DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

N••• B•••••• L•••

CRD 282365

PEMBROKE

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Search this name across graphsid dfx:ria:386ff9cb-1103-e26a-267f-b9012c64812e

Data as of Dec 10, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Dec 10, 2015 to Dec 10, 2015
1 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: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 27
Advisory employees: 7
SEC number: 801-107059
CRD: 282365
Filings on the tape: 1
First filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••• J•••••••• D••••	DIRECTOR OF REGISTRANT	Na	yes	12/2015	Dec 10, 2015	Dec 10, 2015
L••••••••• R•••••• J••	DIRECTOR OF REGISTRANT	Na	yes	12/2015	Dec 10, 2015	Dec 10, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••• U• L••	n/a	Former SEC adviser	$24B	N	yes	n/a
H••••••••• O••••••••• J•• L•	n/a	n/a	n/a	N	yes	n/a
N•••••••• A•••• M••••••••• G•••• I•••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
GREENWOOD VILLAGE	Co	United States	n/a	no
NEW YORK	NY	United States	n/a	no
London	n/a	United Kingdom	n/a	no
Senningerberg	n/a	Luxembourg	n/a	no

Relationships

Affiliated with (1)

→ N••••••••• N•••••••• A•••• M••••••••• G••••Registered adviserother investment adviser, common control
factForm ADV

Controls (6)

← L••••••••• R•••••• J••OwnerDIRECTOR OF REGISTRANT, ownership code NA, individual
Dec 10, 2015 to presentfactForm ADV
← W••••••• K••••••• A••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 10, 2015 to presentfactForm ADV
← F•••••• J•••••••• D••••OwnerDIRECTOR OF REGISTRANT, ownership code NA, individual

Dated events

Occurred
Dec 10, 2015
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:386ff9cb-1103-e26a-267f-b9012c64812e
First observed: Dec 10, 2015
Last observed: Dec 10, 2015 131 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.