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••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 120865SEC 801-61270IAPD
Latest filing Mar 23, 2016
First filing on the tape Nov 9, 2011 · 13 filings
RAUM
$346M
reported, Item 5.F
Discretionary
67%
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
6
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$346M as of Mar 23, 2016
Mar 21, 2012$335M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 23, 2016
Mar 20, 20130 then
Employees (5.A)6 as of Mar 23, 2016
Mar 20, 20137 then
Private funds: no history
RAUM -15% over the last fiscal year-1.4% a year over threeIARs 1 to 5
Practice profile
derived from the filing of Mar 23, 2016; every figure names its basis
RAUM per advisor
$69.2MderivedRAUM 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
$838,355derivedRAUM over accounts (5.F.2.f)
Discretionary
67%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-15%derivedbetween the last two annual amendments
Advisor growth, one year
+400%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
413reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C•••• S•••••• A•••• · Board Member Of Parent Companycontrol
    since 01/2014 · owns less than 5%
  • D•••• C•••••••• L••••• · Membercontrol
    since 07/2002 · owns less than 5%
  • F••••• K••••••••• L••••• · Board Member Of Parent Companycontrol
    since 01/2011 · owns less than 5%
  • L•••••••• P•••• A•••••• · Board Member And Chairman Executive Committee Of Parent Companycontrol
    since 07/2013 · owns less than 5%
  • S•••••••• C••••••• D••••• · Member, Principal & Portfolio Managercontrol
    since 07/2005 · owns 10% to 25%
  • S•••••••• J••• R••••• · Board Member Of Parent Companycontrol
    since 01/2011 · owns less than 5%
  • S••••• J••••• A••••• · Member, Principal & Portfolio Managercontrol
    since 07/2002 · owns 10% to 25%
  • V•••• R••••••• T••••••• · Member, Principal & Portfolio Managercontrol
    since 07/2002 · owns 10% to 25%
  • B••••••• F••••• E••••• · Majority Shareholder Of Parent Holding Companycontrol
    since 01/2011 · owns 25% to 50% of M•••••• I••••••••• H•••••••• I••.
  • L••••• L•••• R•• · Chief Compliance Officer And Chief Legal Officer
    since 03/2015 · owns less than 5%
Entity owners
  • M•••••• A•••• M••••••••• · Member (Manager)
    direct · owns 50% to 75%
  • M•••••• I••••••••• H•••••••• I•• · Holding Company
    indirect · owns 50% to 75% of M•••••• A•••• M••••••••• L••
Related persons
Schedule D 7.A
Advisers that list N•••••••• C•••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 508 to 413
    Jan 25, 2016 to Mar 23, 2016
  • BD registered reps · 2 to 5
    Jan 25, 2016 to Mar 23, 2016
  • Employees · 8 to 6
    Jan 25, 2016 to Mar 23, 2016
  • Insurance-licensed employees · 1 to 5
    Jan 25, 2016 to Mar 23, 2016
  • State-registered IARs · 1 to 5
    Jan 25, 2016 to Mar 23, 2016
  • Discretionary RAUM · $301M to $233M
    Jan 25, 2016 to Mar 23, 2016
  • Non-discretionary RAUM · $106M to $114M
    Jan 25, 2016 to Mar 23, 2016
  • RAUM · $407M to $346M
    Jan 25, 2016 to Mar 23, 2016
  • Accounts · 574 to 508
    Nov 25, 2014 to Mar 25, 2015
  • Advisory employees · 4 to 5
    Nov 25, 2014 to Mar 25, 2015
  • Employees · 7 to 8
    Nov 25, 2014 to Mar 25, 2015
  • Insurance-licensed employees · 0 to 1
    Nov 25, 2014 to Mar 25, 2015
  • Discretionary RAUM · $388M to $301M
    Nov 25, 2014 to Mar 25, 2015
  • Non-discretionary RAUM · $103M to $106M
    Nov 25, 2014 to Mar 25, 2015
  • RAUM · $490M to $407M
    Nov 25, 2014 to Mar 25, 2015
  • Accounts · 616 to 574
    Sep 24, 2013 to Mar 14, 2014
  • State-registered IARs · 0 to 1
    Sep 24, 2013 to Mar 14, 2014
  • Discretionary RAUM · $272M to $388M
    Sep 24, 2013 to Mar 14, 2014
  • Non-discretionary RAUM · $89.9M to $103M
    Sep 24, 2013 to Mar 14, 2014
  • RAUM · $362M to $490M
    Sep 24, 2013 to Mar 14, 2014
  • Accounts · 822 to 616
    May 15, 2012 to Mar 20, 2013
  • Advisory employees · unset to 4.0
    May 15, 2012 to Mar 20, 2013
  • BD registered reps · 0 to 2
    May 15, 2012 to Mar 20, 2013
  • Employees · unset to 7.0
    May 15, 2012 to Mar 20, 2013
  • State-registered IARs · unset to 0.0
    May 15, 2012 to Mar 20, 2013
  • Discretionary RAUM · $253M to $272M
    May 15, 2012 to Mar 20, 2013
  • Non-discretionary RAUM · $81.8M to $89.9M
    May 15, 2012 to Mar 20, 2013
  • RAUM · $335M to $362M
    May 15, 2012 to Mar 20, 2013
  • Accounts · 1,382 to 822
    Nov 9, 2011 to Mar 21, 2012
  • Business name · N•••••••• C•••••• M••••••••• L•• to N•••••••• C•••••• M••••••••• L••
    Nov 9, 2011 to Mar 21, 2012
  • Insurance-licensed employees · unset to 0.0
    Nov 9, 2011 to Mar 21, 2012
  • Legal name · N•••••••• C•••••• M••••••••• L•• to N•••••••• C•••••• M••••••••• L••
    Nov 9, 2011 to Mar 21, 2012
  • Discretionary RAUM · $460M to $253M
    Nov 9, 2011 to Mar 21, 2012
  • Non-discretionary RAUM · $130M to $81.8M
    Nov 9, 2011 to Mar 21, 2012
  • RAUM · $590M to $335M
    Nov 9, 2011 to Mar 21, 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.
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