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 Oct 23, 2012
First filing on the tape Nov 21, 2011 · 3 filings
RAUM
$12.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$3.1M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$12.5M as of Oct 23, 2012
Nov 21, 2011$74.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
RAUM -83% over the last fiscal year
Practice profile
derived from the filing of Oct 23, 2012; every figure names its basis
- RAUM per advisor
- $3.1MderivedRAUM 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
- $178,534derivedRAUM 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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -83%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, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 70reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, commissionsreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••••••• P••••••• | Boca Raton, Fl | Oct 27, 2009 | 24 y | 0 |
| D••••• A•••••• C•••••Certified Financial Planner | Boca Raton, Fl | Mar 20, 2019 | 24 y | 0 |
| N••••••• P••••• P•••• | Westport, Ct | May 27, 2021 | 38 y | 0 |
| B•••• C•••••• R••• | Boca Raton, Fl | May 27, 2021 | 41 y | 2 |
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
- D•••• N••••••• D•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 12, 2005 · Other
- D••••• A••••• M••••• to S•••••• I••••••••• A•••••••• I•••Aug 17, 2004 · Other
Joined, latest
- B•••• C•••••• R••• from T•••• A••••••• G•••• L••May 27, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• N•••••••• P••••• · Presidentcontrolsince 12/1996 · owns less than 5%
- J•••• P••••• E•••• · Chief Compliance Officersince 10/2006 · owns less than 5%
Entity owners
- N•••• F•••••••• G••••• I••• · Shareholderdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Boca Raton, Fl · principal | 4 | 0 | 0 | ||
| Westport, Ct | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 590 to 70Apr 10, 2012 to Oct 23, 2012
- Discretionary RAUM · $12.5M to $12.5MApr 10, 2012 to Oct 23, 2012
- Non-discretionary RAUM · $62.0M to $0Apr 10, 2012 to Oct 23, 2012
- RAUM · $74.5M to $12.5MApr 10, 2012 to Oct 23, 2012
- Insurance-licensed employees · unset to 0.0Nov 21, 2011 to Apr 10, 2012
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.
How to reach
public business contact points only, each with its source
- Website
- noblecapitalmarkets.comreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $3.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026