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•••••••• I••••••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jul 8, 2022 · 12 filings
SEC status approved since Aug 11, 2022
RAUM
$1.5B
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
67
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.5B as of Mar 27, 2026
Mar 30, 2023$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 30, 20231 then
Employees (5.A)67 as of Mar 27, 2026
Mar 30, 202362 then
Private funds: no history
RAUM +3.0% over the last fiscal year+11% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Mar 27, 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
- $191MderivedRAUM 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
- +3.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companies, selection of other advisers, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.5B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=17.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••••• L••• · President And Chief Operating Officercontrolsince 02/2024 · owns less than 5%
- D•••• S•••• · Executive Vice President, General Counsel, And Secretarycontrolsince 03/2023 · owns less than 5%
- J••••• S•••••• M•••••• · Director, Chairman Of The Board, And Chief Executive Officercontrolsince 06/2022 · owns less than 5%
- K••••••••• K••••••• T••••• · Director, Executive Vice President And Chief Investment Officercontrolsince 06/2022 · owns less than 5%
- P••••• J•••••• J••• · Senior Vice President And Chief Compliance Officercontrolsince 06/2022 · owns less than 5%
- W••••• B••••• E• •• O•••• · Director And Senior Vice Presidentcontrolsince 06/2022 · owns less than 5%
Entity owners
- E•••••••• F•••••••• S•••••••• L•• · Memberdirect · owns 75% or more
- E•••••••• H•••••••• I••• · Shareholderindirect · owns 75% or more of E•••••••• F•••••••• S•••••••• L•• · public reporting company
Related persons
Schedule D 7.A
- A• B•••••• S••••••••• L••• M•••••• L••investment advisernRAUM $2.6B
- A• C••••• I••••••••• L•investment advisernRAUM $18B
- A• C••••• A••••••••• S•••••••• L••investment adviserbanknRAUM $1.4B
- A• P•••••• C••••• I•••••••• L••investment advisernRAUM $11B
- A••••••••• C•••••••••investment advisern
- A••••••••• H•••••• L•••investment advisern
- A••••••••• I••••••••• I•••broker-dealerreal estaten
- A••••••••• L•••investment adviserbankpooled vehicle sponsornRAUM $763B
- A••••••••• T•••• C••••••• L••n
- B•••••••• I••••••••• S••••••• L••broker-dealerinvestment advisern
- E•••••••• A•••••••• L••broker-dealerinvestment advisernRAUM $42B
- E•••••••• D••••••••• L••broker-dealerreal estaten
- E•••••••• F•••••••• I••••••••• M••••••••• L••investment advisern
- E•••••••• F•••••••• L••• I•••••••• C••••••real estaten
- E•••••••• F•••••••• L••• I•••••••• C•••••• O• A••••••real estaten
- E•••••••• I••••••••• M••••••••• G••••• L••investment adviserbanknRAUM $167B
- P••••••••• A•••• M••••••••• C•••••••••investment advisern
- P••••••••• S••••••••• C•••••••••broker-dealerinvestment adviserreal estatenRAUM $10B
- S•••••• C• B•••••••• • C••• L••broker-dealerinvestment adviserbanktrust companynRAUM $1.2B
- W••• S•••••• A•••• M••••••••• L•••investment advisernRAUM $266M
Advisers that list E•••••••• I••••••••• M••••••••• L•• as a related person
- 156933 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 27, 2026selection of other advisers (Item 5.G.7): no on the filing of 2026-01-05, yes on the filing of 2026-03-27peers: ASSET_M••••••, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Accounts · 16 to 8Jan 5, 2026 to Mar 27, 2026
- Advisory activities · 2 to 3Jan 5, 2026 to Mar 27, 2026
- BD registered reps · 14 to 17Jan 5, 2026 to Mar 27, 2026
- Employees · 69 to 67Jan 5, 2026 to Mar 27, 2026
- Insurance-licensed employees · 1 to 0Jan 5, 2026 to Mar 27, 2026
- State-registered IARs · 1 to 0Jan 5, 2026 to Mar 27, 2026
- Discretionary RAUM · $1.5B to $1.5BJan 5, 2026 to Mar 27, 2026
- RAUM · $1.5B to $1.5BJan 5, 2026 to Mar 27, 2026
- BD registered reps · 15 to 14Mar 28, 2024 to Mar 28, 2025
- Employees · 63 to 69Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.3B to $1.5BMar 28, 2024 to Mar 28, 2025
- RAUM · $1.3B to $1.5BMar 28, 2024 to Mar 28, 2025
- Advisory employees · 10 to 11Dec 12, 2023 to Mar 28, 2024
- BD registered reps · 13 to 15Dec 12, 2023 to Mar 28, 2024
- Employees · 62 to 63Dec 12, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.1B to $1.3BDec 12, 2023 to Mar 28, 2024
- RAUM · $1.1B to $1.3BDec 12, 2023 to Mar 28, 2024
- Advisory employees · 11 to 10Jan 3, 2023 to Mar 30, 2023
- BD registered reps · 16 to 13Jan 3, 2023 to Mar 30, 2023
- Employees · 65 to 62Jan 3, 2023 to Mar 30, 2023
- Insurance-licensed employees · 0 to 1Jan 3, 2023 to Mar 30, 2023
- Accounts · 0 to 16Dec 9, 2022 to Jan 3, 2023
- Advisory employees · 12 to 11Dec 9, 2022 to Jan 3, 2023
- Advisory activities · 1 to 2Dec 9, 2022 to Jan 3, 2023
- Discretionary RAUM · $0 to $1.1BDec 9, 2022 to Jan 3, 2023
- RAUM · $0 to $1.1BDec 9, 2022 to Jan 3, 2023
- Business name · E•••••••• I••••••••• M••••••••• I•• L•• to E•••••••• I••••••••• M••••••••• L••Jan 3, 2023 to Jan 3, 2023
- Legal name · E•••••••• I••••••••• M••••••••• I•• L•• to E•••••••• I••••••••• M••••••••• L••Jan 3, 2023 to Jan 3, 2023
- Advisory activities · 2 to 1Nov 21, 2022 to Dec 9, 2022
Signals
5 dated events
- L••• J•••••• B•••• (President And Chief Operating Officer) appeared on Schedule A of E•••••••• I••••••••• M••••••••• L••Mar 28, 2024 · Control person joined · fact
- L••• Michal L•••••• (Director, President And Chief Operating Officer) no longer on Schedule A of E•••••••• I••••••••• M••••••••• L•• (listed 2023-03-30, absent 2023-08-14)Aug 14, 2023 · Control person left · inference
- S•••• D••• (Executive Vice President, General Counsel, And Secretary) appeared on Schedule A of E•••••••• I••••••••• M••••••••• L••Mar 30, 2023 · Control person joined · fact
- T William Macgregor (Executive Vice President, General Counsel And Secretary) no longer on Schedule A of E•••••••• I••••••••• M••••••••• L•• (listed 2022-07-08, absent 2022-11-21)Nov 21, 2022 · Control person left · inference
- E•••••••• I••••••••• M••••••••• I•• L•• filed its initial SEC registration (Form ADV)Jul 8, 2022 · 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
- Website
- H••••://E••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-314-5051reportedpublic record, Form ADV, Mar 27, 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