DFX Intelligence

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E••• S••••• C••••••

Asset manager (funds and pooled vehicles)SEC-registered1 private funds· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $367M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-04-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $367M
Advisors: 0
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-04-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 333970 · SEC 801-131669 · 6 filingsShow

CRD 333970SEC 801-131669Legal name E••• S••••• C••••••• L••First filing on the tape Nov 20, 2024, latest Apr 30, 2026SEC status approved since Jan 8, 2025IAPD

RAUM

$367M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

6 filings and snapshots on the tape

Filed figures over time · the tape starts Nov 20, 2024

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$367M as of Apr 30, 2026

May 7, 2025$345M then

HNW client RAUM$0 as of Apr 30, 2026

May 7, 2025$0 then

State-registered IARs (5.B.3)0 as of Apr 30, 2026

May 7, 20250 then

Employees (5.A)5 as of Apr 30, 2026

May 7, 20255 then

Private funds1 as of Apr 30, 2026

May 7, 20251 then

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Apr 30, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $367MderivedRAUM 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 office 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
Custody: $367M, 1 clientreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$367M100%

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: $367M for 1 clientreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
E•• S••••••••• S•••••••• F•••• L•••	Private Equity Fund	$367M	118	Apr 30, 2026

Owners and control persons

Schedule A and B, latest filing

C••••••• S•••• K•••• · Chief Executive Officercontrol
since 12/2024 · owns less than 5%
D••••• J•• T•••••• J•••• · Presidentcontrol
since 12/2024 · owns less than 5%
C••••••• S•••• K•••• · Ownercontrol
since 11/2024 · owns 50% to 75% of E••• S••••• C•••••• H••••••• L••
D••••• J•• T•••••• J•••• · Ownercontrol
since 11/2024 · owns 50% to 75% of E••• S••••• C•••••• H••••••• L••
P•••••••• K•••• A•• · Chief Compliance Officer
since 11/2024 · owns less than 5%

Entity owners

E••• S••••• C•••••• H••••••• L•• · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $370M to $367M
Mar 25, 2026 to Apr 30, 2026
Discretionary RAUM · $370M to $367M
Mar 25, 2026 to Apr 30, 2026
Pooled vehicle RAUM · $370M to $367M
Mar 25, 2026 to Apr 30, 2026
RAUM · $370M to $367M
Mar 25, 2026 to Apr 30, 2026
Assets in custody · $345M to $370M
Oct 23, 2025 to Mar 25, 2026

Full history · 21 changes

Discretionary RAUM · $345M to $370M
Oct 23, 2025 to Mar 25, 2026
Pooled vehicle RAUM · $345M to $370M
Oct 23, 2025 to Mar 25, 2026
RAUM · $345M to $370M
Oct 23, 2025 to Mar 25, 2026
Accounts · 0 to 1
Dec 9, 2024 to May 7, 2025
Advisory employees · 1 to 5
Dec 9, 2024 to May 7, 2025
Pooled vehicle clients · 0 to 1
Dec 9, 2024 to May 7, 2025
Assets in custody · $0 to $345M
Dec 9, 2024 to May 7, 2025
Custody of client assets · false to true
Dec 9, 2024 to May 7, 2025
Employees · 2 to 5
Dec 9, 2024 to May 7, 2025
Financial planning clients · unset to
Dec 9, 2024 to May 7, 2025
HQ city · WASHINGTON to NEW YORK
Dec 9, 2024 to May 7, 2025
HQ state · DC to NY
Dec 9, 2024 to May 7, 2025
Private funds · unset to 1
Dec 9, 2024 to May 7, 2025
Discretionary RAUM · $0 to $345M
Dec 9, 2024 to May 7, 2025
Pooled vehicle RAUM · $0 to $345M
Dec 9, 2024 to May 7, 2025
RAUM · $0 to $345M
Dec 9, 2024 to May 7, 2025

Signals

5 dated events

••• Locked
Apr 30, 2026 · private fund first reported · fact
••• Locked
Apr 30, 2026 · ria principal change · derived
••• Locked
Apr 30, 2026 · ria principal change · fact
••• Locked
May 7, 2025 · ria hq relocated · fact
••• Locked
Nov 20, 2024 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

E••• S••••• C•••••• · Independent Sponsors
same CRD · capital provider
E••• S••••• C•••••• · Private Equity
same CRD · organization

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Apr 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Apr 30, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

E••• S••••• C•••••• is the same institution as 2 records in Independent Sponsors and Private Equity.

Independent Sponsors1Private Equity1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…

Not yet on record: net advisor flow, 12 months, RAUM change, 1 year.