DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

N••••• S••••••

N••••• & S••••••, LLC, CRD 142255

DEERFIELD, IL

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Search this name across graphsid dfx:ria:bdc27cd7-b445-fc1d-eb7e-019b47dac0e1

Data as of Nov 22, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 12, 2012 to Nov 22, 2022
14 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: $320M••• Locked
Discretionary RAUM: $285M
Private client RAUM: $315Mderived••• Locked
Private client share: 99%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
N•••••• J•••• L•••••••	Member	D	yes	10/2006	Jan 12, 2012	Nov 22, 2022
S••••••• B••••• J••••••	MEMBER/CHIEF COMPLIANCE OFFICER	D	yes	10/2006	Jan 12, 2012	Nov 22, 2022

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$320M	$299M	6.9%	$255M	7.7%	2	2	0	0

Relationships

Controls (2)

← N•••••• J•••• L•••••••OwnerMEMBER, ownership code D, individual
Jan 12, 2012 to presentfactForm ADV
← S••••••• B••••• J••••••OwnerMEMBER/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Jan 12, 2012 to presentfactForm ADV

Registered with (1)

← J••• L••••••• N•••••Advisorregistration: previous registration
Mar 8, 2007 to Mar 7, 2023factForm ADV

Dated events

Occurred
Mar 7, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bdc27cd7-b445-fc1d-eb7e-019b47dac0e1
First observed: Jan 12, 2012
Last observed: Nov 22, 2022 46 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.