DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

N•• F••• G••••• L••

CRD 169928

N•••, CA

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Search this name across graphsid dfx:ria:8a340f62-1a37-0b49-7af1-b974d33d8b26

Data as of Mar 18, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 20, 2014 to Mar 18, 2019
7 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: $58.8M••• Locked
Discretionary RAUM: $58.8M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• T••••••• L••	Owner	D	yes	01/2014	Feb 25, 2014	Mar 18, 2019
M•••••• G•••••• P•••	PRESIDENT & CHIEF COMPLIANCE OFFICER	D	yes	12/2013	Jan 20, 2014	Mar 18, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••• W••••• M••••••••• I•••••••••	n/a	Former SEC adviser	$267M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 18, 2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$58.8M	$87.4M	-32.7%	$37.4M	16.3%	2	2	1	1

Relationships

Affiliated with (1)

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

Controls (2)

← M•••••• G•••••• P•••OwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code D, individual
Jan 20, 2014 to presentfactForm ADV
← A••••• T••••••• L••OwnerOWNER, ownership code D, individual
Feb 25, 2014 to presentfactForm ADV

Dated events

Occurred
Jan 20, 2014
First Form ADV filing
N•• F••• G••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8a340f62-1a37-0b49-7af1-b974d33d8b26
First observed: Jan 20, 2014
Last observed: Mar 18, 2019 91 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.