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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SEC-registered adviser
N•••• O•• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jan 27, 2012 · 39 filings
SEC status approved since Dec 6, 1993
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
68%
$743M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$219M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$1.1B as of Mar 31, 2026
Jan 27, 2012$334M then
HNW client RAUM$719M as of Mar 31, 2026
Feb 22, 2018$563M then
State-registered IARs (5.B.3)6 as of Mar 31, 2026
Jan 28, 20134 then
Employees (5.A)8 as of Mar 31, 2026
Jan 28, 20134 then
Private funds1 as of Mar 31, 2026
Jan 27, 20121 then
RAUM +26% over the last fiscal year+27% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $219MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $3.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $186M, 1 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$719M66%
- Pooled investment vehicles$222M20%
- Corporations and businesses$74.6M6.8%
- Charitable organizations$51.1M4.7%
- Individuals$24.5M2.2%
- Insurance companies$4.8M0.4%
- Individual clients
- 53reported
- HNW clients
- 143reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 340reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $186M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.68 fund_share=0.2 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• S•••••••• K•• | Greenwich, Ct | Jun 2, 2003 | 26 y | 0 |
| M•••••• R••••• C••••• | Greenwich, Ct | May 5, 2021 | 11 y | 0 |
| E••••• H•••• O••••• | Greenwich, Ct | Nov 17, 2021 | 24 y | 0 |
| A••••• P•••••••• | Greenwich, Ct | Oct 26, 2022 | 15 y | 0 |
| M•••••• J••••• G•••• | Greenwich, Ct | Jan 17, 2026 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- R••••• J••• A•••••• to F•••• M•••••••• C•• L••Jul 22, 2004 · Other
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•••• O•• P•••••••• L• | Hedge Fund | $186M | 40 | Jan 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K••• J•••• S•••••••• · Portfolio Managercontrolsince 07/2005 · owns 50% to 75%
- O•••••• E•••••• H•••• · President - Chief Compliance Officercontrolsince 01/2019 · owns 25% to 50%
Related persons
Schedule D 7.A
- N•••• O•• C••••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greenwich, Ct · principal | 5 | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 31, 2026K••• J•••• S•••••••• (PORTFOLIO MANAGER) left Schedule A between the filings of 2019-03-11 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 314 to 340Mar 25, 2025 to Mar 31, 2026
- Advisory employees · 5 to 6Mar 25, 2025 to Mar 31, 2026
- Charity clients · 2 to 3Mar 25, 2025 to Mar 31, 2026
- Corporate clients · 11 to 17Mar 25, 2025 to Mar 31, 2026
- HNW clients · 132 to 143Mar 25, 2025 to Mar 31, 2026
- Individual clients · 42 to 53Mar 25, 2025 to Mar 31, 2026
- Assets in custody · $151M to $186MMar 25, 2025 to Mar 31, 2026
- Employees · 7 to 8Mar 25, 2025 to Mar 31, 2026
- State-registered IARs · 5 to 6Mar 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $866M to $1.1BMar 25, 2025 to Mar 31, 2026
- HNW RAUM · $583M to $719MMar 25, 2025 to Mar 31, 2026
- Individual RAUM · $18.7M to $24.5MMar 25, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $177M to $222MMar 25, 2025 to Mar 31, 2026
- RAUM · $866M to $1.1BMar 25, 2025 to Mar 31, 2026
- Related adviser · false to trueMar 25, 2025 to Mar 31, 2026
- Accounts · 303 to 314Jul 2, 2024 to Mar 25, 2025
- Advisory employees · 6 to 5Jul 2, 2024 to Mar 25, 2025
- Charity clients · 1 to 2Jul 2, 2024 to Mar 25, 2025
- Corporate clients · 3 to 11Jul 2, 2024 to Mar 25, 2025
- HNW clients · 109 to 132Jul 2, 2024 to Mar 25, 2025
- Individual clients · 47 to 42Jul 2, 2024 to Mar 25, 2025
- Pooled vehicle clients · 1 to 2Jul 2, 2024 to Mar 25, 2025
- Assets in custody · $119M to $151MJul 2, 2024 to Mar 25, 2025
- Employees · 9 to 7Jul 2, 2024 to Mar 25, 2025
- Financial planning clients · unset to Jul 2, 2024 to Mar 25, 2025
- State-registered IARs · 7 to 5Jul 2, 2024 to Mar 25, 2025
- Discretionary RAUM · $653M to $866MJul 2, 2024 to Mar 25, 2025
- HNW RAUM · $476M to $583MJul 2, 2024 to Mar 25, 2025
- Individual RAUM · $18.9M to $18.7MJul 2, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $119M to $177MJul 2, 2024 to Mar 25, 2025
- RAUM · $653M to $866MJul 2, 2024 to Mar 25, 2025
- Accounts · 293 to 303May 10, 2023 to Mar 19, 2024
- Advisory employees · 5 to 6May 10, 2023 to Mar 19, 2024
- Corporate clients · 4 to 3May 10, 2023 to Mar 19, 2024
- HNW clients · 100 to 109May 10, 2023 to Mar 19, 2024
- Individual clients · 49 to 47May 10, 2023 to Mar 19, 2024
- Assets in custody · $97.0M to $119MMay 10, 2023 to Mar 19, 2024
- Discretionary RAUM · $534M to $653MMay 10, 2023 to Mar 19, 2024
- HNW RAUM · $390M to $476MMay 10, 2023 to Mar 19, 2024
- Individual RAUM · $15.9M to $18.9MMay 10, 2023 to Mar 19, 2024
Signals
6 dated events
- N•••• O•• C•••••• M••••••••• L•• reported RAUM $1.1B, up 26% from $865.8M (2025-03-25 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- N•••• O•• C•••••• M••••••••• L•• reported RAUM $865.8M, up 33% from $652.7M (2024-07-02 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- N•••• O•• C•••••• M••••••••• L•• reported RAUM $706.7M, down 36% from $1.1B (2021-08-03 to 2021-10-07)Oct 7, 2021 · RAUM change · derived
- N•••• O•• C•••••• M••••••••• L•• reported RAUM $1.1B, up 30% from $846.4M (2020-12-01 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- N•••• O•• C•••••• M••••••••• L•• reported RAUM $846.4M, up 35% from $624.7M (2019-11-22 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Honor Eileen Ohnell (President - Chief Compliance Officer) appeared on Schedule A of N•••• O•• C•••••• M••••••••• L••Mar 11, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@nightowlcapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-302-3870reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-302-3870reportedpublic record, Form ADV, Mar 31, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $219Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026