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••••••••• C•••••• M••••••••• I•••
Latest filing Nov 27, 2019
First filing on the tape Mar 28, 2012 · 14 filings
RAUM
$5.4M
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$5.4M gross assets
History
14 filings and snapshots on the tape
RAUM$5.4M as of Mar 22, 2019
Mar 28, 2012$474M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2019
Apr 2, 20130 then
Employees (5.A)8 as of Mar 22, 2019
Apr 2, 201317 then
Private funds2 as of Mar 22, 2019
Apr 2, 20134 then
RAUM -64% over the last fiscal year-80% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 27, 2019; 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
- $2.7MderivedRAUM 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
- -64%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$5.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••••••••• I••••••••• P••••••• F••• L••• 3•no longer reported | Venture Capital Fund | $193M | 2 | Oct 3, 2012 |
| N••••••••• I••••••••• P••••••• F••• L••• 1• | Venture Capital Fund | $4.2M | 8 | Oct 3, 2012 |
| N••••••••• I••••••••• P••••••• F••• L••• 2• | Venture Capital Fund | $1.3M | 5 | Oct 3, 2012 |
| E••• R•••• O••••••• L••••••no longer reported | Hedge Fund | $1.1M | 1 | Oct 3, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M••••• D•••••• C•••••• · Managing Director, Vice-Chair And Director Of Applicantcontrolsince 08/2007 · owns less than 5%
- P••••••••• D••••• G••••• · Chair, Chief Executive Officer And Director Of Applicant And 91% Owner Of P•••••••• E••••••• I•••controlsince 08/2001 · owns less than 5%
- C••••••• S•••••• L••• · Vice-President And Chief Compliance Officersince 03/2016 · owns less than 5%
Entity owners
- N••••••••• C•••••• I••• · 100% Owner Of N••••••••• C•••••• M••••••••• I•••direct · owns 75% or more
- P•••••••• E••••••• I••• · 100% Owner Of N••••••••• C•••••• I•••direct · owns 75% or more
Related persons
Schedule D 7.A
- C••• M•••••• L••broker-dealern
- N••••••••• I• 1• G• I•••pooled vehicle sponsorn
- N••••••••• I• 2• G• I•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 2Mar 27, 2018 to Mar 22, 2019
- Advisory employees · 3 to 5Mar 27, 2018 to Mar 22, 2019
- Advisory activities · 2 to 1Mar 27, 2018 to Mar 22, 2019
- BD registered reps · 0 to 4Mar 27, 2018 to Mar 22, 2019
- Corporate clients · 1.0 to unsetMar 27, 2018 to Mar 22, 2019
- Pooled vehicle clients · 4 to 2Mar 27, 2018 to Mar 22, 2019
- Employees · 9 to 8Mar 27, 2018 to Mar 22, 2019
- Discretionary RAUM · $15.2M to $5.4MMar 27, 2018 to Mar 22, 2019
- Pooled vehicle RAUM · $13.8M to $5.4MMar 27, 2018 to Mar 22, 2019
- RAUM · $15.2M to $5.4MMar 27, 2018 to Mar 22, 2019
- Related broker-dealer · false to trueMar 27, 2018 to Mar 22, 2019
- Accounts · 6 to 5Mar 27, 2017 to Mar 27, 2018
- Advisory employees · 5 to 3Mar 27, 2017 to Mar 27, 2018
- Corporate clients · unset to 1.0Mar 27, 2017 to Mar 27, 2018
- Pooled vehicle clients · unset to 4.0Mar 27, 2017 to Mar 27, 2018
- Employees · 8 to 9Mar 27, 2017 to Mar 27, 2018
- Other offices · unset to 0.0Mar 27, 2017 to Mar 27, 2018
- Discretionary RAUM · $38.9M to $15.2MMar 27, 2017 to Mar 27, 2018
- Pooled vehicle RAUM · unset to 13761594.0Mar 27, 2017 to Mar 27, 2018
- RAUM · $38.9M to $15.2MMar 27, 2017 to Mar 27, 2018
- Accounts · 13 to 6Aug 17, 2016 to Mar 27, 2017
- Advisory employees · 10 to 5Aug 17, 2016 to Mar 27, 2017
- Employees · 21 to 8Aug 17, 2016 to Mar 27, 2017
- Private funds · 4 to 2Aug 17, 2016 to Mar 27, 2017
- Discretionary RAUM · $721M to $38.9MAug 17, 2016 to Mar 27, 2017
- RAUM · $721M to $38.9MAug 17, 2016 to Mar 27, 2017
- Accounts · 12 to 13Feb 29, 2016 to Mar 30, 2016
- Discretionary RAUM · $894M to $721MFeb 29, 2016 to Mar 30, 2016
- RAUM · $894M to $721MFeb 29, 2016 to Mar 30, 2016
- Accounts · 13 to 12Jun 3, 2014 to Mar 30, 2015
- Advisory employees · 12 to 10Jun 3, 2014 to Mar 30, 2015
- Employees · 20 to 21Jun 3, 2014 to Mar 30, 2015
- Discretionary RAUM · $976M to $894MJun 3, 2014 to Mar 30, 2015
- RAUM · $976M to $894MJun 3, 2014 to Mar 30, 2015
- Accounts · 14 to 13Apr 2, 2013 to Mar 27, 2014
- Advisory employees · 5 to 12Apr 2, 2013 to Mar 27, 2014
- Assets in custody · unset to 0.0Apr 2, 2013 to Mar 27, 2014
- Custody of client assets · false to trueApr 2, 2013 to Mar 27, 2014
- Employees · 17 to 20Apr 2, 2013 to Mar 27, 2014
- Discretionary RAUM · $957M to $976MApr 2, 2013 to Mar 27, 2014
Signals
1 dated events
- Nilesh Kothari (Chief Legal Officer) no longer on Schedule A of N••••••••• C•••••• M••••••••• I••• (listed 2018-03-27, absent 2019-03-22)Mar 22, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- N••••••••• C•••••• M••••••••• I••• · Venture Capitalshared crd · organization
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