DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

SEC-registered adviser

E•••••••• C•••••• A••••••••• L••

Asset manager (funds and pooled vehicles)Plainsboro, New JerseyCRD 312909SEC 801-128686IAPD
Latest filing Mar 28, 2026
First filing on the tape Aug 4, 2023 · 5 filings
SEC status approved since Sep 5, 2023
RAUM
$244M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.3%
$776,076 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
33
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$244M as of Mar 28, 2026
Mar 22, 2024$205M then
HNW client RAUM: $776,076
State-registered IARs (5.B.3)0 as of Mar 28, 2026
Mar 22, 20240 then
Employees (5.A)33 as of Mar 28, 2026
Mar 22, 202434 then
Private funds6 as of Mar 28, 2026
Mar 22, 20246 then
RAUM +6.4% over the last fiscal yearIARs 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
$776,076derivedHNW RAUM over HNW clients
Average account
$27.1MderivedRAUM 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
+6.4%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$243M100%
  • High-net-worth individuals$776,0760.3%
Individual clients
n/areported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•• P••••• F••• •••• L•Hedge Fund$75.0M5Aug 4, 2023
      U•••• S••••• F••• L•••Hedge Fund$55.0M6Jan 2, 2015
      T••••••• G••••• O••••••••• F••• L••Hedge Fund$35.5M7Apr 29, 2021
      T••••••• S••••••• F••• A•••••••• L••Hedge Fund$22.0M1Mar 31, 2023
      K••••• S•••••••• F••• L••no longer reportedHedge Fund$21.0M2Mar 31, 2022
      T•• D••••••••• X••• F••• •••• L•••Hedge Fund$15.6M18Aug 4, 2023
      W•••••• F••• •••• L•no longer reportedHedge Fund$7.9M3Jan 2, 2015
      K••••• S•••••••• F••• L••Hedge Fund$7.2M2Mar 31, 2023
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• E•••••• K•••••• · Chief Operations And Technology Officer, Executive Vpcontrol
        since 12/2020 · owns less than 5%
      • C•••• S•••• · Managing Director Of Accountingcontrol
        since 05/2023 · owns less than 5%
      • C••••••• D••••• P•••••• · Chief Compliance Officercontrol
        since 07/2023 · owns less than 5%
      • G••• M••••••• Y•• · Executive Vice President & Directorcontrol
        since 12/2020 · owns less than 5%
      • L•••••• V•••••••• M• · Chief Administrative Officercontrol
        since 12/2020 · owns less than 5%
      • Y•••• P•••••• L•• · Chairman & Chief Investment Officercontrol
        since 12/2020 · owns less than 5%
      • Y••••••••• V•••••• K•••••• · Chief Risk Officercontrol
        since 12/2020 · owns less than 5%
      • Y•••• J•••• C• · President And Directorcontrol
        since 12/2020 · owns less than 5%
      • Y•••• P•••••• L•• · Ownercontrol
        since 12/2021 · owns 75% or more of W••••••••• H••••••• G•••• L••
      Entity owners
      • W••••••••• H••••••• G•••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 9
        Mar 31, 2025 to Mar 28, 2026
      • Advisory employees · 14 to 15
        Mar 31, 2025 to Mar 28, 2026
      • HNW clients · unset to 1.0
        Mar 31, 2025 to Mar 28, 2026
      • Employees · 34 to 33
        Mar 31, 2025 to Mar 28, 2026
      • Discretionary RAUM · $229M to $244M
        Mar 31, 2025 to Mar 28, 2026
      • HNW RAUM · unset to 776076.0
        Mar 31, 2025 to Mar 28, 2026
      • Pooled vehicle RAUM · $229M to $243M
        Mar 31, 2025 to Mar 28, 2026
      • RAUM · $229M to $244M
        Mar 31, 2025 to Mar 28, 2026
      • Assets in custody · 204882000.0 to unset
        Nov 15, 2024 to Mar 31, 2025
      • Financial planning clients · unset to
        Nov 15, 2024 to Mar 31, 2025
      • Discretionary RAUM · $205M to $229M
        Nov 15, 2024 to Mar 31, 2025
      • Pooled vehicle RAUM · $205M to $229M
        Nov 15, 2024 to Mar 31, 2025
      • RAUM · $205M to $229M
        Nov 15, 2024 to Mar 31, 2025
      • Related adviser · true to false
        Mar 22, 2024 to Nov 15, 2024
      • Related bank · true to false
        Mar 22, 2024 to Nov 15, 2024
      • Advisory employees · 16 to 14
        Aug 4, 2023 to Mar 22, 2024
      • Assets in custody · unset to 204882000.0
        Aug 4, 2023 to Mar 22, 2024
      • Private funds · 12 to 6
        Aug 4, 2023 to Mar 22, 2024
      • Discretionary RAUM · $203M to $205M
        Aug 4, 2023 to Mar 22, 2024
      • Pooled vehicle RAUM · $203M to $205M
        Aug 4, 2023 to Mar 22, 2024
      • RAUM · $203M to $205M
        Aug 4, 2023 to Mar 22, 2024
      Signals
      1 dated events
      • E•••••••• C•••••• A••••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 4, 2023 · 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
      Principal office phone
      609-936-8046reportedpublic 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