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RIA / WealthRegistered adviserasset managerSEC registeredRAUM under $100M

NORDWAND INVESTMENTS, LLC

CRD 323829

RADNOR, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cc73561a-d93c-07e5-04b6-1dea92e3ca6c

Data as of Mar 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 3
Observed: Jan 4, 2023 to Mar 20, 2026
8 observations

Across DFX

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

Venture Capitalidentity

Nordwand Investments, LLC

Venture manager · shared crd

Independent Sponsorsidentity

Nordwand Investments, LLC

Capital provider to sponsors · shared crd

Private Equityidentity

Nordwand Investments, LLC

Private equity manager · shared crd

Facts

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

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $44.7MItem 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: $44.7M
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: 2
RAUM per advisor: $22.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 4
Private funds: 2Schedule D 7.B(1)
Custody, client assets: $11.5M
SEC number: 801-127287
CRD: 323829
Filings on the tape: 8
First filed: Jan 4, 2023
Latest filed: Mar 20, 2026
Organised: Limited Liability Company, DE

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
NORDWAND SPECIAL OPPORTUNITIES FUND I, LLC	Private Equity Fund	$13.9M	Mar 26, 2024	25	Jan 18, 2024	reported	021-476911
NORDWAND SPECIAL OPPORTUNITIES FUND II, LLC	Other Private Fund	$13.3M	Mar 26, 2024	21	Jan 18, 2024	reported	021-495515
NORDWAND INCOME OPPORTUNITIES FUND I, LLC	Other Private Fund	$12.0M	Mar 26, 2024	10	Jan 18, 2024	reported	021-487331
NORDWAND EARLY OPPORTUNITIES FUND I, LLC	Venture Capital Fund	$11.8M	Mar 26, 2024	8	Jan 18, 2024	reported	021-474606

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
Kane, Gerald, J.	CHIEF COMPLIANCE OFFICER	Na	yes	01/2023	Jan 4, 2023	Mar 26, 2024
MARTIN, JAMES, FRANCIS	Owner	E	yes	11/2022	Jan 4, 2023	Mar 26, 2024
NORDWAND CAPITAL, LLC	MANAGING MEMBER	E	yes	10/2022	Jan 4, 2023	Mar 26, 2024

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
NORDWAND ADVISORS, LLC	n/a	Independent wealth	$4.0B	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

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

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
2025	Mar 20, 2026	$44.7M	$44.7M	2	2	1	2	n/a
2024	Mar 20, 2025	$44.6M	$44.6M	2	2	1	2	n/a
2023	Mar 26, 2024	$51.0M	$51.0M	2	2	1	4	$50.9M

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	$44.7M	$44.6M	0.2%	n/a	n/a	2	2	1	1

Relationships

Affiliated with (2)

← NORDWAND ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
→ NORDWAND ADVISORSRegistered adviserother investment adviser, common control
factForm ADV

Advises (4)

→ NORDWAND SPECIAL OPPORTUNITIES FUND II, LLCPrivate fundOther Private Fund, IA
Jan 18, 2024 to presentfactForm ADV
→ NORDWAND EARLY OPPORTUNITIES FUND I, LLCPrivate fundVenture Capital Fund, IA
Jan 18, 2024 to presentfactForm ADV
→ NORDWAND INCOME OPPORTUNITIES FUND I, LLCPrivate fundOther Private Fund, IA
Jan 18, 2024 to presentfactForm ADV
→ NORDWAND SPECIAL OPPORTUNITIES FUND I, LLCPrivate fundPrivate Equity Fund, IA
Jan 18, 2024 to presentfactForm ADV

Registered with (2)

← THEODORE WESLEY BROOKSAdvisorregistration: current employment
Apr 6, 2023 to presentfactForm ADV
← JAMES FRANCIS MARTINAdvisorregistration: current employment
Mar 30, 2023 to presentfactForm ADV

Controls (3)

← MARTIN, JAMES, FRANCISOwnerOWNER, ownership code E, individual
Jan 4, 2023 to Mar 26, 2024factForm ADV
← Kane, Gerald, J.OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 4, 2023 to Mar 26, 2024factForm ADV
← NORDWAND CAPITAL, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Jan 4, 2023 to Mar 26, 2024factForm ADV

Dated events

Occurred
Jan 4, 2023
First Form ADV filing
Nordwand Investments, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc73561a-d93c-07e5-04b6-1dea92e3ca6c
First observed: Jan 4, 2023
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.

NORDWAND INVESTMENTS, LLC

CRD 323829

RADNOR, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cc73561a-d93c-07e5-04b6-1dea92e3ca6c

Data as of Mar 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:30 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

NORDWAND SPECIAL OPPORTUNITIES FUND I, LLC

Private Equity Fund

$13.9M

Mar 26, 2024

Jan 18, 2024

reported

021-476911

NORDWAND SPECIAL OPPORTUNITIES FUND II, LLC

Other Private Fund

$13.3M

Mar 26, 2024

Jan 18, 2024

reported

021-495515

NORDWAND INCOME OPPORTUNITIES FUND I, LLC

Other Private Fund

$12.0M

Mar 26, 2024

Jan 18, 2024

reported

021-487331

NORDWAND EARLY OPPORTUNITIES FUND I, LLC

Venture Capital Fund

$11.8M

Mar 26, 2024

Jan 18, 2024

reported

021-474606

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Kane, Gerald, J.

CHIEF COMPLIANCE OFFICER

yes

01/2023

Jan 4, 2023

Mar 26, 2024

MARTIN, JAMES, FRANCIS

Owner

yes

11/2022

Jan 4, 2023

Mar 26, 2024

NORDWAND CAPITAL, LLC

MANAGING MEMBER

yes

10/2022

Jan 4, 2023

Mar 26, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NORDWAND ADVISORS, LLC

n/a

Independent wealth

$4.0B

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 20, 2026

$44.7M

n/a

2024

Mar 20, 2025

$44.6M

n/a

2023

Mar 26, 2024

$51.0M

$50.9M

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$44.7M

$44.6M

0.2%

n/a