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•••••••• E••••••••• M••••••••• L•
Latest filing Mar 25, 2024
First filing on the tape Jun 29, 2023 · 2 filings
SEC status approved since Aug 1, 2023
RAUM
$333M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$333M gross assets
History
2 filings and snapshots on the tape
RAUM$333M as of Mar 25, 2024
Jun 29, 2023$238M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2024
Jun 29, 20230 then
Employees (5.A)4 as of Mar 25, 2024
Jun 29, 20234 then
Private funds1 as of Mar 25, 2024
Jun 29, 20232 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 25, 2024; 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
- $333MderivedRAUM 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $330M, 1 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$333M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $330M for 1 clientsreported
- Compensation
- performancereported
- 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
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••••••••• P••••••• L• | Private Equity Fund | $333M | 72 | Jul 21, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B••••• M•••• J•••• · Limited Partnercontrolsince 01/2023 · owns 25% to 50%
- P•••••• G•••••• L••••••• · Chairman And Managing Directorcontrolsince 05/2021 · owns less than 5%
- S••••• P•••••• W•••••• · Vice President And Principalcontrolsince 05/2021 · owns less than 5%
- P•••••• G•••••• L••••••• · Trusteecontrolsince 06/1997 · owns F of P••••• L••••• T•••• D•• 6•••••• ••• G••••• L• P••••••
- P•••••• G•••••• L••••••• · Sole Membercontrolsince 12/2020 · owns 75% or more of E•••••••• E••••••••• H••••••• L••
- B••••• D•••• M••••••• · Chief Financial Officer And Chief Compliance Officersince 05/2021 · owns less than 5%
Entity owners
- E•••••••• E••••••••• H••••••• L•• · General Partnerdirect · owns less than 5%
- P••••• L••••• T•••• D•• 6•••••• ••• G••••• L• P•••••• · Limited Partnerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- E•••••••• E••••••••• G• L•investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $236M to $330MJun 29, 2023 to Mar 25, 2024
- Private funds · 2 to 1Jun 29, 2023 to Mar 25, 2024
- Discretionary RAUM · $238M to $333MJun 29, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $238M to $333MJun 29, 2023 to Mar 25, 2024
- RAUM · $238M to $333MJun 29, 2023 to Mar 25, 2024
- Related adviser · false to trueJun 29, 2023 to Mar 25, 2024
Signals
2 dated events
- E•••••••• E••••••••• M••••••••• L• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $333.0M)Mar 6, 2025 · Left the SEC roster · derived
- E•••••••• E••••••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jun 29, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E•••••••• E••••••••• M••••••••• L• · Private Equityshared crd · organization
- E•••••••• E••••••••• M••••••••• L• · Venture Capitalshared crd · organization
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026