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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

N••••••••• C•••••• M•••••••••

N••••••••• C•••••• M•••••••••, LLC, CRD 316275

GREENWICH, CT

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Search this name across graphsid dfx:ria:77dab81d-1487-0bf5-880e-5694e8e25960

Data as of Aug 18, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Aug 13, 2021 to Aug 18, 2021
2 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
Regulatory AUM: $0Item 5.F on the latest filing (2021-08-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 32
Advisory employees: 24
Offices

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
D•••• M•••• C••••••••	MANAGING DIRECTOR-FINANCE/MEMBER	Na	yes	06/2004	Aug 13, 2021	Aug 18, 2021
F•••• F•••••••• P•••••••• I•••	Member	E	yes	07/2018	Aug 13, 2021

Relationships

Controls (7)

← D•••• M•••• C••••••••OwnerMANAGING DIRECTOR-FINANCE/MEMBER, ownership code NA, individual
Aug 13, 2021 to presentfactForm ADV
← K••••••••• D•••••• J•••••OwnerCHIEF EXECUTIVE OFFICER AND PRESIDENT/MANAGING MEMBER, ownership code NA, individual
Aug 13, 2021 to presentfactForm ADV
← J••••• P••••••• J•••••••••OwnerCHIEF INVESTMENT OFFICER/MEMBER, ownership code NA, individual
Aug 13, 2021 to presentfactForm ADV
← H•••• M••••• E••••• S•••••OwnerCHIEF COMPLIANCE OFFICER/SVP, ownership code NA, individual
Aug 13, 2021 to present

Dated events

Occurred
Aug 13, 2021
First Form ADV filing
N••••••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:77dab81d-1487-0bf5-880e-5694e8e25960
First observed: Aug 13, 2021
Last observed: Aug 18, 2021 62 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.