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••••••• P••• I••••••••• C•••••• L••
Latest filing May 20, 2026
First filing on the tape Dec 22, 2011 · 19 filings
SEC status approved since Mar 4, 1985
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
10%
$138M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.4B as of May 20, 2026
Mar 30, 2012$260M then
HNW client RAUM$129M as of May 20, 2026
May 16, 2018$128M then
State-registered IARs (5.B.3)0 as of May 20, 2026
May 15, 20130 then
Employees (5.A)11 as of May 20, 2026
May 15, 20137 then
Private funds1 as of May 20, 2026
Mar 30, 20121 then
RAUM +9.1% over the last fiscal year-10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $6.2MderivedHNW RAUM over HNW clients
- Average account
- $12.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 83%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
- +1.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $66.3M, 1 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
- Charitable organizations$494M36%
- State and municipal entities$483M35%
- Pension and profit-sharing plans$161M12%
- High-net-worth individuals$129M9.4%
- Pooled investment vehicles$66.3M4.8%
- Corporations and businesses$32.4M2.4%
- Individuals$8.6M0.6%
- Individual clients
- 17reported
- HNW clients
- 21reported
- Pension plan clients
- n/areported
- Charitable clients
- 29reported
- Accounts
- 109reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $66.3M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.1 fund_share=0.05 institutional_share=0.83 related_bd=false related_bank=false bd_reps=0.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•• F••• | Other Private Fund | $60.2M | 83 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- N•••••••• P••••• L•••••• · Manager, Member & Presidentcontrolsince 01/1997 · owns 25% to 50%
- P•••• B••••• D•••• · Member & Chief Executive Officercontrolsince 07/2008 · owns 50% to 75%
- N•••••••• G••••••• B•••••• · Co-Trusteecontrolsince 01/1997 · owns 50% to 75% of N••••••• Family Trust
- N•••••••• P••••• L•••••• · Co-Trusteecontrolsince 01/1997 · owns 50% to 75% of N••••••• Family Trust
- B••••••••• D••••• L•••••• · Chief Compliance Officersince 04/2015 · owns less than 5%
Entity owners
- N••••••• F••••• T•••• U•••• A••••• 2•• 1••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 108 to 109May 20, 2025 to May 20, 2026
- Charity clients · 28 to 29May 20, 2025 to May 20, 2026
- HNW clients · 23 to 21May 20, 2025 to May 20, 2026
- Assets in custody · $52.6M to $66.3MMay 20, 2025 to May 20, 2026
- Discretionary RAUM · $1.1B to $1.4BMay 20, 2025 to May 20, 2026
- HNW RAUM · $121M to $129MMay 20, 2025 to May 20, 2026
- Individual RAUM · $7.1M to $8.6MMay 20, 2025 to May 20, 2026
- Pension RAUM · $139M to $161MMay 20, 2025 to May 20, 2026
- Pooled vehicle RAUM · $52.6M to $66.3MMay 20, 2025 to May 20, 2026
- RAUM · $1.1B to $1.4BMay 20, 2025 to May 20, 2026
- Accounts · 115 to 108May 21, 2024 to May 20, 2025
- Charity clients · 27 to 28May 21, 2024 to May 20, 2025
- HNW clients · 21 to 23May 21, 2024 to May 20, 2025
- Individual clients · 21 to 17May 21, 2024 to May 20, 2025
- Assets in custody · $60.2M to $52.6MMay 21, 2024 to May 20, 2025
- Financial planning clients · unset to May 21, 2024 to May 20, 2025
- Discretionary RAUM · $1.3B to $1.1BMay 21, 2024 to May 20, 2025
- HNW RAUM · $138M to $121MMay 21, 2024 to May 20, 2025
- Individual RAUM · $9.1M to $7.1MMay 21, 2024 to May 20, 2025
- Pension RAUM · $169M to $139MMay 21, 2024 to May 20, 2025
- Pooled vehicle RAUM · $60.2M to $52.6MMay 21, 2024 to May 20, 2025
- RAUM · $1.3B to $1.1BMay 21, 2024 to May 20, 2025
- Accounts · 109 to 115May 24, 2023 to May 21, 2024
- Advisory employees · 5 to 6May 24, 2023 to May 21, 2024
- Charity clients · 18 to 27May 24, 2023 to May 21, 2024
- HNW clients · 22 to 21May 24, 2023 to May 21, 2024
- Individual clients · 22 to 21May 24, 2023 to May 21, 2024
- Assets in custody · $56.5M to $60.2MMay 24, 2023 to May 21, 2024
- Employees · 10 to 11May 24, 2023 to May 21, 2024
- Discretionary RAUM · $1.3B to $1.3BMay 24, 2023 to May 21, 2024
- HNW RAUM · $110M to $138MMay 24, 2023 to May 21, 2024
- Individual RAUM · $8.3M to $9.1MMay 24, 2023 to May 21, 2024
- Pension RAUM · $208M to $169MMay 24, 2023 to May 21, 2024
- Pooled vehicle RAUM · $56.5M to $60.2MMay 24, 2023 to May 21, 2024
- RAUM · $1.3B to $1.3BMay 24, 2023 to May 21, 2024
- Accounts · 113 to 109May 20, 2022 to May 24, 2023
- Charity clients · 19 to 18May 20, 2022 to May 24, 2023
- HNW clients · 25 to 22May 20, 2022 to May 24, 2023
- Individual clients · 19 to 22May 20, 2022 to May 24, 2023
- Assets in custody · $60.1M to $56.5MMay 20, 2022 to May 24, 2023
Signals
3 dated events
- N••••••• P••• I••••••••• C•••••• L•• reported RAUM $1.4B, up 26% from $1.1B (2025-05-20 to 2026-05-20)May 20, 2026 · RAUM change · derived
- N••••••• P••• I••••••••• C•••••• L•• reported RAUM $1.3B, down 25% from $1.7B (2022-05-20 to 2023-05-24)May 24, 2023 · RAUM change · derived
- N••••••• P••• I••••••••• C•••••• L•• reported RAUM $1.9B, up 72% from $1.1B (2020-05-15 to 2021-05-19)May 19, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- N••••••• P••• I••••••••• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- w••.n•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 831-625-6355reportedpublic record, Form ADV, May 20, 2026
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
- Other 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