DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

N•••• C•••••• L••

CRD 148061

AUSTIN, TX

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Search this name across graphsid dfx:ria:0dd9089b-c126-1c4b-8f7c-305969cddb03

Data as of Aug 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 9
On other graphs: 0
Observed: Jun 24, 2021 to Aug 13, 2026
16 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.94 fund_share=0.05 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $390M••• Locked
Discretionary RAUM: $386M
Private client RAUM: $365Mderived••• Locked
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $195Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••• M•••••• N••••	n/a	AUSTIN, TX	17	22	1	no
A•••••••• G••••	n/a	AUSTIN, TX	2	12

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
G•••••• G••••• F••• L•	Hedge Fund	$20.3M	Aug 13, 2026	1	Jun 24, 2021	reported	021-172596

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N••••• J•••••• R••	Chairman	Na	yes	09/2019	Jun 24, 2021	Jul 10, 2024
N••••• R•••• M••••••	MANAGING MEMBER, PORTFOLIO MANAGER	D	yes	05/2008	Jun 24, 2021	Jul 10, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 5, 2026

Relationships

Advises (1)

→ G•••••• G••••• F••• L•Private fundHedge Fund, IA
Jun 24, 2021 to presentfactForm ADV

Registered with (3)

← A•••••••• G••••Advisorregistration: current employment
Jul 24, 2024 to presentfactForm ADV
← R••• M•••••• N••••Advisorregistration: current employment
Dec 12, 2008 to presentfactForm ADV
←

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Aug 13, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Aug 13, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Oct 18, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0dd9089b-c126-1c4b-8f7c-305969cddb03
First observed: Jun 24, 2021
Last observed: Aug 13, 2026 41 days 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.