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•• F•••••••• L••
Latest filing Jun 28, 2024
First filing on the tape Dec 22, 2011 · 32 filings
RAUM
$519M
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
37
$694M gross assets
History
32 filings and snapshots on the tape
RAUM$519M as of Mar 29, 2024
Mar 29, 2012$314M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 28, 20130 then
Employees (5.A)0 as of Mar 29, 2024
Mar 28, 20130 then
Private funds36 as of Mar 29, 2024
Mar 29, 201227 then
RAUM +3.5% over the last fiscal year+3.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 28, 2024; 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
- $14.0MderivedRAUM 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
- +3.5%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $519M, 37 clientsreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Pooled investment vehicles$519M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 37reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $519M for 37 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
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• E••••• C•••••• P••••••• 2•••• L•• | Private Equity Fund | $987,000 | 48 | Mar 29, 2012 |
| K••• E••••• P•••••••• L••no longer reported | Private Equity Fund | $551,000 | 30 | Mar 29, 2012 |
| P•••••• E••••• C•••••• P••••••• 2••• L••••• O•••• L•• | Private Equity Fund | $100,000 | 9 | Mar 29, 2012 |
| P•••••• E••••• C•••••• P••••••• 2••• L•• L••no longer reported | Private Equity Fund | $71,000 | 2 | Mar 29, 2012 |
| I••••••• R••• O••••••••• F•••• L••••no longer reported | Hedge Fund | $39,000 | 7 | Mar 30, 2015 |
| P•••••• E••••• C•••••• P•••••••• L••no longer reported | Private Equity Fund | $0 | 21 | Mar 29, 2012 |
| D••• O••••••••• P••••••• 2••• | Private Equity Fund | $0 | 31 | Mar 26, 2021 |
| L•••••• C•••••• F•••• L••no longer reported | Private Equity Fund | $0 | 23 | Mar 29, 2012 |
| K••• E••••• P••••••• 2•••• L•• | Private Equity Fund | $0 | 30 | Mar 29, 2012 |
| P•••••• E••••• C•••••• P••••••• 2••• N•• L••no longer reported | Private Equity Fund | $0 | 12 | Mar 29, 2012 |
| P•••••• E••••• C•••••• P••••••• 2•••• L••no longer reported | Private Equity Fund | $0 | 29 | Mar 29, 2012 |
| T•••• E••• C•••••• I• L••no longer reported | Private Equity Fund | $0 | 26 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••• S••••• W•••••• · General Counselcontrolsince 06/2024 · owns less than 5%
- E••••• S••••••• C••• · Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- G•••••• L••••••• L••••••• C•••• · Chief Operating Officercontrolsince 06/2024 · owns less than 5%
- H•••••••• A•••••• M••• · Head Of Solutionscontrolsince 06/2024 · owns less than 5%
- M••••••••• K••• · Chief Executive Officercontrolsince 06/2024 · owns less than 5%
- M•••• A••• · Chief Financial Officercontrolsince 06/2024 · owns less than 5%
- S•••••• J••••• L••• · Chief M•••Eting Officercontrolsince 06/2024 · owns less than 5%
- W•••••• P••••• Y•••• · Head Of Alternativescontrolsince 06/2024 · owns less than 5%
Entity owners
- C•••••• P•••••• W••••• L•• · Ownerdirect · owns 75% or more
- C• F•••••••• C••• · Ownerindirect · owns 75% or more of C•••••• H••••••• I•• · public reporting company
- C•••••• H••••••• I•• · Ownerindirect · owns 75% or more of C•••••• M••••••••• L••
- C•••••• M••••••••• L•• · Ownerindirect · owns 75% or more of C•••••• P••••••• L••
- C•••••• P••••••• L•• · Ownerindirect · owns 75% or more of C•••••• P•••••• W••••• L••
Related persons
Schedule D 7.A
- C•••••• Ia LPinvestment advisernRAUM $5.1B
- C••••••investment adviseryRAUM $165B
- N•• P••••••• L••investment advisernRAUM $1.0B
Advisers that list N•• F•••••••• L•• as a related person
- 110039 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 36 to 37Jun 3, 2024 to Jun 28, 2024
- Private funds · 36 to 37Jun 3, 2024 to Jun 28, 2024
- Business name · F••••••• I••••••••• C••••••• I••• to N•• F•••••••• L••May 31, 2024 to Jun 3, 2024
- Legal name · F••••••• I••••••••• C••••••• I••• to N•• F•••••••• L••May 31, 2024 to Jun 3, 2024
- Organization form · Corporation to Limited Liability CompanyMay 31, 2024 to Jun 3, 2024
- Succession · true to falseMay 31, 2024 to Jun 3, 2024
- Succession · false to trueMar 29, 2024 to May 31, 2024
- Accounts · 38 to 36Jul 14, 2023 to Mar 29, 2024
- Pooled vehicle clients · 38 to 36Jul 14, 2023 to Mar 29, 2024
- Assets in custody · $502M to $519MJul 14, 2023 to Mar 29, 2024
- Private funds · 38 to 36Jul 14, 2023 to Mar 29, 2024
- Discretionary RAUM · $502M to $519MJul 14, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $502M to $519MJul 14, 2023 to Mar 29, 2024
- RAUM · $502M to $519MJul 14, 2023 to Mar 29, 2024
- Accounts · 39 to 38Feb 6, 2023 to Mar 27, 2023
- Pooled vehicle clients · 39 to 38Feb 6, 2023 to Mar 27, 2023
- Assets in custody · $551M to $502MFeb 6, 2023 to Mar 27, 2023
- Private funds · 39 to 38Feb 6, 2023 to Mar 27, 2023
- Discretionary RAUM · $551M to $502MFeb 6, 2023 to Mar 27, 2023
- Pooled vehicle RAUM · $551M to $502MFeb 6, 2023 to Mar 27, 2023
- RAUM · $551M to $502MFeb 6, 2023 to Mar 27, 2023
- Accounts · 34 to 39Jul 1, 2021 to Mar 28, 2022
- Pooled vehicle clients · 34 to 39Jul 1, 2021 to Mar 28, 2022
- Assets in custody · $464M to $551MJul 1, 2021 to Mar 28, 2022
- Private funds · 34 to 39Jul 1, 2021 to Mar 28, 2022
- Discretionary RAUM · $464M to $551MJul 1, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $464M to $551MJul 1, 2021 to Mar 28, 2022
- RAUM · $464M to $551MJul 1, 2021 to Mar 28, 2022
- Assets in custody · $445M to $464MJul 10, 2020 to Mar 26, 2021
- Discretionary RAUM · $445M to $464MJul 10, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $445M to $464MJul 10, 2020 to Mar 26, 2021
- RAUM · $445M to $464MJul 10, 2020 to Mar 26, 2021
- Accounts · 33 to 34Jul 3, 2019 to Mar 25, 2020
- Pooled vehicle clients · 33 to 34Jul 3, 2019 to Mar 25, 2020
- Assets in custody · $407M to $445MJul 3, 2019 to Mar 25, 2020
- Private funds · 33 to 34Jul 3, 2019 to Mar 25, 2020
- Discretionary RAUM · $407M to $445MJul 3, 2019 to Mar 25, 2020
- Pooled vehicle RAUM · $407M to $445MJul 3, 2019 to Mar 25, 2020
- RAUM · $407M to $445MJul 3, 2019 to Mar 25, 2020
- Related insurance company · true to falseJul 3, 2019 to Mar 25, 2020
Signals
15 dated events
- Conway Terence Sullivan (Co-President & Treasurer) no longer on Schedule A of N•• F•••••••• L•• (listed 2024-06-03, absent 2024-06-28)Jun 28, 2024 · Control person left · inference
- Louise Christine Jemison (Co-President & Secretary) no longer on Schedule A of N•• F•••••••• L•• (listed 2024-06-03, absent 2024-06-28)Jun 28, 2024 · Control person left · inference
- Finley Joanne Stegmoyer (Senior Vice President & Assistant Treasurer) no longer on Schedule A of N•• F•••••••• L•• (listed 2024-06-03, absent 2024-06-28)Jun 28, 2024 · Control person left · inference
- J••••• T••••• A•••••• (Senior Vice President & Assistant Secretary) no longer on Schedule A of N•• F•••••••• L•• (listed 2024-06-03, absent 2024-06-28)Jun 28, 2024 · Control person left · inference
- Mark Andrew Holmberg (Head Of Solutions) appeared on Schedule A of N•• F•••••••• L••Jun 28, 2024 · Control person joined · fact
- Kurt Macalpine (Chief Executive Officer) appeared on Schedule A of N•• F•••••••• L••Jun 28, 2024 · Control person joined · fact
- Amit Muni (Chief Financial Officer) appeared on Schedule A of N•• F•••••••• L••Jun 28, 2024 · Control person joined · fact
- Chad Stephen Estep (Chief Compliance Officer) appeared on Schedule A of N•• F•••••••• L••Jun 28, 2024 · Control person joined · fact
- Lawrence Curle Leonard Gullan (Chief Operating Officer) appeared on Schedule A of N•• F•••••••• L••Jun 28, 2024 · Control person joined · fact
- William Scott Akins (General Counsel) appeared on Schedule A of N•• F•••••••• L••Jun 28, 2024 · Control person joined · fact
- Lynn Julie Silcox (Chief Marketing Officer) appeared on Schedule A of N•• F•••••••• L••Jun 28, 2024 · Control person joined · fact
- Yoshi Peter Watson (Head Of Alternatives) appeared on Schedule A of N•• F•••••••• L••Jun 28, 2024 · Control person joined · fact
- F••••••• I••••••••• C••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)May 31, 2024 · Succession (Item 4) · fact
- Finley Joanne Stegmoyer (Senior Vice President & Assistant Treasurer) appeared on Schedule A of N•• F•••••••• L••Feb 6, 2023 · Control person joined · fact
- J••••• T••••• A•••••• (Senior Vice President & Assistant Secretary) appeared on Schedule A of N•• F•••••••• L••Feb 6, 2023 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- N•• F•••••••• L•• · Private Equityshared crd · organization
- N•• F•••••••• L•• · 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
Across the graphs
N•• F•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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