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•••• P•••• E••••••• I••••• M••••••••• L••
Latest filing Jul 14, 2026
First filing on the tape Sep 5, 2023 · 7 filings
SEC status approved since Oct 5, 2023
RAUM
$124M
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
90
34 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$124M as of Jul 14, 2026
Mar 27, 2024$52.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 14, 2026
Mar 27, 20240 then
Employees (5.A)90 as of Jul 14, 2026
Mar 27, 202455 then
Private funds: no history
RAUM +36% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 14, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- $124MderivedRAUM 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
- +36%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$124M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- 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=3.0derived
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
- F•••••••• C•••••••• B•••••• · Principal And Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
- M•••••••• T•••••• P••••• · Managing Partnercontrolsince 06/2023 · owns less than 5%
- M••••• N•••••• S• · Senior Principal And G•••••• Counselcontrolsince 06/2023 · owns less than 5%
- O•••••• K••••••• P••• · Senior Principal, Chief Financial Officer And Chief Operating Officercontrolsince 06/2023 · owns less than 5%
Entity owners
- E• E••••••• V••••••• L•• · Managing Memberdirect · owns 75% or more
- E•••• P•••• H••••••• G• L•• · G•••••• Partnerindirect · owns F of E•••• P•••• H••••••• L•
- E•••• P•••• H••••••• I••••••••• L•• · Sole Memberindirect · owns 75% or more of E•••• P•••• P••••• L••
- E•••• P•••• H••••••• L• · Sole Memberindirect · owns 75% or more of E•••• P•••• H••••••• T•••• L••
- E•••• P•••• H••••••• T•••• L•• · Sole Memberindirect · owns 75% or more of E•••• P•••• H••••••• I••••••••• L••
- E•••• P•••• P••••• L•• · Sole Memberindirect · owns 75% or more of E••• H••••••• L••
- E••• H••••••• L•• · Managing Memberindirect · owns 75% or more of E• E••••••• V••••••• L••
- T•••••• C•••••• I•• L••• · G•••••• Partnerindirect · owns F of T•••••• E• B•••••• A••• L•••
- T•••••• C•••••• I•• L••• · G•••••• Partnerindirect · owns F of T•••••• I•• L•••
- T•••••• C•••••• I•• L••• · G•••••• Partnerindirect · owns F of T•••••• I•• P••••••• F•••• L•••
- T•••••• E• B•••••• A••• L••• · Memberindirect · owns 75% or more of T•••••• E••• H••••••• L••
- T•••••• E••• H••••••• L•• · Memberindirect · owns 25% to 50% of T•••••• E•••• H••••••• L••
- T•••••• E•••• H••••••• L•• · Shareholderindirect · owns 50% to 75% of E•••• P•••• H••••••• L•
- T•••••• I•• L••• · Limited Partnerindirect · owns 50% to 75% of T•••••• E• B•••••• A••• L•••
- T•••••• I•• L••• · Memberindirect · owns 25% to 50% of T•••••• E•••• H••••••• L••
- T•••••• I•• P••••••• F•••• L••• · Limited Partnerindirect · owns 25% to 50% of T•••••• E• B•••••• A••• L•••
Related persons
Schedule D 7.A
- E•••• P•••• C•• G• I• L••bankpooled vehicle sponsorn
- E•••• P•••• C••••• G• I• L•bankpooled vehicle sponsorn
- E•••• P•••• C••••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $13B
- E•••• P•••• D•••••••• I••••• M••••••••• L••investment advisernRAUM $184M
- E•••• P•••• D•• G• I• L••bankpooled vehicle sponsorn
- E•••• P•••• D•• G• I• L••bankpooled vehicle sponsorn
- E•••• P•••• D•• G• N• L••bankpooled vehicle sponsorn
- E•••• P•••• D•• G•••••• P•••••• L••bankpooled vehicle sponsorn
- E•••• P•••• E•• G•••••• P•••••• L••bankpooled vehicle sponsorn
- E•••• P•••• I••••• M••••••••• L••investment adviserbanknRAUM $458M
- E•••• P•••• S••••••••• L••broker-dealern
- E• C•• G• I• L••bankpooled vehicle sponsorn
- E• S•• C•••••••• G• I• L••pooled vehicle sponsorn
- S•• C•••••• M•••••• L••broker-dealern
- S•••• P•••• C•••••• L••investment adviserpooled vehicle sponsoryRAUM $68B
- S•••• P•••• C••••• A•••••• L••investment adviserpooled vehicle sponsornRAUM $11B
Advisers that list E•••• P•••• E••••••• I••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 29 to 34Mar 28, 2025 to Mar 27, 2026
- BD registered reps · 1 to 3Mar 28, 2025 to Mar 27, 2026
- Employees · 83 to 90Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $91.1M to $124MMar 28, 2025 to Mar 27, 2026
- RAUM · $91.1M to $124MMar 28, 2025 to Mar 27, 2026
- Advisory employees · 21 to 29Mar 27, 2024 to Mar 28, 2025
- Employees · 55 to 83Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $52.1M to $91.1MMar 27, 2024 to Mar 28, 2025
- RAUM · $52.1M to $91.1MMar 27, 2024 to Mar 28, 2025
- Accounts · 0 to 1Oct 12, 2023 to Mar 27, 2024
- BD registered reps · 8 to 1Oct 12, 2023 to Mar 27, 2024
- Employees · 60 to 55Oct 12, 2023 to Mar 27, 2024
- Discretionary RAUM · $0 to $52.1MOct 12, 2023 to Mar 27, 2024
- RAUM · $0 to $52.1MOct 12, 2023 to Mar 27, 2024
Signals
4 dated events
- Dawson James Carey (Board Of Manager (Elected Manager)) no longer on Schedule A of E•••• P•••• E••••••• I••••• M••••••••• L•• (listed 2023-10-12, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Robert James Matthews (Board Of Managers (Elected Manager)) no longer on Schedule A of E•••• P•••• E••••••• I••••• M••••••••• L•• (listed 2023-10-12, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Jonathan Scott Bronner (Board Of Managers (Elected Manager)) no longer on Schedule A of E•••• P•••• E••••••• I••••• M••••••••• L•• (listed 2023-10-12, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- E•••• P•••• E••••••• I••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 5, 2023 · 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
- 203-340-8500reportedpublic record, Form ADV, Jul 14, 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