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•••••••••
Legal name N•••••• C•••••• M••••••••• L••
Latest filing Aug 26, 2026
First filing on the tape Mar 23, 2012 · 24 filings
SEC status approved since Mar 13, 1992
RAUM
$630M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$629M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$210M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$630M as of Aug 26, 2026
Mar 23, 2012$173M then
HNW client RAUM$603M as of Aug 26, 2026
Mar 26, 2018$333M then
State-registered IARs (5.B.3)3 as of Aug 26, 2026
Mar 23, 20120 then
Employees (5.A)4 as of Aug 26, 2026
Mar 25, 20133 then
Private funds: no history
RAUM +11% over the last fiscal year+12% a year over threeIARs 3 to 3offices 3 to 4
Practice profile
derived from the filing of Aug 26, 2026; every figure names its basis
- RAUM per advisor
- $210MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $24.2M, 17 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$603M96%
- Individuals$26.6M4.2%
- Charitable organizations$556,0930.1%
- Corporations and businesses$343,3960.1%
- Individual clients
- 63reported
- HNW clients
- 128reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 609reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $24.2M for 17 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• G••••• P••••Certified Financial Planner, Chartered Financial Analyst | Foster City, Ca | Sep 1, 2022 | 22 y | 2 |
| E•••••••• D•••••••• A••••••••Certified Financial Planner, Chartered Financial Analyst | Foster City, Ca | Nov 4, 2022 | 11 y | 0 |
| C••••••• A••••• C••••• G•••••Certified Financial Planner | Foster City, Ca | Mar 3, 2023 | 10 y | 0 |
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
none on the tape
Joined, latest
- D••••• G••••• P•••• from B••• F•••••••• G••••Sep 1, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• E••••••••• D•••••••• · Partnercontrolsince 01/2021 · owns 25% to 50%
- G•••••• C•••••••• A••••• C••••• · Partner & Chief Compliance Officercontrolsince 01/2021 · owns 25% to 50%
- P••••• D•••••• G••••• · Partnercontrolsince 01/2021 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Foster City, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 584 to 609Jun 18, 2025 to Mar 11, 2026
- HNW clients · 123 to 128Jun 18, 2025 to Mar 11, 2026
- Individual clients · 59 to 63Jun 18, 2025 to Mar 11, 2026
- Assets in custody · $23.1M to $24.2MJun 18, 2025 to Mar 11, 2026
- Financial planning clients · 251-500 to 101-250Jun 18, 2025 to Mar 11, 2026
- Discretionary RAUM · $569M to $630MJun 18, 2025 to Mar 11, 2026
- HNW RAUM · $541M to $603MJun 18, 2025 to Mar 11, 2026
- Individual RAUM · $26.9M to $26.6MJun 18, 2025 to Mar 11, 2026
- RAUM · $569M to $630MJun 18, 2025 to Mar 11, 2026
- Financial planning clients · 251-500 to 251-500Apr 4, 2025 to Jun 18, 2025
- Other offices · 3 to 4Apr 4, 2025 to Jun 18, 2025
- Accounts · 564 to 584Mar 26, 2024 to Apr 4, 2025
- HNW clients · 121 to 123Mar 26, 2024 to Apr 4, 2025
- Individual clients · 54 to 59Mar 26, 2024 to Apr 4, 2025
- Assets in custody · $20.6M to $23.1MMar 26, 2024 to Apr 4, 2025
- Financial planning clients · 101-250 to 251-500Mar 26, 2024 to Apr 4, 2025
- Other offices · 0 to 3Mar 26, 2024 to Apr 4, 2025
- Discretionary RAUM · $506M to $569MMar 26, 2024 to Apr 4, 2025
- HNW RAUM · $479M to $541MMar 26, 2024 to Apr 4, 2025
- Individual RAUM · $25.6M to $26.9MMar 26, 2024 to Apr 4, 2025
- RAUM · $506M to $569MMar 26, 2024 to Apr 4, 2025
- Accounts · 561 to 564Jul 17, 2023 to Mar 26, 2024
- Advisory employees · 6 to 4Jul 17, 2023 to Mar 26, 2024
- HNW clients · 114 to 121Jul 17, 2023 to Mar 26, 2024
- Individual clients · 59 to 54Jul 17, 2023 to Mar 26, 2024
- Assets in custody · $18.8M to $20.6MJul 17, 2023 to Mar 26, 2024
- Employees · 6 to 4Jul 17, 2023 to Mar 26, 2024
- Discretionary RAUM · $444M to $506MJul 17, 2023 to Mar 26, 2024
- HNW RAUM · $412M to $479MJul 17, 2023 to Mar 26, 2024
- Individual RAUM · $25.6M to $25.6MJul 17, 2023 to Mar 26, 2024
- RAUM · $444M to $506MJul 17, 2023 to Mar 26, 2024
- Accounts · 543 to 561Mar 25, 2022 to Mar 17, 2023
- Individual clients · 50 to 59Mar 25, 2022 to Mar 17, 2023
- Assets in custody · $27.1M to $18.8MMar 25, 2022 to Mar 17, 2023
- State-registered IARs · 1 to 3Mar 25, 2022 to Mar 17, 2023
- Discretionary RAUM · $515M to $444MMar 25, 2022 to Mar 17, 2023
- HNW RAUM · $483M to $412MMar 25, 2022 to Mar 17, 2023
- Individual RAUM · $24.1M to $25.6MMar 25, 2022 to Mar 17, 2023
- RAUM · $515M to $444MMar 25, 2022 to Mar 17, 2023
- Accounts · 523 to 543Mar 26, 2021 to Mar 25, 2022
Signals
7 dated events
- John Daniel Neumann (President) no longer on Schedule A of N•••••• C•••••• M••••••••• (listed 2023-07-17, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- Allen David Richardson (Secretary, Chief Financial Officer) no longer on Schedule A of N•••••• C•••••• M••••••••• (listed 2023-07-17, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- Marie Ninette Hereford (Chief Compliance Officer & Dir Of Operations & Client Services) no longer on Schedule A of N•••••• C•••••• M••••••••• (listed 2023-03-17, absent 2023-07-17)Jul 17, 2023 · Control person left · inference
- Gerald Daniel Platt (Partner) appeared on Schedule A of N•••••• C•••••• M•••••••••Mar 26, 2021 · Control person joined · fact
- Amanda Caroline Gorham (Partner) appeared on Schedule A of N•••••• C•••••• M•••••••••Mar 26, 2021 · Control person joined · fact
- Dimitrova Ekaterina Atanassov (Partner) appeared on Schedule A of N•••••• C•••••• M•••••••••Mar 26, 2021 · Control person joined · fact
- Marie Ninette Hereford (Chief Compliance Officer & Dir Of Operations & Client Services) appeared on Schedule A of N•••••• C•••••• M•••••••••Mar 26, 2020 · Control person joined · 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
- Firm profile
- LINKEDIN.COM/COMPANY/N••••••-CAPITAL-MANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
- Website
- N••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 650-548-9200reportedpublic record, Form ADV, Aug 26, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $210Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026