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•••• I••••••••• M••••••••• C•••••••••

Former SEC-registered adviserMurray Hill, New JerseyCRD 112801SEC 801-56438IAPD
Latest filing Jun 27, 2019
First filing on the tape Feb 23, 2012 · 13 filings
RAUM
$30B
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
26
26 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$30B as of Mar 28, 2019
Feb 23, 2012$40B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Feb 23, 20120 then
Employees (5.A)26 as of Mar 28, 2019
Feb 22, 201325 then
Private funds: no history
RAUM -9.1% over the last fiscal year-1.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 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
$5.9BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
99%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
-9.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$29B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••• S••••• L••••••• · Vice President & Treasurercontrol
        since 04/2008 · owns less than 5%
      • G••••• J•••••••• · Director & Presidentcontrol
        since 04/2008 · owns less than 5%
      • I••••• W•••••• · Vice Presidentcontrol
        since 07/2016 · owns less than 5%
      • O••••••• A•••••• J••••• · Vice Presidentcontrol
        since 06/2015 · owns less than 5%
      • R•••••••• J•••• M••••• · Directorcontrol
        since 04/2016 · owns less than 5%
      • G•••••• K••••• A••• · Chief Compliance Officer & Secretary
        since 09/2006 · owns less than 5%
      Entity owners
      • N•••• O• A•••••• C••••••••• · Owns All Nimco Stock
        direct · owns 75% or more
      • N•••• C••••••••• · Owns 100% Of N•••• S•••••••• A•• N••••••• O• Stock
        indirect · owns 75% or more of N•••• S•••••••• A•• N••••••• O• · public reporting company
      • N•••• S•••••••• A•• N••••••• B••• · Owns 100% Of N•••• O• A•••••• C••••••••• Stock
        indirect · owns 75% or more of N•••• O• A•••••• C•••••••••
      • N•••• S•••••••• A•• N••••••• O• · Owns 100% Of N•••• S•••••••• And N••••••• B.V. Stock
        indirect · owns 75% or more of N•••• S•••••••• A•• N••••••• B•••
      Related persons
      Schedule D 7.A
      • F•••• B••••• I•••••••• C••••••
        real estaten
      • N•••••• I•••••••• C•••••• D••••••••• A••••••• C•••••• ••••
        real estaten
      Offices
      Schedule D 1.F, the 25 largest
      • Boston, MA12 employees
      What changed
      consecutive filings, newest first
      • Business name · A••••••••• I••••••••• M••••••••• C••••••••• to N•••• I••••••••• M••••••••• C•••••••••
        Mar 28, 2019 to Jun 27, 2019
      • Legal name · A••••••••• I••••••••• M••••••••• C••••••••• to N•••• I••••••••• M••••••••• C•••••••••
        Mar 28, 2018 to Mar 28, 2019
      • Discretionary RAUM · $33B to $30B
        Mar 28, 2018 to Mar 28, 2019
      • Pension RAUM · $32B to $29B
        Mar 28, 2018 to Mar 28, 2019
      • RAUM · $33B to $30B
        Mar 28, 2018 to Mar 28, 2019
      • Advisory employees · 25 to 26
        Jul 27, 2017 to Mar 28, 2018
      • Employees · 25 to 26
        Jul 27, 2017 to Mar 28, 2018
      • Other offices · unset to 1.0
        Jul 27, 2017 to Mar 28, 2018
      • Discretionary RAUM · $31B to $33B
        Jul 27, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 32072512201.0
        Jul 27, 2017 to Mar 28, 2018
      • RAUM · $31B to $33B
        Jul 27, 2017 to Mar 28, 2018
      • Discretionary RAUM · $31B to $31B
        Nov 28, 2016 to Mar 27, 2017
      • RAUM · $31B to $31B
        Nov 28, 2016 to Mar 27, 2017
      • Accounts · 6 to 5
        Feb 12, 2015 to Mar 18, 2016
      • Discretionary RAUM · $39B to $31B
        Feb 12, 2015 to Mar 18, 2016
      • RAUM · $39B to $31B
        Feb 12, 2015 to Mar 18, 2016
      • Discretionary RAUM · $38B to $39B
        Feb 24, 2014 to Feb 12, 2015
      • RAUM · $38B to $39B
        Feb 24, 2014 to Feb 12, 2015
      • Accounts · 7 to 6
        Feb 22, 2013 to Feb 24, 2014
      • Discretionary RAUM · $40B to $38B
        Feb 22, 2013 to Feb 24, 2014
      • RAUM · $40B to $38B
        Feb 22, 2013 to Feb 24, 2014
      • Advisory employees · unset to 25.0
        Oct 11, 2012 to Feb 22, 2013
      • Employees · unset to 25.0
        Oct 11, 2012 to Feb 22, 2013
      • Discretionary RAUM · $40B to $40B
        Oct 11, 2012 to Feb 22, 2013
      • RAUM · $40B to $40B
        Oct 11, 2012 to Feb 22, 2013
      Signals
      No event on the tape.
      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