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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SEC-registered adviser

N••••• • C••••••

Independent wealth managerCRD 124924SEC 801-136313websiteIAPD
Legal name N••••• • C•••••• I••••••••• L••
Latest filing Jul 22, 2026
First filing on the tape Apr 22, 2026 · 2 filings
SEC status approved since May 20, 2026
RAUM
$103M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$102M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$25.8M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$103M as of Jul 22, 2026
Apr 22, 2026$103M then
HNW client RAUM$83.4M as of Jul 22, 2026
Apr 22, 2026$83.4M then
State-registered IARs (5.B.3)4 as of Jul 22, 2026
Apr 22, 20264 then
Employees (5.A)5 as of Jul 22, 2026
Apr 22, 20265 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 22, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
RAUM per advisor
$25.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
26derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$430,779derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
1.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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
financial planning, portfolio management for individuals, pension consulting, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$83.4M81%
  • Individuals$18.2M18%
  • Pension and profit-sharing plans$1.8M1.8%
Individual clients
59reported
HNW clients
43reported
Pension plan clients
3reported
Charitable clients
n/areported
Accounts
240reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C••• D•••••• N•••••Orinda, CaFeb 26, 200323 y1
D•••••• B•••••••Orinda, Ca Jul 6, 201714 y0
A••••• T•••••••••Orinda, CaMay 31, 202411 y0
M•••••• R••• T••••Medusa, Ny Aug 13, 202511 y0
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••••••• D•••••• · Coocontrol
    since 07/2023 · owns less than 5%
  • N•••••• C•••• D•••••• · Ceo And Ccocontrol
    since 04/2003 · owns less than 5%
Entity owners
  • N•• A•••••••• L•• · Holding Company Owner Of N••••• • C••••••
    direct · 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
OfficeAdvisorsJoinedLeftTeams outForming
Orinda, Ca400
Medusa, Ny200
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
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
Business email
i•••@n•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
Business phone
415-741-7280reportedpublished by the firm, firm site, Sep 17, 2026
Website
N•••••INVEST.COMreportedpublic record, Form ADV, Sep 19, 2026
Principal office phone
415-741-7280reportedpublic record, Form ADV, Jul 22, 2026
Contact form
n•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor
$25.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026