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•• I••••••••• G•••• L••

Former SEC-registered adviserDallas, TexasCRD 106281SEC 801-47940IAPD
Latest filing Mar 30, 2017
First filing on the tape Dec 23, 2011 · 24 filings
RAUM
$20B
reported, Item 5.F
Discretionary
79%
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
21
16 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$20B as of Mar 30, 2017
Mar 30, 2012$25B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 27, 20130 then
Employees (5.A)21 as of Mar 30, 2017
Mar 27, 201344 then
Private funds: no history
RAUM -32% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2017; 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
$290MderivedRAUM over accounts (5.F.2.f)
Discretionary
79%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-32%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
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
68reported
Financial planning clients
0reported
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
Left, latest
none on the tape
    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
      • B••••••••• E••• · Chief Financial Officercontrol
        since 04/2014 · owns less than 5%
      • B••••••• P••••• V••••• · Chief Legal Officercontrol
        since 12/2014 · owns less than 5%
      • C•••••••• B••••••• R••• · Chief Operating Officercontrol
        since 04/2016 · owns less than 5%
      • E•• A•••••• D•••••• · Chief Executive Officercontrol
        since 01/2016 · owns less than 5%
      • U•••••••• A••••••• E•••• F•••••••• · Global Chief Investment Officercontrol
        since 01/2012 · owns less than 5%
      • K••• P••• · Chief Compliance Officer
        since 01/2016 · owns less than 5%
      Entity owners
      • A•••••• G••••• I•••••••• U••• L•• · Managing Member
        direct · owns 75% or more
      • A•••••• A•••• M••••••••• O• A•••••• L••• · Member
        indirect · owns 75% or more of A•••••• G••••• I•••••••• U••• H••••••• L••
      • A•••••• A•••• M••••••••• O• A•••••• L•• · Partner
        indirect · owns 75% or more of A•••••• A•••• M••••••••• O• A•••••• L•••
      • A•••••• G••••• I•••••••• U••• H••••••• L•• · Member
        indirect · owns 75% or more of A•••••• G••••• I•••••••• U••• L••
      • A•••••• S• · Sole Stockholder
        indirect · owns 75% or more of A•••••• E••••• B•••
      • A•••••• E••••• B••• · Sole Stockholder
        indirect · owns 75% or more of A•••••• O• A••••••• I•••
      • A•••••• O• A••••••• I••• · Member
        indirect · owns 75% or more of A•••••• Asset Management Of A•••••• LLC
      Related persons
      Schedule D 7.A
      Advisers that list N•• I••••••••• G•••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      • San Francisco, CA
      What changed
      consecutive filings, newest first
      • Accounts · 81 to 68
        Jan 19, 2017 to Mar 30, 2017
      • Advisory employees · 17 to 16
        Jan 19, 2017 to Mar 30, 2017
      • BD registered reps · 8 to 7
        Jan 19, 2017 to Mar 30, 2017
      • Employees · 20 to 21
        Jan 19, 2017 to Mar 30, 2017
      • Discretionary RAUM · $25B to $16B
        Jan 19, 2017 to Mar 30, 2017
      • Non-discretionary RAUM · $3.5B to $4.2B
        Jan 19, 2017 to Mar 30, 2017
      • RAUM · $29B to $20B
        Jan 19, 2017 to Mar 30, 2017
      • Accounts · 62 to 81
        Jan 13, 2016 to Mar 30, 2016
      • Advisory employees · 16 to 17
        Jan 13, 2016 to Mar 30, 2016
      • Advisory activities · 3 to 5
        Jan 13, 2016 to Mar 30, 2016
      • BD registered reps · 11 to 8
        Jan 13, 2016 to Mar 30, 2016
      • Employees · 41 to 20
        Jan 13, 2016 to Mar 30, 2016
      • Discretionary RAUM · $30B to $25B
        Jan 13, 2016 to Mar 30, 2016
      • Non-discretionary RAUM · $0 to $3.5B
        Jan 13, 2016 to Mar 30, 2016
      • RAUM · $30B to $29B
        Jan 13, 2016 to Mar 30, 2016
      • Accounts · 65 to 62
        Jan 9, 2015 to Mar 31, 2015
      • Advisory employees · 15 to 16
        Jan 9, 2015 to Mar 31, 2015
      • BD registered reps · 9 to 11
        Jan 9, 2015 to Mar 31, 2015
      • Employees · 43 to 41
        Jan 9, 2015 to Mar 31, 2015
      • Discretionary RAUM · $33B to $30B
        Jan 9, 2015 to Mar 31, 2015
      • RAUM · $33B to $30B
        Jan 9, 2015 to Mar 31, 2015
      • Accounts · 77 to 65
        Aug 8, 2013 to Mar 31, 2014
      • BD registered reps · 8 to 9
        Aug 8, 2013 to Mar 31, 2014
      • Employees · 44 to 43
        Aug 8, 2013 to Mar 31, 2014
      • Discretionary RAUM · $27B to $33B
        Aug 8, 2013 to Mar 31, 2014
      • RAUM · $27B to $33B
        Aug 8, 2013 to Mar 31, 2014
      • Accounts · 65 to 77
        Feb 13, 2013 to Mar 27, 2013
      • Discretionary RAUM · $25B to $27B
        Feb 13, 2013 to Mar 27, 2013
      • RAUM · $25B to $27B
        Feb 13, 2013 to Mar 27, 2013
      • Advisory employees · unset to 15.0
        Jul 17, 2012 to Jan 3, 2013
      • BD registered reps · unset to 8.0
        Jul 17, 2012 to Jan 3, 2013
      • Employees · unset to 44.0
        Jul 17, 2012 to Jan 3, 2013
      • State-registered IARs · unset to 0.0
        Jul 17, 2012 to Jan 3, 2013
      • Accounts · 77 to 65
        Dec 23, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 23, 2011 to Mar 30, 2012
      • Discretionary RAUM · $26B to $25B
        Dec 23, 2011 to Mar 30, 2012
      • Non-discretionary RAUM · $9.7B to $0
        Dec 23, 2011 to Mar 30, 2012
      • RAUM · $36B to $25B
        Dec 23, 2011 to Mar 30, 2012
      • Related bank · false to true
        Dec 23, 2011 to Mar 30, 2012
      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