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•• C•••••• M••••••••• G•••• I••

Former SEC-registered adviserDurham, North CarolinaCRD 105312SEC 801-28196IAPD
Latest filing Feb 2, 2016
First filing on the tape Mar 22, 2012 · 8 filings
RAUM
$370M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$370M as of Feb 2, 2016
Mar 22, 2012$672M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 2, 2016
Mar 22, 20120 then
Employees (5.A)13 as of Feb 2, 2016
Mar 19, 201318 then
Private funds: no history
RAUM +17% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 2, 2016; 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
unknownderivedHNW RAUM over HNW clients
Average account
$41.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
96%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
+17%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • N••••••• L•••••• · Cio, Presidentcontrol
      since 08/2012 · owns less than 5%
    • S••••• M••••• K•••••• · Chairman, Cco And Ceocontrol
      since 06/1991 · owns less than 5%
    • S••••• M••••• K•••••• · Ownercontrol
      since 06/1991 · owns 75% or more of S•••• F•••••••• G••••
    Entity owners
    • S•••• F•••••••• G•••• · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Advisers that list N•• C•••••• M••••••••• G•••• I•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Employees · 15 to 13
      Jun 3, 2015 to Feb 2, 2016
    • Discretionary RAUM · $301M to $355M
      Jun 3, 2015 to Feb 2, 2016
    • Non-discretionary RAUM · $13.6M to $14.5M
      Jun 3, 2015 to Feb 2, 2016
    • RAUM · $315M to $370M
      Jun 3, 2015 to Feb 2, 2016
    • Accounts · 14 to 9
      Feb 10, 2014 to Feb 10, 2015
    • Discretionary RAUM · $468M to $301M
      Feb 10, 2014 to Feb 10, 2015
    • Non-discretionary RAUM · $81.3M to $13.6M
      Feb 10, 2014 to Feb 10, 2015
    • RAUM · $549M to $315M
      Feb 10, 2014 to Feb 10, 2015
    • Accounts · 15 to 14
      Mar 19, 2013 to Feb 10, 2014
    • Advisory employees · 6 to 5
      Mar 19, 2013 to Feb 10, 2014
    • Employees · 18 to 15
      Mar 19, 2013 to Feb 10, 2014
    • Discretionary RAUM · $479M to $468M
      Mar 19, 2013 to Feb 10, 2014
    • Non-discretionary RAUM · $94.5M to $81.3M
      Mar 19, 2013 to Feb 10, 2014
    • RAUM · $573M to $549M
      Mar 19, 2013 to Feb 10, 2014
    • Accounts · 19 to 15
      Oct 5, 2012 to Mar 19, 2013
    • Advisory employees · unset to 6.0
      Oct 5, 2012 to Mar 19, 2013
    • Employees · unset to 18.0
      Oct 5, 2012 to Mar 19, 2013
    • Discretionary RAUM · $585M to $479M
      Oct 5, 2012 to Mar 19, 2013
    • Non-discretionary RAUM · $87.8M to $94.5M
      Oct 5, 2012 to Mar 19, 2013
    • RAUM · $672M to $573M
      Oct 5, 2012 to Mar 19, 2013
    Signals
    No event on the tape.
    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