ state · NY to unsetJun 20, 2024 to Sep 13, 2024
- Accounts · 44 to 59Sep 15, 2023 to Feb 16, 2024
- Advisory activities · 4 to 5Sep 15, 2023 to Feb 16, 2024
- Assets in custody · $3.0M to $2.3MSep 15, 2023 to Feb 16, 2024
- Other offices · 0 to 1Sep 15, 2023 to Feb 16, 2024
- Discretionary RAUM · $12.1M to $14.9MSep 15, 2023 to Feb 16, 2024
- HNW RAUM · $7.7M to $11.3MSep 15, 2023 to Feb 16, 2024
- Individual RAUM · $1.6M to $1.6MSep 15, 2023 to Feb 16, 2024
- Non-discretionary RAUM · $148,958 to $295,560Sep 15, 2023 to Feb 16, 2024
- Pooled vehicle RAUM · $3.0M to $2.3MSep 15, 2023 to Feb 16, 2024
- RAUM · $12.2M to $15.2MSep 15, 2023 to Feb 16, 2024
Signals
2 dated events
- Excelsior no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $18.2M)May 2, 2025 · Left the SEC roster · derived
- E•••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 3, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/excelsiorimreportedpublic record, Form ADV, Sep 18, 2026
- Website
- excelsiorim.comreportedpublic record, Form ADV, Sep 18, 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
- $18.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026