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 13, 2026
First filing on the tape Jun 6, 2024 · 6 filings
SEC status approved since Jul 9, 2024
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$0 as of Mar 13, 2026
Jan 27, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 13, 2026
Jan 27, 20250 then
Employees (5.A)3 as of Mar 13, 2026
Jan 27, 20253 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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 pooled vehiclesreportedItem 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
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• B••••• R•••••• · Chief Compliance Officer; Chief Financial Officercontrolsince 11/2024 · owns less than 5%
- L••••••••• I••• · Founder, Chief Investment Officercontrolsince 07/2023 · owns 75% or more
- L••••••••• I••• · Managing Membercontrolsince 07/2023 · owns 75% or more of E•••••••• G• L••
Entity owners
- E•••••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- B•• W••• C•••••• G•• L••bankpooled vehicle sponsorn
- B•• W••• C•••••• M••••••••• L•investment advisernRAUM $1.9B
- B••••• G• L••pooled vehicle sponsorn
- E•••••••• C•••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · unset to Feb 10, 2025 to Mar 27, 2025
- Accounts · unset to 0.0Nov 18, 2024 to Jan 27, 2025
- Discretionary RAUM · unset to 0.0Nov 18, 2024 to Jan 27, 2025
- Non-discretionary RAUM · unset to 0.0Nov 18, 2024 to Jan 27, 2025
- RAUM · unset to 0.0Nov 18, 2024 to Jan 27, 2025
Signals
3 dated events
- Richard Brien Fagan (Chief Compliance Officer; Chief Financial Officer) appeared on Schedule A of E•••••••• C•••••• M••••••••• L•Nov 18, 2024 · Control person joined · fact
- Nicholas Fernandez (Chief Compliance Officer; Chief Financial Officer; Chief Operating Officer) no longer on Schedule A of E•••••••• C•••••• M••••••••• L• (listed 2024-06-06, absent 2024-11-18)Nov 18, 2024 · Control person left · inference
- E•••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jun 6, 2024 · 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
- e•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 917-574-6122reportedpublic record, Form ADV, Mar 13, 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
- No RAUM reportedderiveda 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