DFX Intelligence
RIA Intelligence
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SEC-registered adviser
E•• C••••• C••••••• L•
Latest filing Mar 16, 2026
First filing on the tape May 20, 2025 · 2 filings
SEC status approved since May 5, 2025
RAUM
$209M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
1.4%
$2.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$209M as of Mar 16, 2026
May 20, 2025$141M then
HNW client RAUM: $2.9M
State-registered IARs (5.B.3)0 as of Mar 16, 2026
May 20, 20250 then
Employees (5.A)4 as of Mar 16, 2026
May 20, 20253 then
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 16, 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
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $69.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%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
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$197M99%
- High-net-worth individuals$2.9M1.5%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.94 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•• C••••• I••• L• | Hedge Fund | $62.3M | 1 | Sep 14, 2023 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• E••••• J•••• S•••• · Managing Partner And Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
Entity owners
- E•••• M•••••• R•••••••• T•••• · Limited Partnerdirect · owns 25% to 50%
- E•• C••••• I•••• L•• · General Partnerdirect · owns less than 5%
- J•••• S•••• L• · Limited Partnerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 16, 2026custody of client assets (Item 9.A): yes on the filing of 2025-05-20, no on the filing of 2026-03-16peers: asset managers, $100M to $500M (1,568)
- business activity changedChange between filings · filing Mar 16, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-05-20, yes on the filing of 2026-03-16peers: asset managers, $100M to $500M (1,568)
What changed
consecutive filings, newest first
- Accounts · 1 to 3May 20, 2025 to Mar 16, 2026
- Advisory employees · 3 to 4May 20, 2025 to Mar 16, 2026
- Advisory activities · 1 to 3May 20, 2025 to Mar 16, 2026
- HNW clients · unset to 1.0May 20, 2025 to Mar 16, 2026
- Assets in custody · 140956860.0 to unsetMay 20, 2025 to Mar 16, 2026
- Custody of client assets · true to falseMay 20, 2025 to Mar 16, 2026
- Employees · 3 to 4May 20, 2025 to Mar 16, 2026
- Private funds · 1 to unsetMay 20, 2025 to Mar 16, 2026
- Discretionary RAUM · $141M to $200MMay 20, 2025 to Mar 16, 2026
- HNW RAUM · unset to 2942006.0May 20, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $0 to $9.4MMay 20, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · $141M to $197MMay 20, 2025 to Mar 16, 2026
- RAUM · $141M to $209MMay 20, 2025 to Mar 16, 2026
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- E•• C••••• C••••••• L• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Website
- e•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 310-571-5914reportedpublic record, Form ADV, Mar 16, 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