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.

SEC-registered adviser

Elmtree Funds, LLC

Asset manager (funds and pooled vehicles)St. Louis, MissouriCRD 338940SEC 801-134683websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape Oct 2, 2025 · 2 filings
SEC status approved since Sep 2, 2025
RAUM
$7.8B
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
37
18 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
15
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$7.8B as of Mar 31, 2026
Oct 2, 2025$7.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Oct 2, 20250 then
Employees (5.A)37 as of Mar 31, 2026
Oct 2, 202539 then
Private funds15 as of Mar 31, 2026
Oct 2, 202515 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 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
$486MderivedRAUM 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
unknownderived4 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
Custody
yesreportedItem 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$7.8B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
16reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=2.0derived
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Hall David Leavitt · Managing Director, Chief Compliance Officercontrol
        since 09/2025 · owns less than 5%
      Entity owners
      • Hps Investment Partners, LLC · Sole Member
        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
      • Employees · 39 to 37
        Oct 2, 2025 to Mar 31, 2026
      • Discretionary RAUM · $7.5B to $7.8B
        Oct 2, 2025 to Mar 31, 2026
      • Pooled vehicle RAUM · $7.5B to $7.8B
        Oct 2, 2025 to Mar 31, 2026
      • RAUM · $7.5B to $7.8B
        Oct 2, 2025 to Mar 31, 2026
      • Succession · true to false
        Oct 2, 2025 to Mar 31, 2026
      Signals
      1 dated events
      • Elmtree Funds, Llc reported succeeding to the business of Elmtree Funds, Llc (Form ADV Item 4)
        Oct 2, 2025 · Succession (Item 4) · 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/elmtree-fundsreportedpublic record, Form ADV, Sep 17, 2026
      Website
      elmtreefunds.comreportedpublic record, Form ADV, Sep 17, 2026
      Principal office phone
      (314) 828-4200reportedpublic record, Form ADV, Mar 31, 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