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••••••••• I••
Latest filing Feb 1, 2022
First filing on the tape Feb 7, 2012 · 26 filings
RAUM
$30.0M
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
100%
$30.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$30.0M as of Feb 1, 2022
Feb 7, 2012$542M then
HNW client RAUM$1.7M as of Mar 27, 2020
Mar 23, 2018$5.4M then
State-registered IARs (5.B.3)0 as of Feb 1, 2022
Mar 28, 20130 then
Employees (5.A)4 as of Feb 1, 2022
Mar 28, 201312 then
Private funds: no history
RAUM -10% over the last fiscal year-45% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 1, 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $215,754derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 73%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
- -10%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 individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$30.0M100%
- Individual clients
- 119reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 139reported
- 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
- F•••• R•••• C•••••• to A••••••••• I•••Jul 6, 2012 · Other
- A••• G•••••• M••• H•••••• to P•••••• S•••••••• A•••••••May 7, 2012 · Other
- C•••• C• G••••• to A• S•••••••••Feb 10, 2012 · Other
- S•••••• H• C•• to A••••••••• F•••••••• S•••••••• L••Nov 29, 2011 · Other
- M••••• M•••••• P•••••• to M••••••• T••••May 12, 2010 · Other
- J••••••• K•••••• to S•••••••• A••••••• L••Jan 29, 2009 · Other
Joined, latest
- S•••••• H• C•• from M••••• S••••••Jun 25, 2009 · Other
- A••• G•••••• M••• H•••••• from W•••• F•••• A•••••••Mar 4, 2009 · Other
- J••••••• K•••••• from A••••••••• A•••••• S•••••••• I•••Sep 25, 2007 · Other
- M••••• M•••••• P•••••• from S••••• I••••••••• L••Sep 24, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••• D•••••• W••••• · Presidentcontrolsince 02/1994 · owns 75% or more
- W••••••••• T••••• D••• · Chief Compliance Officercontrolsince 11/2021 · owns less than 5%
Related persons
Schedule D 7.A
- N•••••• A••••••••investment advisernRAUM $120M
Advisers that list N•••••• C•••••• M••••••••• I•• as a related person
- 131123 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 276 to 139Nov 4, 2021 to Feb 1, 2022
- Advisory employees · 3 to 2Nov 4, 2021 to Feb 1, 2022
- Individual clients · 270 to 119Nov 4, 2021 to Feb 1, 2022
- Employees · 7 to 4Nov 4, 2021 to Feb 1, 2022
- Discretionary RAUM · $18.6M to $21.9MNov 4, 2021 to Feb 1, 2022
- Individual RAUM · $33.4M to $30.0MNov 4, 2021 to Feb 1, 2022
- Non-discretionary RAUM · $14.8M to $8.1MNov 4, 2021 to Feb 1, 2022
- RAUM · $33.4M to $30.0MNov 4, 2021 to Feb 1, 2022
- HQ city · STATELINE to unsetJun 3, 2021 to Aug 27, 2021
- HQ state · NV to unsetJun 3, 2021 to Aug 27, 2021
- Accounts · 806 to 276Nov 9, 2020 to Mar 23, 2021
- Advisory activities · 2 to 1Nov 9, 2020 to Mar 23, 2021
- Corporate clients · 36.0 to unsetNov 9, 2020 to Mar 23, 2021
- Individual clients · 470 to 270Nov 9, 2020 to Mar 23, 2021
- Employees · 10 to 7Nov 9, 2020 to Mar 23, 2021
- Discretionary RAUM · $161M to $18.6MNov 9, 2020 to Mar 23, 2021
- HNW RAUM · 1723274.0 to unsetNov 9, 2020 to Mar 23, 2021
- Individual RAUM · $147M to $33.4MNov 9, 2020 to Mar 23, 2021
- Non-discretionary RAUM · $0 to $14.8MNov 9, 2020 to Mar 23, 2021
- RAUM · $161M to $33.4MNov 9, 2020 to Mar 23, 2021
- Succession · true to falseMay 18, 2020 to Jun 22, 2020
- Succession · false to trueMar 27, 2020 to May 18, 2020
- Accounts · 957 to 806Mar 21, 2019 to Mar 27, 2020
- Corporate clients · 35 to 36Mar 21, 2019 to Mar 27, 2020
- Individual clients · 496 to 470Mar 21, 2019 to Mar 27, 2020
- Employees · 9 to 10Mar 21, 2019 to Mar 27, 2020
- HQ city · CARSON CITY to STATELINEMar 21, 2019 to Mar 27, 2020
- Discretionary RAUM · $177M to $161MMar 21, 2019 to Mar 27, 2020
- HNW RAUM · $3.7M to $1.7MMar 21, 2019 to Mar 27, 2020
- Individual RAUM · $161M to $147MMar 21, 2019 to Mar 27, 2020
- RAUM · $177M to $161MMar 21, 2019 to Mar 27, 2020
- Accounts · 947 to 957Mar 23, 2018 to Mar 21, 2019
- Corporate clients · 37 to 35Mar 23, 2018 to Mar 21, 2019
- Individual clients · 539 to 496Mar 23, 2018 to Mar 21, 2019
- Assets in custody · 4102613.0 to unsetMar 23, 2018 to Mar 21, 2019
- Discretionary RAUM · $200M to $177MMar 23, 2018 to Mar 21, 2019
- HNW RAUM · $5.4M to $3.7MMar 23, 2018 to Mar 21, 2019
- Individual RAUM · $178M to $161MMar 23, 2018 to Mar 21, 2019
- RAUM · $200M to $177MMar 23, 2018 to Mar 21, 2019
- Accounts · 982 to 947Sep 26, 2017 to Mar 23, 2018
Signals
5 dated events
- D••• T•••• W•••••••• (Chief Compliance Officer) appeared on Schedule A of N•••••• C•••••• M••••••••• I••Nov 4, 2021 · Control person joined · fact
- Paul Richard West (Vice-President, Chief Compliance Officer) no longer on Schedule A of N•••••• C•••••• M••••••••• I•• (listed 2021-08-27, absent 2021-11-04)Nov 4, 2021 · Control person left · inference
- A•••• S•••• F••••• (Chief Financial Officer) no longer on Schedule A of N•••••• C•••••• M••••••••• I•• (listed 2020-11-09, absent 2021-03-23)Mar 23, 2021 · Control person left · inference
- N•••••• C•••••• M••••••••• I•• reported RAUM $33.4M, down 79% from $161.3M (2020-11-09 to 2021-03-23)Mar 23, 2021 · RAUM change · derived
- N•••••• C•••••• M••••••••• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)May 18, 2020 · 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