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N••••••• R•••• • S••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

N••••••• R•••• • S••• I••

CRD 104969

NEW YORK, NY

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Search this name across graphsid dfx:ria:98b55fd3-4d24-ce79-1587-062cdb081cca

Data as of Sep 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 4
On other graphs: 0
Observed: Dec 2, 2011 to Sep 2, 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: independent wealth managerderivedprivate_client_share=0.9 fund_share=0.0 institutional_share=0.08 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $2.0B••• Locked
Discretionary RAUM: $2.0B
Private client RAUM: $1.8Bderived••• Locked
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $401Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M••• A••••• T•••••	Chartered Financial Analyst	NEW YORK, NY	13	25	n/a	no
S••••• N•••••• S••••	n/a	NEW YORK, NY	6	34

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• R•••• W•••••••	VICE PRESIDENT	A	yes	08/2015	Sep 2, 2026	Sep 2, 2026
C••• J••••••• N••••••	VICE PRESIDENT	B	yes	03/2013	Sep 2, 2026	Sep 2, 2026

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

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

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.0B	$1.9B	4.3%	$1.6B	8.0%	13	13	0	0

Relationships

Registered with (6)

← N••• P•••••• N•••••Advisorregistration: current employment
Mar 11, 2021 to presentfactForm ADV
← J•••••• N•••••• C••Advisorregistration: previous registration
Jan 23, 2013 to Jan 13, 2020factForm ADV
← R••• W••••••• C•••••Advisorregistration: current employment
Feb 9, 2021 to presentfactForm ADV
← S••••• N•••••• S••••

Dated events

Occurred
Sep 26, 2022
Control person left
Fewell Edwin Legard (Vice President) no longer on Schedule A of N••••••• R•••• • S••• I•• (listed 2022-08-25, absent 2022-09-26)
Form ADVobserved 7 days ago
Occurred
May 28, 2021
Control person left
Patrick Matthew Devine (Vice President) no longer on Schedule A of N••••••• R•••• • S••• I•• (listed 2021-01-20, absent 2021-05-28)
Form ADVobserved 7 days ago
Occurred
Jan 17, 2020
Control person joined
Patrick Matthew Devine (Vice President) appeared on Schedule A of N••••••• R•••• • S••• I••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:98b55fd3-4d24-ce79-1587-062cdb081cca
First observed: Dec 2, 2011
Last observed: Sep 2, 2026 20 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.