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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SEC-registered adviser
N••••• C•••••• M••••••••• I•••
Latest filing Sep 19, 2025
First filing on the tape Mar 28, 2012 · 18 filings
SEC status approved since Oct 13, 2017
RAUM
$137M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
93%
$128M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$137M as of Sep 19, 2025
Sep 26, 2018$102M then
HNW client RAUM$98.6M as of Sep 19, 2025
Sep 26, 2018$42.0M then
State-registered IARs (5.B.3)4 as of Sep 19, 2025
Sep 26, 20182 then
Employees (5.A)6 as of Sep 19, 2025
Sep 26, 20184 then
Private funds: no history
RAUM +10% over the last fiscal year+1.8% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Sep 19, 2025; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 118derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $517,293derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 6.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $909,916, 7 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$98.6M72%
- Individuals$29.0M21%
- Charitable organizations$9.0M6.6%
- Individual clients
- 82reported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 264reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $909,916 for 7 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• A•••• B•••••• | Henrico, Va | Jun 22, 2006 | 21 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- V••••• C•••••• P•••• to C••••••••• I••••••••• R•••••••Mar 1, 2023 · RIA to a state-registered adviser
- M•••• B••••• K•••• to N•• E•••••• S••••••••• C•••••••••Aug 31, 2006 · Other
Joined, latest
- V••••• C•••••• P•••• from T••••• A••••••• S•••••••• I•••Feb 8, 2022 · Affiliated broker-dealer or bank to independent RIA
- J•••••• A•••• B•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 22, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• R••••••• J••• · Chief Compliance Officercontrolsince 05/1993 · owns less than 5%
- R••••••• R•••••• S•••• · Presidentcontrolsince 10/2024 · owns less than 5%
Entity owners
- R•••••• A•••• M••••••••• L•• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- R•••••• A•••• M••••••••• L••investment adviseryRAUM $537M
Advisers that list N••••• C•••••• M••••••••• I••• as a related person
- 138706 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Sep 19, 2025financial planning (Item 5.G.1): no on the filing of 2024-12-26, yes on the filing of 2025-09-19peers: independent wealth managers, $100M to $500M (5,676)
- compensation changedChange between filings · filing Sep 19, 2025hourly charges (Item 5.E.2): yes on the filing of 2024-12-26, no on the filing of 2025-09-19peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 294 to 264Dec 26, 2024 to Sep 19, 2025
- Advisory employees · 4 to 2Dec 26, 2024 to Sep 19, 2025
- Advisory activities · 2 to 3Dec 26, 2024 to Sep 19, 2025
- HNW clients · 37 to 36Dec 26, 2024 to Sep 19, 2025
- Individual clients · 113 to 82Dec 26, 2024 to Sep 19, 2025
- Assets in custody · $1.0M to $909,916Dec 26, 2024 to Sep 19, 2025
- Employees · 4 to 6Dec 26, 2024 to Sep 19, 2025
- Financial planning clients · unset to 1-10Dec 26, 2024 to Sep 19, 2025
- HQ city · NORFOLK to HENRICODec 26, 2024 to Sep 19, 2025
- Discretionary RAUM · $121M to $124MDec 26, 2024 to Sep 19, 2025
- HNW RAUM · $87.2M to $98.6MDec 26, 2024 to Sep 19, 2025
- Individual RAUM · $37.3M to $29.0MDec 26, 2024 to Sep 19, 2025
- Non-discretionary RAUM · $11.9M to $12.9MDec 26, 2024 to Sep 19, 2025
- RAUM · $133M to $137MDec 26, 2024 to Sep 19, 2025
- Advisory employees · 2 to 4Aug 30, 2024 to Dec 1, 2024
- Employees · 2 to 4Aug 30, 2024 to Dec 1, 2024
- State-registered IARs · 2 to 4Aug 30, 2024 to Dec 1, 2024
- Related adviser · false to trueAug 30, 2024 to Dec 1, 2024
- Assets in custody · $852,561 to $1.0MAug 22, 2024 to Aug 30, 2024
- Accounts · 288 to 294Sep 18, 2023 to Aug 22, 2024
- HNW clients · 39 to 37Sep 18, 2023 to Aug 22, 2024
- Individual clients · 133 to 113Sep 18, 2023 to Aug 22, 2024
- Assets in custody · $855,632 to $852,561Sep 18, 2023 to Aug 22, 2024
- Discretionary RAUM · $113M to $121MSep 18, 2023 to Aug 22, 2024
- HNW RAUM · $80.5M to $87.2MSep 18, 2023 to Aug 22, 2024
- Individual RAUM · $36.1M to $37.3MSep 18, 2023 to Aug 22, 2024
- Non-discretionary RAUM · $10.9M to $11.9MSep 18, 2023 to Aug 22, 2024
- RAUM · $124M to $133MSep 18, 2023 to Aug 22, 2024
- Accounts · 285 to 288Sep 27, 2022 to Sep 18, 2023
- Advisory employees · 3 to 2Sep 27, 2022 to Sep 18, 2023
- Individual clients · 129 to 133Sep 27, 2022 to Sep 18, 2023
- Assets in custody · $1.0M to $855,632Sep 27, 2022 to Sep 18, 2023
- Employees · 3 to 2Sep 27, 2022 to Sep 18, 2023
- State-registered IARs · 3 to 2Sep 27, 2022 to Sep 18, 2023
- Other offices · 1 to 0Sep 27, 2022 to Sep 18, 2023
- Discretionary RAUM · $106M to $113MSep 27, 2022 to Sep 18, 2023
- HNW RAUM · $75.7M to $80.5MSep 27, 2022 to Sep 18, 2023
- Individual RAUM · $33.6M to $36.1MSep 27, 2022 to Sep 18, 2023
- Non-discretionary RAUM · $10.4M to $10.9MSep 27, 2022 to Sep 18, 2023
- RAUM · $116M to $124MSep 27, 2022 to Sep 18, 2023
Signals
4 dated events
- Scott Robert Redmond (President) appeared on Schedule A of N••••• C•••••• M••••••••• I•••Dec 1, 2024 · Control person joined · fact
- Mulheren Kimberly Norton (Shareholder) no longer on Schedule A of N••••• C•••••• M••••••••• I••• (listed 2024-08-30, absent 2024-12-01)Dec 1, 2024 · Control person left · inference
- V••••• C•••••• P•••• left N••••• C•••••• M••••••••• I••• for C••••••••• I••••••••• R••••••• (registered 2023-08-22)Mar 1, 2023 · Advisor changed firm · fact
- N••••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Sep 15, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 757-623-1200reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- N•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (757) 623-1200reportedpublic record, Form ADV, Sep 19, 2025
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026