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N•••••• M••••••••• L•: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

N•••••• M••••••••• L•

CRD 316841

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Search this name across graphsid dfx:ria:040ed8c2-1160-5c4f-1fb4-4165071b8405

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 6
On other graphs: 1
Observed: Oct 20, 2021 to Mar 31, 2026
11 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

N•••••• M••••••••• L•

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $438MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $438M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N•••••• P••• 2••• A••••••••• L•	Private Equity Fund	$140M	Aug 20, 2024	94	Mar 28, 2024	reported	021-458605
N•••••• P••• 2••• A••••••••• L•	Private Equity Fund	$110M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• J•••••• N••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2021	Oct 20, 2021	Aug 20, 2024
G••••••••• S••••••• A••••••	HEAD OF INVESTOR SERVICES, DCCO	Na	yes	05/2022	Sep 26, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N•••••• 2••• G•• L•	n/a	n/a	n/a	Y	yes	n/a
N•••••• 2•••• L•	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 4 of 5

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$438M	$445M	-1.6%	$46.5M	111.2%	25	17	0	0

Relationships

Advises (12)

→ N•••••• P••• 2••• A••••••••• L•Private fundPrivate Equity Fund, IA
Mar 28, 2024 to presentfactForm ADV
→ N•••••• P••• 2••• A••••••••• L•Private fundPrivate Equity Fund, IA
Mar 28, 2024 to presentfactForm ADV
→ N•••••• V•••••• 2•••• L•Private fundPrivate Equity Fund, IA
Oct 20, 2021 to presentfactForm ADV
→ N•••••• V•••••• 2•••• L• • S••••• S••••••• T••• 3•

Dated events

Occurred
Mar 27, 2025
Regulatory AUM changed
N•••••• M••••••••• L• reported RAUM $445.3M, up 78% from $249.5M (2025-01-30 to 2025-03-27)
Form ADVobserved 7 days ago
$196M
Occurred
Mar 28, 2024
Control person joined
Alethea Sherryl Gilfillian (Head Of Investor Services, Dcco) appeared on Schedule A of N•••••• M••••••••• L•
Form ADVobserved 7 days ago
Occurred
Dec 21, 2023
Control person left
Jingcai Zhu (Head Of Investor Relations) no longer on Schedule A of N•••••• M••••••••• L• (listed 2023-03-31, absent 2023-12-21)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:040ed8c2-1160-5c4f-1fb4-4165071b8405
First observed: Oct 20, 2021
Last observed: Mar 31, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.