DFX Intelligence

N•••••• • P••• C•••: 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•••••• • P••• C•••

N•••••• & P•••, INCORPORATED, CRD 110732

SAN ANTONIO, TX

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Search this name across graphsid dfx:ria:fca07864-7318-1047-c8b3-28504083b47b

Data as of Mar 25, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 25, 2016
9 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: $171M••• Locked
Discretionary RAUM: $138M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N••••••• C•••••• J•	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	07/2000	Mar 29, 2012	Mar 25, 2016
P•••• D••• A•••••	Secretary	B	yes	07/2000	Mar 29, 2012	Mar 25, 2016

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 25, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$171M	$178M	-3.6%	$142M	6.4%	7	7	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E••••••• W••••• A•••••••	2	Apr 27, 2016	Apr 12, 2016	SAN ANTONIO, TX	Team lift out	Other	100.0%

Relationships

Controls (3)

← N••••••• C•••••• J•OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV
← S••••••• M•••••••• R••••OwnerVICE PRESIDENT, ownership code A, individual
Mar 29, 2012 to presentfactForm ADV
← P•••• D••• A•••••OwnerSECRETARY, ownership code B, individual
Mar 29, 2012 to presentfactForm ADV

Registered with (2)

← M••••••• R•••• S••••••Advisor

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fca07864-7318-1047-c8b3-28504083b47b
First observed: Mar 29, 2012
Last observed: Mar 25, 2016 127 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.