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

3•• N•••• C••••••

Former SEC-registered adviserPasadena, CaliforniaCRD 107325SEC 801-47993IAPD
Legal name 3•• N•••• C••••••• L••
Latest filing Apr 1, 2015
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$487M
reported, Item 5.F
Discretionary
100%
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
12
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$125M gross assets
History
9 filings and snapshots on the tape
RAUM$487M as of Apr 1, 2015
Mar 30, 2012$438M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Apr 1, 2015
Mar 30, 20120 then
Employees (5.A)12 as of Apr 1, 2015
Feb 8, 201321 then
Private funds4 as of Apr 1, 2015
Mar 30, 20123 then
RAUM -6.9% over the last fiscal year+3.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 1, 2015; every figure names its basis
RAUM per advisor
$487MderivedRAUM 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
$30.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
12.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-6.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$59.5M, 4 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
16reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$59.5M for 4 clientsreported
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
Every departureEvery arrival
Private funds
5 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
3•• N•••• C•••••• S•••• C•• I••••••••• F•••Other Private Fund$69.6M3Mar 30, 2012
3•• N•••• C•••••• G••••• M•••• F•••• L••Hedge Fund$20.9M40Mar 30, 2012
3•• N•••• C•••••• L••••••••• F•••• L••no longer reportedHedge Fund$20.1M4Mar 30, 2012
3•• N•••• C•••••• G••••• M•••• F•••• L••Hedge Fund$17.7M12Feb 8, 2013
3•• N•••• C•••••• G••••• M•••• F••• I•• L••Hedge Fund$16.6M23Mar 31, 2014
Owners and control persons
Schedule A and B, latest filing
  • C•••••••• R••••••• S••••• · Managing Director, Chairman Of The Board, Ceo & Ciocontrol
    since 09/2008 · owns less than 5%
  • C•••••••• E••• · Svp, Chief Compliance Officer And Chief Operating Officercontrol
    since 01/2009 · owns less than 5%
  • J•••••••• D••••• S••••••• · Sr. Vp - Portfolio Managercontrol
    since 08/2011 · owns less than 5%
  • L•••••••• J••••• M• · Managing Directorcontrol
    since 10/2008 · owns less than 5%
  • M•••••• J•••••••• A••• · Svp, Chief Financial Officercontrol
    since 08/2014 · owns less than 5%
  • C•••••••• R••••••• S••••• · Membercontrol
    since 05/2009 · owns 75% or more of C••••••• H•••• C••••••• L••
Entity owners
  • C••••••• H•••• C••••••• L•• · Sole Member Of 3•• N•••• C••••••, LLC
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • 3•• N•••• C•••••• P•••••••• L••
    bankpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 18 to 16
    Oct 14, 2014 to Apr 1, 2015
  • Advisory employees · 7 to 4
    Oct 14, 2014 to Apr 1, 2015
  • Assets in custody · $76.5M to $59.5M
    Oct 14, 2014 to Apr 1, 2015
  • Employees · 18 to 12
    Oct 14, 2014 to Apr 1, 2015
  • Discretionary RAUM · $524M to $487M
    Oct 14, 2014 to Apr 1, 2015
  • RAUM · $524M to $487M
    Oct 14, 2014 to Apr 1, 2015
  • Accounts · 17 to 18
    Mar 17, 2014 to Mar 31, 2014
  • Assets in custody · $167M to $76.5M
    Mar 17, 2014 to Mar 31, 2014
  • Employees · 21 to 18
    Mar 17, 2014 to Mar 31, 2014
  • Private funds · 3 to 4
    Mar 17, 2014 to Mar 31, 2014
  • Discretionary RAUM · $593M to $524M
    Mar 17, 2014 to Mar 31, 2014
  • RAUM · $593M to $524M
    Mar 17, 2014 to Mar 31, 2014
  • Advisory employees · unset to 7.0
    Sep 26, 2012 to Feb 8, 2013
  • Assets in custody · $105M to $167M
    Sep 26, 2012 to Feb 8, 2013
  • Employees · unset to 21.0
    Sep 26, 2012 to Feb 8, 2013
  • Insurance-licensed employees · 1 to 0
    Sep 26, 2012 to Feb 8, 2013
  • State-registered IARs · 0 to 1
    Sep 26, 2012 to Feb 8, 2013
  • Discretionary RAUM · $438M to $593M
    Sep 26, 2012 to Feb 8, 2013
  • RAUM · $438M to $593M
    Sep 26, 2012 to Feb 8, 2013
  • Related adviser · true to false
    Sep 26, 2012 to Feb 8, 2013
  • Related broker-dealer · true to false
    Sep 26, 2012 to Feb 8, 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