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

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 1b 10b

N•••••• C•••••• G••••• L••

CRD 144442

RED BANK, NJ

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Search this name across graphsid dfx:ria:8dbef163-7f91-92b1-02aa-61a10edcd946

Data as of Mar 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 1
On other graphs: 3
Observed: Dec 20, 2011 to Mar 20, 2026
37 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

N•••••• C•••••• G••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

N•••••• C•••••• G••••• L••

Capital provider to sponsors · shared crd

Allocatorsidentity

N•••••• C•••••• G••••

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: mixed wealth managerderivedprivate_client_share=0.3 fund_share=0.0 institutional_share=0.69 related_bd=true related_bank=false bd_reps=6.0
Regulatory AUM: $1.3BItem 5.F on the latest filing (2026-03-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $401M
Private client RAUM: $387MderivedItem 5.D individuals plus high net worth individuals
Private client share: 30%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
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
D•••••• M•••••• D••••••	n/a	RED BANK, NJ	19	22	1	yes
M••••••• D••••• B••••••	Certified Financial Planner	RED BANK, NJ	18	22

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N•••••• H•••••••• L•••	Private Equity Fund	$1.8M	Mar 20, 2026	14	Mar 31, 2014	reported	021-187134

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
B••••••• M•••••••• D•••••	CHIEF COMPLIANCE OFFICER/ EXECUTIVE VICE PRESIDENT	Na	yes	11/2004	Mar 20, 2026	Mar 20, 2026
D••••••• D••••••• M••••••	President	Na	yes	11/2004	Mar 20, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N•• S••••••••• L••	n/a	n/a	n/a	N	yes	n/a
N•••••• H••••••• L••	n/a	n/a	n/a	Y	yes	n/a

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

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
0	0	0	0.0%	0	0	0	0	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	$1.3B	$1.2B	5.1%	$250M	72.3%	18	17	0	0

Relationships

Registered with (13)

← D•••• N••• K••••••Advisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← R••••• J•••• M••••••Advisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← J••• D• W•••••••••Advisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← J••••• M•••••• K•••••••

Dated events

Occurred
Mar 31, 2025
Regulatory AUM changed
N•••••• C•••••• G••••• L•• reported RAUM $1.2B, up 273% from $326.8M (2024-03-29 to 2025-03-31)
Form ADVobserved 6 days ago
$892M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8dbef163-7f91-92b1-02aa-61a10edcd946
First observed: Dec 20, 2011
Last observed: Mar 20, 2026 6 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.

2025	Mar 20, 2026	$1.3B	$401M	18	7	0	1	n/a
2024	Mar 31, 2025	$1.2B	$1.2B	17	7	0	1	n/a
2023	Mar 29, 2024	$327M	$320M	19	8	0	1	$2.3M
2022	Mar 30, 2023	$250M	$246M	17	7	0	1	$3.6M
2021	Mar 30, 2022	$274M	$269M	20	10	0	1	$4.0M
2020	Mar 31, 2021	$252M	$241M	20	7	0	1	$3.4M
2019	Mar 30, 2020	$210M	$200M	20	7	0	1	$5.7M
2018	Mar 29, 2019	$196M	$190M	20	7	0	1	$4.1M
2017	Mar 29, 2018	$181M	$173M	21	4	0	1	$4.1M
2016	Mar 31, 2017	$135M	$129M	22	4	n/a	1	$652,507
2015	Mar 24, 2016	$154M	$116M	21	6	n/a	1	$652,507
2014	Mar 30, 2015	$8.1B	$200M	21	6	n/a	1	$652,507
2013	Mar 31, 2014	$118M	$118M	20	5	n/a	1	$652,507
2012	Mar 20, 2013	$124M	$124M	20	5	n/a	n/a	n/a
2011	Mar 15, 2012	$1.6B	$118M	n/a	n/a	n/a	n/a	n/a