DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 10b 100b

N••••• L••• G••••• I•••••••• A•••••••• I•••

CRD 156244

NEW YORK, NY

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Search this name across graphsid dfx:ria:71669194-aa75-9b13-228a-d1f355ab1444

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 16
On other graphs: 0
Observed: Feb 10, 2012 to Mar 27, 2026
20 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: other adviserderivedprivate_client_share=0.0 fund_share=0.24 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $83B••• Locked
Discretionary RAUM: $81B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 99

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N••••• L••• I•••••••• C••	Shareholder	E	yes	03/1987	Mar 24, 2014	Apr 10, 2024
I•••••• D••••••• N••	PRESIDENT, CHIEF EXECUTIVE OFFICER AND MEMBER OF THE BOARD	Na	no	03/2022	Mar 29, 2022	Apr 10, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••••• A•••• M••••••••• C•••••••••	n/a	Former SEC adviser	$207B	N	yes	n/a
N••••• L••• G••••• I•••••••• E••••• P••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
PALO ALTO	CA	United States	3	no

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$83B	$38B	115.8%	$21B	57.8%	99	99	1	1

Relationships

Affiliated with (2)

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

Owns (6)

← N•••••••• M•••••• N••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 10, 2012 to Apr 10, 2024factForm ADV
← O••••••• S•••••••• N••Owner

Dated events

Occurred
Mar 27, 2026
Regulatory AUM changed
N••••• L••• G••••• I•••••••• A•••••••• I••• reported RAUM $83.0B, up 116% from $38.5B (2025-03-28 to 2026-03-27)
Form ADVobserved 7 days ago
$44.5B
Occurred
Mar 25, 2024
Regulatory AUM changed
N••••• L••• G••••• I•••••••• A•••••••• I••• reported RAUM $35.5B, up 68% from $21.1B (2023-03-29 to 2024-03-25)
Form ADVobserved 7 days ago
$14.4B
Occurred
Mar 29, 2023
Control person left
Nmn Akira Shibata (Member Of The Board) no longer on Schedule A of N••••• L••• G••••• I•••••••• A•••••••• I••• (listed 2022-03-29, absent 2023-03-29)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:71669194-aa75-9b13-228a-d1f355ab1444
First observed: Feb 10, 2012
Last observed: Mar 27, 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.