DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

N••••••• A•••• M••••••••• L••

Former SEC-registered adviserHartford, ConnecticutCRD 104532SEC 801-51559IAPD
Latest filing Mar 31, 2022
First filing on the tape Dec 22, 2011 · 25 filings
RAUM
$10B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.1%
$7.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
28
25 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$475M gross assets
History
25 filings and snapshots on the tape
RAUM$10B as of Mar 31, 2022
Mar 30, 2012$8.5B then
HNW client RAUM$7.7M as of Mar 31, 2022
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 28, 20130 then
Employees (5.A)28 as of Mar 31, 2022
Mar 28, 201326 then
Private funds2 as of Mar 31, 2022
Mar 29, 20183 then
RAUM -0.4% over the last fiscal year-1.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$7.7MderivedHNW RAUM over HNW clients
Average account
$390MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-0.4%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$9.4B93%
  • Pooled investment vehicles$455M4.5%
  • Other investment advisers$213M2.1%
  • Corporations and businesses$39.5M0.4%
  • High-net-worth individuals$7.7M0.1%
Individual clients
0reported
HNW clients
1reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
26reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $7.7M managedreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    C•••••••• C•• 1• L•••no longer reportedSecuritized Asset Fund$249,9990Mar 10, 2018
    Owners and control persons
    Schedule A and B, latest filing
    • A•••••••• D••••• L••• · President And Chief Investment Officercontrol
      since 06/2011 · owns less than 5%
    • A••••••••• M••••••• A•••• · Executive Vice President And Chief Financial Officercontrol
      since 06/2011 · owns less than 5%
    • A••••••• G•••••• R••••• · Chief Executive Officercontrol
      since 06/2011 · owns less than 5%
    • H••••• W••••• J••••••••• · Executive Vice President, General Counsel And Assistant Secretarycontrol
      since 09/2019 · owns less than 5%
    • W••••••• F••••••• G••••• · Executive Vice Presidentcontrol
      since 06/2011 · owns less than 5%
    • S•••• J••••• R••••• · Chief Compliance Officer
      since 01/2020 · owns less than 5%
    • S••••••••• M••••••• N•• · Chief Operating Officer
      since 03/2013 · owns less than 5%
    Entity owners
    • V••••• P•••••••• I••• · Direct Owner
      direct · owns 75% or more
    • V••••• I••••••••• P•••••••• I••• · Indirect Shareholder
      indirect · owns 75% or more of V••••• P•••••••• I••• · public reporting company
    Related persons
    Schedule D 7.A
    Advisers that list N••••••• A•••• M••••••••• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 27 to 26
      Mar 31, 2021 to Mar 31, 2022
    • Advisory employees · 27 to 25
      Mar 31, 2021 to Mar 31, 2022
    • BD registered reps · 14 to 12
      Mar 31, 2021 to Mar 31, 2022
    • Employees · 31 to 28
      Mar 31, 2021 to Mar 31, 2022
    • Discretionary RAUM · $10B to $10B
      Mar 31, 2021 to Mar 31, 2022
    • HNW RAUM · $8.0M to $7.7M
      Mar 31, 2021 to Mar 31, 2022
    • Pooled vehicle RAUM · $562M to $455M
      Mar 31, 2021 to Mar 31, 2022
    • RAUM · $10B to $10B
      Mar 31, 2021 to Mar 31, 2022
    • Wrap assets (manager) · $8.0M to $7.7M
      Mar 31, 2021 to Mar 31, 2022
    • Discretionary RAUM · $11B to $10B
      Jun 29, 2020 to Mar 31, 2021
    • HNW RAUM · $5.0M to $8.0M
      Jun 29, 2020 to Mar 31, 2021
    • Pooled vehicle RAUM · $651M to $562M
      Jun 29, 2020 to Mar 31, 2021
    • RAUM · $11B to $10B
      Jun 29, 2020 to Mar 31, 2021
    • Wrap assets (manager) · $5.0M to $8.0M
      Jun 29, 2020 to Mar 31, 2021
    • Accounts · 30 to 27
      Jan 16, 2020 to Mar 31, 2020
    • Advisory employees · 24 to 27
      Jan 16, 2020 to Mar 31, 2020
    • HNW clients · 0 to 1
      Jan 16, 2020 to Mar 31, 2020
    • Pooled vehicle clients · 5 to 4
      Jan 16, 2020 to Mar 31, 2020
    • Employees · 32 to 31
      Jan 16, 2020 to Mar 31, 2020
    • Private funds · 3 to 2
      Jan 16, 2020 to Mar 31, 2020
    • Discretionary RAUM · $10B to $11B
      Jan 16, 2020 to Mar 31, 2020
    • HNW RAUM · $0 to $5.0M
      Jan 16, 2020 to Mar 31, 2020
    • Pooled vehicle RAUM · $640M to $651M
      Jan 16, 2020 to Mar 31, 2020
    • RAUM · $10B to $11B
      Jan 16, 2020 to Mar 31, 2020
    • Wrap assets (manager) · unset to 5019319.0
      Jan 16, 2020 to Mar 31, 2020
    • Wrap assets (sponsor) · unset to 0.0
      Jan 16, 2020 to Mar 31, 2020
    • Advisory employees · 26 to 24
      Feb 1, 2019 to Mar 29, 2019
    • Employees · 34 to 32
      Feb 1, 2019 to Mar 29, 2019
    • Discretionary RAUM · $10B to $10B
      Feb 1, 2019 to Mar 29, 2019
    • RAUM · $10B to $10B
      Feb 1, 2019 to Mar 29, 2019
    • Discretionary RAUM · $12B to $10B
      Aug 13, 2018 to Feb 1, 2019
    • Pooled vehicle RAUM · $731M to $640M
      Aug 13, 2018 to Feb 1, 2019
    • RAUM · $12B to $10B
      Aug 13, 2018 to Feb 1, 2019
    • Advisory employees · 24 to 26
      Mar 10, 2018 to Mar 29, 2018
    • Employees · 36 to 34
      Mar 10, 2018 to Mar 29, 2018
    • Accounts · 25 to 30
      May 18, 2017 to Mar 10, 2018
    • Advisory employees · 26 to 24
      May 18, 2017 to Mar 10, 2018
    • BD registered reps · 13 to 14
      May 18, 2017 to Mar 10, 2018
    • Charity clients · unset to 0.0
      May 18, 2017 to Mar 10, 2018
    • Corporate clients · unset to 2.0
      May 18, 2017 to Mar 10, 2018
    Signals
    3 dated events
    • Jacqueline Wendy Hills (Executive Vice President, General Counsel And Assistant Secretary) appeared on Schedule A of N••••••• A•••• M••••••••• L••
      Oct 15, 2019 · Control person joined · fact
    • Stephen Mark Flynn (Executive Vice President And General Counsel) no longer on Schedule A of N••••••• A•••• M••••••••• L•• (listed 2019-03-29, absent 2019-07-30)
      Jul 30, 2019 · Control person left · inference
    • N••••••• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Dec 22, 2011 · Succession (Item 4) · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026