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••••••• U•
Legal name E•••• C••••••• U•• L••
Latest filing Jun 8, 2026
First filing on the tape Jun 11, 2021 · 9 filings
SEC status approved since Jul 14, 2021
RAUM
$366M
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
18
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$366M as of Jun 8, 2026
Sep 30, 2022$123M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 8, 2026
Sep 30, 20220 then
Employees (5.A)18 as of Jun 8, 2026
Sep 30, 202216 then
Private funds2 as of Jun 8, 2026
Sep 30, 20221 then
RAUM +165% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 8, 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
- $61.0MderivedRAUM 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
- -19%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
- $366M, 6 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$366M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $366M for 6 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••• C•••••• M••••• F••• S•• • G••••• P••••••••• M•• M••••• S• | Hedge Fund | $310M | 1 | Sep 28, 2023 |
| E•••• C•••••• O••••••• F••• S•• • G••••• P••••••••• M•• S• | Hedge Fund | $91.0M | 1 | Sep 28, 2023 |
| E•••• C•••••• M••••• F••• S•• • A•••• F••• M••••• S• | Hedge Fund | $22.3M | 1 | Sep 26, 2024 |
| E•••• C•••••• O••••••• F••• S•• • A•••• F••• S• | Hedge Fund | $21.3M | 3 | Sep 26, 2024 |
| S•• S•••••••• G•••• F•••• I••• • E•••• C•••••• F••• | Hedge Fund | $1.5M | 1 | Sep 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• R•••• · Ctocontrolsince 02/2023 · owns less than 5%
- H••••••••• M••••••• J••• · Presidentcontrolsince 05/2021 · owns less than 5%
- M•••• D••••• · Cfo, Coocontrolsince 05/2021 · owns less than 5%
- M•••••••• I••• A••• · Crocontrolsince 05/2023 · owns less than 5%
- M••••••••• G••••• R•••••• · Ciocontrolsince 08/2022 · owns less than 5%
- S•••••••• A•••• J••••• · Ceo, Clocontrolsince 05/2021 · owns less than 5%
- S••••••• L••• G••••• · Ccocontrolsince 05/2021 · owns less than 5%
- H••••••••• M••••••• J••• · Appointercontrolsince 05/2021 · owns 75% or more of M••••••••• I••••••••• T••••
Entity owners
- T•• E•••• H•••••• G•••• P•• L•• · Ownerdirect · owns 75% or more
- M••••••••• I••••••••• T•••• · Ownerindirect · owns 50% to 75% of T•• E•••• H•••••• G•••• P•• L••
- M••••••••• P•• L•• · Trusteeindirect · owns F of M••••••••• I••••••••• T••••
Related persons
Schedule D 7.A
- E•••• C•••••• G• C••••• L••pooled vehicle sponsorn
- E•••• C•••••• L••••••investment advisern
- E•••• C•••••• P•• L••investment advisern
- E•••• D••••••••• T•••••• P•• L••investment advisern
- E•••• E••••• S•••••••• P•• L••investment advisern
- E•••• Q••••••••• T•••••• P•• L••investment advisern
- E•••• T•••••• S••••••• L••••••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 6Sep 26, 2024 to Sep 29, 2025
- Pooled vehicle clients · 5 to 6Sep 26, 2024 to Sep 29, 2025
- Assets in custody · $112M to $366MSep 26, 2024 to Sep 29, 2025
- Employees · 16 to 18Sep 26, 2024 to Sep 29, 2025
- Financial planning clients · unset to Sep 26, 2024 to Sep 29, 2025
- Private funds · 5 to 2Sep 26, 2024 to Sep 29, 2025
- Discretionary RAUM · $112M to $366MSep 26, 2024 to Sep 29, 2025
- Pooled vehicle RAUM · $112M to $366MSep 26, 2024 to Sep 29, 2025
- RAUM · $112M to $366MSep 26, 2024 to Sep 29, 2025
- Accounts · 3 to 5Sep 28, 2023 to Sep 26, 2024
- Pooled vehicle clients · 3 to 5Sep 28, 2023 to Sep 26, 2024
- Assets in custody · $138M to $112MSep 28, 2023 to Sep 26, 2024
- Private funds · 3 to 5Sep 28, 2023 to Sep 26, 2024
- Discretionary RAUM · $138M to $112MSep 28, 2023 to Sep 26, 2024
- Pooled vehicle RAUM · $138M to $112MSep 28, 2023 to Sep 26, 2024
- RAUM · $138M to $112MSep 28, 2023 to Sep 26, 2024
- Accounts · 1 to 3Jun 29, 2023 to Sep 28, 2023
- Advisory employees · 6 to 5Jun 29, 2023 to Sep 28, 2023
- Pooled vehicle clients · 1 to 3Jun 29, 2023 to Sep 28, 2023
- Assets in custody · $123M to $138MJun 29, 2023 to Sep 28, 2023
- Private funds · 1 to 3Jun 29, 2023 to Sep 28, 2023
- Discretionary RAUM · $123M to $138MJun 29, 2023 to Sep 28, 2023
- Pooled vehicle RAUM · $123M to $138MJun 29, 2023 to Sep 28, 2023
- RAUM · $123M to $138MJun 29, 2023 to Sep 28, 2023
- Advisory employees · 8 to 6Nov 11, 2021 to Sep 30, 2022
- Pooled vehicle clients · unset to 1.0Nov 11, 2021 to Sep 30, 2022
- Assets in custody · $25.0M to $123MNov 11, 2021 to Sep 30, 2022
- Employees · 15 to 16Nov 11, 2021 to Sep 30, 2022
- Private funds · unset to 1Nov 11, 2021 to Sep 30, 2022
- Discretionary RAUM · $25.0M to $123MNov 11, 2021 to Sep 30, 2022
- Pooled vehicle RAUM · unset to 123337346.0Nov 11, 2021 to Sep 30, 2022
- RAUM · $25.0M to $123MNov 11, 2021 to Sep 30, 2022
Signals
5 dated events
- E•••• C••••••• U• reported RAUM $366.1M, up 226% from $112.3M (2024-09-26 to 2025-09-29)Sep 29, 2025 · RAUM change · derived
- Robin Duerden (Cto) appeared on Schedule A of E•••• C••••••• U•Sep 28, 2023 · Control person joined · fact
- Alan Ian Mcdonald (Cro) appeared on Schedule A of E•••• C••••••• U•Sep 28, 2023 · Control person joined · fact
- Richard Glenn Mclaughlin (Cio) appeared on Schedule A of E•••• C••••••• U•Sep 30, 2022 · Control person joined · fact
- E•••• C••••••• U• filed its initial SEC registration (Form ADV)Jun 11, 2021 · 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
- 347-754-4874reportedpublic record, Form ADV, Jun 8, 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