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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 100m 1b

A•••••• P•••••••• A••••••• L••

CRD 288271

NEW YORK, NY

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Search this name across graphsid dfx:ria:82d52504-5c4a-350a-8e75-1ae551a5649c

Data as of Sep 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 5
On other graphs: 0
Observed: Jun 18, 2020 to Sep 9, 2026
35 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=0.1 fund_share=0.88 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $978MItem 5.F on the latest filing (2026-09-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $975M
Private client RAUM: $101MderivedItem 5.D individuals plus high net worth individuals
Private client share: 10%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 9
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
G•••••• A••• S••••••••	n/a	NEW YORK, NY	5	14	1	no
J••• N•• D•••	n/a	NEW YORK, NY	5	30

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•••• J•••• N••	MANAGING MEMBER, CEO/CIO	E	yes	03/2017	Jun 18, 2020	Dec 18, 2024
C••••• D••••• N•••••••	President	B	no	08/2018	Jun 18, 2020

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 6 of 7

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	0	2	0.0%	1	0	0	5	0

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	$978M	$699M	39.9%	$313M	46.2%	9	6	3	0

Relationships

Registered with (9)

← M••• M•••••••Advisorregistration: current employment
Sep 9, 2026 to presentfactForm ADV
← Z•••••• T••••• K•••••Advisorregistration: current employment
Mar 17, 2026 to presentfactForm ADV
← B•••• L•••••Advisorregistration: current employment
May 28, 2025 to presentfactForm ADV
← P•••• H••••••Advisor

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
A•••••• P•••••••• A••••••• L•• reported RAUM $977.6M, up 40% from $698.8M (2026-01-07 to 2026-03-31)
Form ADVobserved 7 days ago
$279M
Occurred
Apr 30, 2025
Regulatory AUM changed
A•••••• P•••••••• A••••••• L•• reported RAUM $698.8M, up 39% from $504.2M (2024-12-18 to 2025-04-30)
Form ADVobserved 7 days ago
$195M
Occurred
Mar 8, 2024
Regulatory AUM changed
A•••••• P•••••••• A••••••• L•• reported RAUM $504.2M, up 61% from $313.1M (2023-11-01 to 2024-03-08)
Form ADVobserved 7 days ago
$191M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:82d52504-5c4a-350a-8e75-1ae551a5649c
First observed: Jun 18, 2020
Last observed: Sep 9, 2026 13 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.