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•••••• M••••••••• L•
Latest filing Mar 24, 2026
First filing on the tape Nov 15, 2022 · 8 filings
SEC status approved since Dec 15, 2022
RAUM
$854M
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
13
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$854M as of Mar 24, 2026
Mar 16, 2023$237M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 16, 20230 then
Employees (5.A)13 as of Mar 24, 2026
Mar 16, 202315 then
Private funds1 as of Mar 24, 2026
Mar 16, 20231 then
RAUM -1.3% over the last fiscal year+53% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $285MderivedRAUM 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
- -1.3%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
- $854M, 3 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)
- 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$854M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $854M for 3 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=true 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••••• M••••• F••• L• | Hedge Fund | $418M | 40 | Nov 15, 2022 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• J••••••• A• · Coo/Ccocontrolsince 07/2022 · owns less than 5%
- M••••••••• M•••••••• Q• · Cfocontrolsince 10/2022 · owns less than 5%
- W••••••• A•••••• H• · Managing Partnercontrolsince 10/2021 · owns 75% or more
- W••••••• A•••••• H• · Managing Membercontrolsince 10/2021 · owns 75% or more of E•••••• C•••••• M••••••••• G•• L••
Entity owners
- E•••••• C•••••• M••••••••• G•• L•• · Gpdirect · owns less than 5%
Related persons
Schedule D 7.A
- E•••••• C•••••• P•••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 10 to 13Mar 21, 2025 to Mar 24, 2026
- Assets in custody · $865M to $854MMar 21, 2025 to Mar 24, 2026
- Employees · 15 to 13Mar 21, 2025 to Mar 24, 2026
- Discretionary RAUM · $865M to $854MMar 21, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $865M to $854MMar 21, 2025 to Mar 24, 2026
- RAUM · $865M to $854MMar 21, 2025 to Mar 24, 2026
- Advisory employees · 11 to 10Jun 5, 2024 to Mar 21, 2025
- Assets in custody · $418M to $865MJun 5, 2024 to Mar 21, 2025
- Employees · 16 to 15Jun 5, 2024 to Mar 21, 2025
- Financial planning clients · unset to Jun 5, 2024 to Mar 21, 2025
- Discretionary RAUM · $418M to $865MJun 5, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $418M to $865MJun 5, 2024 to Mar 21, 2025
- RAUM · $418M to $865MJun 5, 2024 to Mar 21, 2025
- Assets in custody · $573M to $418MMar 20, 2024 to Jun 5, 2024
- Discretionary RAUM · $573M to $418MMar 20, 2024 to Jun 5, 2024
- Pooled vehicle RAUM · $573M to $418MMar 20, 2024 to Jun 5, 2024
- RAUM · $573M to $418MMar 20, 2024 to Jun 5, 2024
- Assets in custody · $237M to $573MOct 5, 2023 to Mar 20, 2024
- Employees · 15 to 16Oct 5, 2023 to Mar 20, 2024
- Discretionary RAUM · $237M to $573MOct 5, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $237M to $573MOct 5, 2023 to Mar 20, 2024
- RAUM · $237M to $573MOct 5, 2023 to Mar 20, 2024
- Accounts · unset to 3.0Dec 9, 2022 to Mar 16, 2023
- Pooled vehicle clients · unset to 3.0Dec 9, 2022 to Mar 16, 2023
- Assets in custody · unset to 236693000.0Dec 9, 2022 to Mar 16, 2023
- Custody of client assets · false to trueDec 9, 2022 to Mar 16, 2023
- Discretionary RAUM · unset to 236693000.0Dec 9, 2022 to Mar 16, 2023
- Non-discretionary RAUM · unset to 0.0Dec 9, 2022 to Mar 16, 2023
- Pooled vehicle RAUM · unset to 236693000.0Dec 9, 2022 to Mar 16, 2023
- RAUM · unset to 236693000.0Dec 9, 2022 to Mar 16, 2023
Signals
4 dated events
- E•••••• C•••••• M••••••••• L• reported RAUM $865.5M, up 107% from $418.2M (2024-06-05 to 2025-03-21)Mar 21, 2025 · RAUM change · derived
- E•••••• C•••••• M••••••••• L• reported RAUM $418.2M, down 27% from $573.0M (2024-03-20 to 2024-06-05)Jun 5, 2024 · RAUM change · derived
- E•••••• C•••••• M••••••••• L• reported RAUM $573.0M, up 142% from $236.7M (2023-10-05 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
- E•••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Nov 15, 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
- Firm profile
- linkedin.com/company/estuary-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 612-895-5515reportedpublic record, Form ADV, Mar 24, 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