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••••••••• L••
Latest filing Mar 14, 2018
First filing on the tape Feb 24, 2012 · 16 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$0 as of Feb 9, 2018
Feb 24, 2012$33.0M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Feb 9, 2018
Jan 23, 20130 then
Employees (5.A)6 as of Feb 9, 2018
Jan 23, 20137 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 14, 2018; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween 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
- selection of other advisers, otherreportedItem 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)
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
- 0reported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• W••••••• K•• M•••• · Sole Member Of Gpcontrolsince 01/2003 · owns less than 5%
- G••••••••• E••••••••• A•• · Chief Compliance Officercontrolsince 01/2000 · owns less than 5%
- M••••••• V•••••••• M•••• · Chief Financial Officercontrolsince 01/2015 · owns less than 5%
- G••••••••• W••••••• K•• M•••• · Managing Membercontrolsince 01/2003 · owns 75% or more of N•••••••• Holdings B LLC
Entity owners
- N•••••••• V••••••• L• · Sole Memberdirect · owns 75% or more
- N•••••••• H••••••• A• L•• · General Partner Of Nv LPindirect · owns 75% or more of N•••••••• V••••••• L•
- N•••••••• H••••••• B• L•• · Class A LPindirect · owns 75% or more of N•••••••• V••••••• L•
Related persons
Schedule D 7.A
- N•••••••• M•••• M•••••••• L••investment adviserbankpooled vehicle sponsornRAUM $260M
- N•••••••• P••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 3Jan 16, 2017 to Feb 9, 2018
- Other offices · unset to 0.0Jan 16, 2017 to Feb 9, 2018
- HNW RAUM · unset to 0.0Jan 16, 2017 to Feb 9, 2018
- Individual RAUM · unset to 0.0Jan 16, 2017 to Feb 9, 2018
- Pension RAUM · unset to 0.0Jan 16, 2017 to Feb 9, 2018
- Pooled vehicle RAUM · unset to 0.0Jan 16, 2017 to Feb 9, 2018
- Assets in custody · unset to 0.0Sep 26, 2016 to Jan 16, 2017
- Employees · 7 to 6Sep 26, 2016 to Jan 16, 2017
- Accounts · 5 to 0Sep 3, 2014 to Feb 12, 2015
- Non-discretionary RAUM · $36.4M to $0Sep 3, 2014 to Feb 12, 2015
- RAUM · $36.4M to $0Sep 3, 2014 to Feb 12, 2015
- Advisory employees · 3 to 2Feb 18, 2014 to Sep 3, 2014
- Employees · 8 to 7Feb 18, 2014 to Sep 3, 2014
- Employees · 7 to 8Feb 1, 2013 to Feb 10, 2014
- Non-discretionary RAUM · $31.7M to $36.4MFeb 1, 2013 to Feb 10, 2014
- RAUM · $31.7M to $36.4MFeb 1, 2013 to Feb 10, 2014
- Accounts · 4 to 5Feb 24, 2012 to Jan 23, 2013
- Advisory employees · unset to 3.0Feb 24, 2012 to Jan 23, 2013
- Employees · unset to 7.0Feb 24, 2012 to Jan 23, 2013
- State-registered IARs · unset to 0.0Feb 24, 2012 to Jan 23, 2013
- Non-discretionary RAUM · $33.0M to $31.7MFeb 24, 2012 to Jan 23, 2013
- RAUM · $33.0M to $31.7MFeb 24, 2012 to Jan 23, 2013
- Related bank · false to trueFeb 24, 2012 to Jan 23, 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