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•• G••••••••• A•••••••• L••

Former SEC-registered adviserManchester, MassachusettsCRD 109776SEC 801-33044IAPD
Latest filing Mar 23, 2022
First filing on the tape Mar 28, 2012 · 20 filings
RAUM
$153M
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
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$153M gross assets
History
20 filings and snapshots on the tape
RAUM$153M as of Mar 23, 2022
Mar 28, 2012$755M then
HNW client RAUM$0 as of Mar 23, 2022
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 23, 2022
Mar 28, 20132 then
Employees (5.A)4 as of Mar 23, 2022
Mar 28, 201313 then
Private funds2 as of Mar 23, 2022
Mar 28, 20123 then
RAUM -67% over the last fiscal year-41% a year over threeIARs 1 to 0offices 2 to 1
Practice profile
derived from the filing of Mar 23, 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
$76.6MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-67%derivedbetween the last two annual amendments
Advisor growth, one year
-100%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 pooled vehiclesreportedItem 5.G
Custody
$153M, 2 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$153M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$153M for 2 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    6 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    P••••• N•• G••••••••• T••••••••• F••• L•••no longer reportedHedge Fund$90.1M7Mar 28, 2012
    P• N•• G••••••••• T••••••••• I•• A• S••••••• O• P••••• M•••••• A•••••• P••••••• I•••• A• U••••••• F••• W••• S••••••••• L••••••••no longer reportedHedge Fund$63.8M7Mar 30, 2016
    S••••••• G••• I• N•• T•••••••••no longer reportedHedge Fund$26.2M10Mar 30, 2016
    N•• G••••••••• T••••••••• F••• •••••••• L•Hedge Fund$25.0M107Mar 28, 2012
    N•• G••••••••• L•••••• P•••••••••Hedge Fund$16.4M79Mar 28, 2012
    N•• G••••••••• L••• F••• L•••••• P•••••••••no longer reportedOther Private Fund$12.3M4Apr 29, 2014
    Owners and control persons
    Schedule A and B, latest filing
    • P•••••• G••••• · Presid•••, Chief Executive Officer And Managing Member, Chief Compliance Officer, Chief Financial Officer, Chief Risk Officercontrol
      since 08/1988 · owns 50% to 75%
    • B••••• D•••••• L••• · Minority Owner
      since 08/2013 · owns 5% to 10%
    • D•••• F••••••••• B•••• · Minority Owner
      since 01/2012 · owns 10% to 25%
    • K•••••• M•••• C••••••••• · Minority Owner
      since 02/2014 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    Advisers that list N•• G••••••••• A•••••••• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Advisory employees · 4 to 2
      Jul 1, 2021 to Mar 23, 2022
    • Assets in custody · $398M to $153M
      Jul 1, 2021 to Mar 23, 2022
    • Employees · 8 to 4
      Jul 1, 2021 to Mar 23, 2022
    • State-registered IARs · 1 to 0
      Jul 1, 2021 to Mar 23, 2022
    • Other offices · 2 to 1
      Jul 1, 2021 to Mar 23, 2022
    • Discretionary RAUM · $465M to $153M
      Jul 1, 2021 to Mar 23, 2022
    • Pooled vehicle RAUM · $465M to $153M
      Jul 1, 2021 to Mar 23, 2022
    • RAUM · $465M to $153M
      Jul 1, 2021 to Mar 23, 2022
    • Advisory employees · 5 to 4
      Mar 26, 2021 to Jul 1, 2021
    • Employees · 9 to 8
      Mar 26, 2021 to Jul 1, 2021
    • Advisory employees · 6 to 5
      Mar 27, 2020 to Mar 26, 2021
    • Assets in custody · $469M to $398M
      Mar 27, 2020 to Mar 26, 2021
    • Employees · 12 to 9
      Mar 27, 2020 to Mar 26, 2021
    • Discretionary RAUM · $559M to $465M
      Mar 27, 2020 to Mar 26, 2021
    • Pooled vehicle RAUM · $559M to $465M
      Mar 27, 2020 to Mar 26, 2021
    • RAUM · $559M to $465M
      Mar 27, 2020 to Mar 26, 2021
    • Accounts · 3 to 2
      Apr 24, 2019 to Mar 27, 2020
    • Advisory employees · 7 to 6
      Apr 24, 2019 to Mar 27, 2020
    • Pooled vehicle clients · 3 to 2
      Apr 24, 2019 to Mar 27, 2020
    • Assets in custody · $610M to $469M
      Apr 24, 2019 to Mar 27, 2020
    • Employees · 13 to 12
      Apr 24, 2019 to Mar 27, 2020
    • Private funds · 3 to 2
      Apr 24, 2019 to Mar 27, 2020
    • Discretionary RAUM · $751M to $559M
      Apr 24, 2019 to Mar 27, 2020
    • Pooled vehicle RAUM · $751M to $559M
      Apr 24, 2019 to Mar 27, 2020
    • RAUM · $751M to $559M
      Apr 24, 2019 to Mar 27, 2020
    • Assets in custody · $677M to $610M
      Mar 28, 2018 to Mar 27, 2019
    • Insurance-licensed employees · 1 to 0
      Mar 28, 2018 to Mar 27, 2019
    • Discretionary RAUM · $877M to $751M
      Mar 28, 2018 to Mar 27, 2019
    • Pooled vehicle RAUM · $877M to $751M
      Mar 28, 2018 to Mar 27, 2019
    • RAUM · $877M to $751M
      Mar 28, 2018 to Mar 27, 2019
    • Accounts · 4 to 3
      Jun 30, 2017 to Mar 28, 2018
    • Charity clients · unset to 0.0
      Jun 30, 2017 to Mar 28, 2018
    • Corporate clients · unset to 0.0
      Jun 30, 2017 to Mar 28, 2018
    • HNW clients · unset to 0.0
      Jun 30, 2017 to Mar 28, 2018
    • Individual clients · unset to 0.0
      Jun 30, 2017 to Mar 28, 2018
    • Pension plan clients · unset to 0.0
      Jun 30, 2017 to Mar 28, 2018
    • Pooled vehicle clients · unset to 3.0
      Jun 30, 2017 to Mar 28, 2018
    • Assets in custody · $744M to $677M
      Jun 30, 2017 to Mar 28, 2018
    • Employees · 15 to 13
      Jun 30, 2017 to Mar 28, 2018
    • Other offices · unset to 2.0
      Jun 30, 2017 to Mar 28, 2018
    Signals
    6 dated events
    • G••••• P••••• left N•• G••••••••• A•••••••• L•• for B••••• F••••• O••••• L•• (registered 1996-09-30)
      Mar 9, 2023 · Advisor changed firm · fact
    • N•• G••••••••• A•••••••• L•• reported RAUM $153.2M, down 67% from $465.1M (2021-07-01 to 2022-03-23)
      Mar 23, 2022 · RAUM change · derived
    • Nmn Gustavo Resendiz (Minority Owner, General Counsel And Chief Compliance Officer) no longer on Schedule A of N•• G••••••••• A•••••••• L•• (listed 2021-03-26, absent 2021-07-01)
      Jul 1, 2021 · Control person left · inference
    • Stephen Michael Weiner (Minority Owner And Vice President) no longer on Schedule A of N•• G••••••••• A•••••••• L•• (listed 2020-03-27, absent 2021-03-26)
      Mar 26, 2021 · Control person left · inference
    • N•• G••••••••• A•••••••• L•• reported RAUM $559.0M, down 26% from $750.7M (2019-04-24 to 2020-03-27)
      Mar 27, 2020 · RAUM change · derived
    • Daan Johan Goedkoop (Minority Owner And Vice President) no longer on Schedule A of N•• G••••••••• A•••••••• L•• (listed 2019-04-24, absent 2020-03-27)
      Mar 27, 2020 · Control person left · inference
    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