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.

Firm class

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$2.0MItem 5.F on the latest filing (2017-08-10); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$2.0M

Private client RAUM

$0derivedItem 5.D individuals plus high net worth individuals

Private client share

0%derivedprivate client RAUM over total RAUM

Advisors on IAPD

0

Employees

547

Advisory employees

201

Accounts

3

SEC number

801-107106

CRD

282366

Filings on the tape

6

First filed

Dec 23, 2015

Latest filed

Aug 10, 2017

Organised

Limited Liability Company, Delaware

• Occurred

  Jun 19, 2017
  Succession filed (Item 4)

  Cni Ccef Advisors, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)

  Form ADVobserved 5 days ago
• Occurred

  Dec 23, 2015
  First Form ADV filing

  Nsam B-Cef Ltd. filed its initial SEC registration (Form ADV)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:8ab3cc19-8ea2-4c55-a38d-cf97cedc6364

First observed

Dec 23, 2015

Last observed

Aug 10, 2017 110 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.