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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

N••••• I••••••••• M••••••••• N•••• A••••••• I•••

Institutional managerNew York, New YorkCRD 116837SEC 801-60715IAPD
Latest filing May 6, 2026
First filing on the tape Mar 29, 2012 · 45 filings
SEC status approved since Nov 20, 2001
RAUM
$1.1B
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$1.1B as of May 6, 2026
Mar 29, 2012$2.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 6, 2026
Mar 29, 20120 then
Employees (5.A)4 as of May 6, 2026
Feb 22, 20133 then
Private funds: no history
RAUM -16% over the last fiscal year+1.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 6, 2026; every figure names its basis
Archetypes, each a printed rule
  • b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
  • 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
unknownderivedHNW RAUM over HNW clients
Average account
$211MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
73%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
-16%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$768M73%
  • Investment companies$286M27%
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
% of AUMreported
Class basis
private_client_share=0.0 fund_share=0.27 institutional_share=0.73 related_bd=true related_bank=true 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E•••••• L••••••• L•••• M•••• · Directorcontrol
        since 07/2023 · owns less than 5%
      • O•••••••• J••••• P•••• · Chief Compliance Officercontrol
        since 01/2023 · owns less than 5%
      • S•••••• J••••••• G••• · Chief Financial Officercontrol
        since 03/2004 · owns less than 5%
      • S••••••• C••••••••• G•••••• · Ceo & Presidentcontrol
        since 11/2020 · owns less than 5%
      • V•••••• M••••• H•••••• · Chairperson & Directorcontrol
        since 08/2021 · owns less than 5%
      Entity owners
      • N••••• I••••••••• M••••••••• A• · Owner
        direct · owns 75% or more
      • N••••• A•••• M••••••••• H•••••• A• · Owner
        indirect · owns 75% or more of N••••• I••••••••• M••••••••• A•
      • N••••• B••• A•• · Owner
        indirect · owns 75% or more of N••••• A•••• M••••••••• H•••••• A•
      Related persons
      Schedule D 7.A
      • N••••• A•••• M••••••••• S•••••••• P••• L••
        investment advisern
      • N••••• A•••• M••••••••• U• L•••
        investment advisern
      • N••••• B••• A••• N•• Y••• B•••••
        n
      • N••••• I••••••••• F•••• S•••
        investment adviserpooled vehicle sponsorn
      • N••••• I••••••••• M••••••••• A•
        broker-dealerinvestment advisery
      • N••••• P•••••• E••••• H•••••• A••
        pooled vehicle sponsorn
      • N••••• S••••••••• L••
        broker-dealern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $1.3B to $1.1B
        Mar 27, 2025 to Mar 26, 2026
      • RAUM · $1.3B to $1.1B
        Mar 27, 2025 to Mar 26, 2026
      • Financial planning clients · 0 to 0
        Jan 31, 2025 to Mar 27, 2025
      • Discretionary RAUM · $884M to $1.3B
        Jan 31, 2025 to Mar 27, 2025
      • RAUM · $884M to $1.3B
        Jan 31, 2025 to Mar 27, 2025
      • Discretionary RAUM · $1.0B to $884M
        Jul 31, 2023 to Mar 26, 2024
      • RAUM · $1.0B to $884M
        Jul 31, 2023 to Mar 26, 2024
      • Accounts · 4 to 5
        Jan 17, 2023 to Mar 31, 2023
      • Discretionary RAUM · $2.7B to $1.0B
        Jan 17, 2023 to Mar 31, 2023
      • RAUM · $2.7B to $1.0B
        Jan 17, 2023 to Mar 31, 2023
      • Employees · 6 to 4
        Feb 4, 2022 to Mar 31, 2022
      • Discretionary RAUM · $2.4B to $2.7B
        Feb 4, 2022 to Mar 31, 2022
      • RAUM · $2.4B to $2.7B
        Feb 4, 2022 to Mar 31, 2022
      • Advisory employees · 3 to 2
        Jan 7, 2021 to Mar 31, 2021
      • Employees · 5 to 6
        Jan 7, 2021 to Mar 31, 2021
      • Financial planning clients · unset to 0
        Jan 7, 2021 to Mar 31, 2021
      • Discretionary RAUM · $2.7B to $2.4B
        Jan 7, 2021 to Mar 31, 2021
      • RAUM · $2.7B to $2.4B
        Jan 7, 2021 to Mar 31, 2021
      • Discretionary RAUM · $2.6B to $2.7B
        Sep 20, 2019 to Mar 31, 2020
      • RAUM · $2.6B to $2.7B
        Sep 20, 2019 to Mar 31, 2020
      • Accounts · 3 to 4
        Mar 29, 2019 to Sep 20, 2019
      • Advisory employees · 2 to 3
        Mar 29, 2019 to Sep 20, 2019
      • Advisory activities · 1 to 2
        Mar 29, 2019 to Sep 20, 2019
      • Employees · 4 to 5
        Mar 29, 2019 to Sep 20, 2019
      • Financial planning clients · 0 to unset
        Mar 29, 2019 to Sep 20, 2019
      • Discretionary RAUM · $1.9B to $2.6B
        Mar 29, 2019 to Sep 20, 2019
      • RAUM · $1.9B to $2.6B
        Mar 29, 2019 to Sep 20, 2019
      • Related bank · false to true
        Mar 29, 2019 to Sep 20, 2019
      • Discretionary RAUM · $1.8B to $1.9B
        Oct 31, 2018 to Mar 29, 2019
      • RAUM · $1.8B to $1.9B
        Oct 31, 2018 to Mar 29, 2019
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $1.9B to $1.8B
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $1.9B to $1.8B
        Mar 31, 2017 to Mar 30, 2018
      • Advisory activities · 2 to 1
        May 2, 2016 to Mar 31, 2017
      • Employees · 3 to 4
        May 2, 2016 to Mar 31, 2017
      • Discretionary RAUM · $2.1B to $1.9B
        May 2, 2016 to Mar 31, 2017
      • RAUM · $2.1B to $1.9B
        May 2, 2016 to Mar 31, 2017
      • Accounts · 2 to 3
        Jan 4, 2016 to Mar 1, 2016
      • Discretionary RAUM · $2.4B to $2.1B
        Jan 4, 2016 to Mar 1, 2016
      • RAUM · $2.4B to $2.1B
        Jan 4, 2016 to Mar 1, 2016
      Signals
      15 dated events
      • N••••• I••••••••• M••••••••• N•••• A••••••• I••• reported RAUM $1.3B, up 43% from $884.0M (2025-01-31 to 2025-03-27)
        Mar 27, 2025 · RAUM change · derived
      • Gudmund Ulrik Modigh (Director) no longer on Schedule A of N••••• I••••••••• M••••••••• N•••• A••••••• I••• (listed 2023-07-31, absent 2024-03-26)
        Mar 26, 2024 · Control person left · inference
      • Jan M•••• R•••• (Director) no longer on Schedule A of N••••• I••••••••• M••••••••• N•••• A••••••• I••• (listed 2023-05-15, absent 2023-07-31)
        Jul 31, 2023 · Control person left · inference
      • M•••• L••• E•••••• L•••••• (Director) appeared on Schedule A of N••••• I••••••••• M••••••••• N•••• A••••••• I•••
        Jul 31, 2023 · Control person joined · fact
      • N••••• I••••••••• M••••••••• N•••• A••••••• I••• reported RAUM $1.0B, down 62% from $2.7B (2023-01-17 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • P•••• O••••••• J•••• (Chief Compliance Officer) appeared on Schedule A of N••••• I••••••••• M••••••••• N•••• A••••••• I•••
        Jan 17, 2023 · Control person joined · fact
      • Jeffrey Michael Andrews (Chief Compliance Officer) no longer on Schedule A of N••••• I••••••••• M••••••••• N•••• A••••••• I••• (listed 2022-09-02, absent 2023-01-17)
        Jan 17, 2023 · Control person left · inference
      • Jeffrey Michael Andrews (Chief Compliance Officer) appeared on Schedule A of N••••• I••••••••• M••••••••• N•••• A••••••• I•••
        Sep 2, 2022 · Control person joined · fact
      • Yvette Lisa Ruiz (Chief Compliance Officer) no longer on Schedule A of N••••• I••••••••• M••••••••• N•••• A••••••• I••• (listed 2021-09-10, absent 2022-01-11)
        Jan 11, 2022 · Control person left · inference
      • P•••• J•••• O••••••• (Chief Compliance Officer) appeared on Schedule A of N••••• I••••••••• M••••••••• N•••• A••••••• I•••
        Jan 11, 2022 · Control person joined · fact
      • E•••••••• J•••••• M••••••• (Chairman & Director) no longer on Schedule A of N••••• I••••••••• M••••••••• N•••• A••••••• I••• (listed 2021-05-28, absent 2021-09-10)
        Sep 10, 2021 · Control person left · inference
      • H•••••• V••••• (Chairperson & Director) appeared on Schedule A of N••••• I••••••••• M••••••••• N•••• A••••••• I•••
        Sep 10, 2021 · Control person joined · fact
      • G Christopher Spitler (Ceo & President) appeared on Schedule A of N••••• I••••••••• M••••••••• N•••• A••••••• I•••
        Dec 15, 2020 · Control person joined · fact
      • Kjelsrud Eivind Lorgen (Ceo & President) no longer on Schedule A of N••••• I••••••••• M••••••••• N•••• A••••••• I••• (listed 2020-03-31, absent 2020-12-15)
        Dec 15, 2020 · Control person left · inference
      • N••••• I••••••••• M••••••••• N•••• A••••••• I••• reported RAUM $2.6B, up 36% from $1.9B (2019-03-29 to 2019-09-20)
        Sep 20, 2019 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Principal office phone
      212-318-9300reportedpublic record, Form ADV, May 6, 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
      Institutional managerderiveda 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