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.

Former SEC-registered adviser

Northern Neck Investors LLC

Former SEC-registered adviserBoston, MassachusettsCRD 109215SEC 801-56408IAPD
Latest filing Mar 25, 2014
First filing on the tape Mar 29, 2012 · 7 filings
RAUM
$1.7B
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
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
14
$660M gross assets
History
7 filings and snapshots on the tape
RAUM$1.7B as of Mar 25, 2014
Mar 29, 2012$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2014
Mar 29, 20120 then
Employees (5.A)5 as of Mar 25, 2014
Mar 27, 20136 then
Private funds14 as of Mar 25, 2014
Mar 29, 201226 then
RAUM +0.6% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2014; 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
$57.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
+0.6%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 assets, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
Custody
$1.3B, 30 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.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
30reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.3B for 30 clientsreported
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
      17 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Nni00021no longer reportedPrivate Equity Fund$91.2M3Mar 29, 2012
      Nni00003no longer reportedPrivate Equity Fund$14.8M17Mar 29, 2012
      Nni00008no longer reportedPrivate Equity Fund$11.0M4Mar 29, 2012
      Nni00005no longer reportedPrivate Equity Fund$9.5M6Mar 29, 2012
      Nni00007no longer reportedPrivate Equity Fund$9.3M8Mar 29, 2012
      Nni00004no longer reportedPrivate Equity Fund$7.9M9Mar 29, 2012
      Nni00029Private Equity Fund$6.8M2Mar 25, 2014
      Nni00028Private Equity Fund$3.7M4Mar 25, 2014
      Nni00001no longer reportedPrivate Equity Fund$1.0M16Mar 29, 2012
      Nni00024no longer reportedPrivate Equity Fund$769,4152Mar 29, 2012
      Nni00002no longer reportedPrivate Equity Fund$656,65017Mar 29, 2012
      Nni00023no longer reportedPrivate Equity Fund$206,2242Mar 29, 2012
      Nni00009no longer reportedPrivate Equity Fund$198,1125Mar 29, 2012
      Nni00006no longer reportedPrivate Equity Fund$100,3627Mar 29, 2012
      Nni00025no longer reportedPrivate Equity Fund$7,1096Mar 29, 2012
      Nni00010no longer reportedPrivate Equity Fund$04Mar 29, 2012
      Nni00026no longer reportedPrivate Equity Fund$05Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • T (Mi Only) Timothy Hilton · Member & Directorcontrol
        since 05/1998 · owns 5% to 10%
      • C (Mi Only) Edward Johnson IV · Director, Sole Trustee To Ecjmaj Fimcorp Trustcontrol
        since 03/2006 · owns less than 5%
      • Crosby Edward Johnson · Sole Trustee To Johnson Fimcorp Trusts 1, 2, And 3control
        since 03/2006 · owns less than 5%
      • L. (Mi Only) Paul Mucci · Presidentcontrol
        since 11/2007 · owns less than 5%
      • J (Mi Only) John Remondi · Member & Directorcontrol
        since 05/1998 · owns 5% to 10%
      • Joseph Matthew Wick · Treasurer, Vice Presidentcontrol
        since 11/2010 · owns less than 5%
      • Jean Linda Wondrack · Chief Compliance Officercontrol
        since 04/2012 · owns less than 5%
      • C (Mi Only) James Curvey · Member
        since 05/1998 · owns 5% to 10%
      • (Nmn) Jay Freedman · Member & Assistant Secretary
        since 12/2013 · owns 5% to 10%
      • D (Mi Only) Michael Gaquin · Compliance Officer
        since 11/2009 · owns less than 5%
      • P Abigail Johnson · Member
        since 05/1998 · owns 5% to 10%
      • L (Mi Only) Elizabeth Johnson · Sole Trustee To Eljrck Fimcorp Trust
        since 03/2006 · owns less than 5%
      Entity owners
      • Ecjmaj Fimcorp Trust · Member
        direct · owns 5% to 10%
      • Eljrck Fimcorp Trust · Member
        direct · owns 5% to 10%
      • Johnson Fimcorp Trust 1 · Member
        direct · owns 10% to 25%
      • Johnson Fimcorp Trust 2 · Member
        direct · owns 10% to 25%
      • Johnson Fimcorp Trust 3 · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 35 to 30
        Jan 16, 2014 to Mar 25, 2014
      • Assets in custody · $1.4B to $1.3B
        Jan 16, 2014 to Mar 25, 2014
      • Employees · 6 to 5
        Jan 16, 2014 to Mar 25, 2014
      • Private funds · 12 to 14
        Jan 16, 2014 to Mar 25, 2014
      • Discretionary RAUM · $1.7B to $1.7B
        Jan 16, 2014 to Mar 25, 2014
      • RAUM · $1.7B to $1.7B
        Jan 16, 2014 to Mar 25, 2014
      • Accounts · 31 to 35
        Apr 30, 2012 to Mar 27, 2013
      • Advisory employees · unset to 2.0
        Apr 30, 2012 to Mar 27, 2013
      • Assets in custody · $2.2B to $1.4B
        Apr 30, 2012 to Mar 27, 2013
      • Employees · unset to 6.0
        Apr 30, 2012 to Mar 27, 2013
      • Private funds · 26 to 12
        Apr 30, 2012 to Mar 27, 2013
      • Discretionary RAUM · $1.9B to $1.7B
        Apr 30, 2012 to Mar 27, 2013
      • RAUM · $1.9B to $1.7B
        Apr 30, 2012 to Mar 27, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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