DFX Intelligence

RIA Intelligence

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SEC-registered adviser

N••• T••••• C•••••• M••••••••• L••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 130545SEC 801-62963website IAPD

Latest filing Mar 30, 2026

First filing on the tape Apr 3, 2012 · 25 filings

SEC status approved since Apr 5, 2004

RAUM

$615M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

25 filings and snapshots on the tape

RAUM$615M as of Mar 30, 2026

Apr 3, 2012$316M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Apr 3, 20120 then

Employees (5.A)5 as of Mar 30, 2026

Apr 1, 20137 then

Private funds4 as of Mar 30, 2026

Apr 3, 20122 then

RAUM +1.0% over the last fiscal year-0.4% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 2026; 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: $123MderivedRAUM 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: +1.0%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-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehicles, 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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$568M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 5reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=0.92 institutional_share=0.0 related_bd=false related_bank=false 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 departure Every arrival

Private funds

5 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
9•••••••• L••	Private Equity Fund	$285M	58	Apr 3, 2012
9••••••• 4• L••	Private Equity Fund	$154M	90	Mar 30, 2016
9••••••• 2• L••	Private Equity Fund	$74.6M	48	Apr 3, 2012
9••••••• 3• L••	Private Equity Fund	$47.7M	41	Mar 31, 2014
9•••••••• L••no longer reported	Private Equity Fund	$1.2M	4	Mar 30, 2020

Owners and control persons

Schedule A and B, latest filing

R••••• S•••••• J••• · President/Ceo/Chief Compliance Officercontrol
since 02/2004 · owns less than 5%
R••••• S•••••• J••• · Member-Managercontrol
since 02/1998 · owns 75% or more of S•• H•••••••• L••••• •••••••
N•• W••• L••• ••••••• · Chief Financial Officer
since 02/2016 · owns less than 5%

Entity owners

N••• T••••• M••••••••• H•••••••• L•• ••••••• · Member-Manager
direct · owns 75% or more
S•• H•••••••• L••••• ••••••• · Member-Manager
indirect · owns 50% to 75% of N••• T••••• Management Holdings, LLC

Related persons

Schedule D 7.A

9••••••• P••••••• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $609M to $615M
Oct 27, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $561M to $568M
Oct 27, 2025 to Mar 30, 2026
RAUM · $609M to $615M
Oct 27, 2025 to Mar 30, 2026
Employees · 6 to 5
Oct 21, 2024 to Mar 27, 2025
Financial planning clients · unset to
Oct 21, 2024 to Mar 27, 2025
Discretionary RAUM · $613M to $609M
Oct 21, 2024 to Mar 27, 2025
Pooled vehicle RAUM · $562M to $561M
Oct 21, 2024 to Mar 27, 2025
RAUM · $613M to $609M
Oct 21, 2024 to Mar 27, 2025
Discretionary RAUM · $623M to $613M
Mar 31, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $569M to $562M
Mar 31, 2023 to Mar 28, 2024
RAUM · $623M to $613M
Mar 31, 2023 to Mar 28, 2024
Accounts · 7 to 5
Nov 23, 2022 to Mar 31, 2023
Advisory employees · 3 to 2
Nov 23, 2022 to Mar 31, 2023
Pooled vehicle clients · 5 to 4
Nov 23, 2022 to Mar 31, 2023
Assets in custody · $3.1M to $0
Nov 23, 2022 to Mar 31, 2023
Custody of client assets · true to false
Nov 23, 2022 to Mar 31, 2023
Employees · 7 to 6
Nov 23, 2022 to Mar 31, 2023
Private funds · 5 to 4
Nov 23, 2022 to Mar 31, 2023
Discretionary RAUM · $638M to $623M
Nov 23, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $578M to $569M
Nov 23, 2022 to Mar 31, 2023
RAUM · $638M to $623M
Nov 23, 2022 to Mar 31, 2023
Assets in custody · $46.0M to $3.1M
Mar 31, 2021 to Mar 30, 2022
Employees · 8 to 7
Mar 31, 2021 to Mar 30, 2022
Discretionary RAUM · $451M to $638M
Mar 31, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $360M to $578M
Mar 31, 2021 to Mar 30, 2022
RAUM · $451M to $638M
Mar 31, 2021 to Mar 30, 2022
Accounts · 8 to 7
Jun 29, 2020 to Mar 31, 2021
Assets in custody · unset to 46035315.0
Jun 29, 2020 to Mar 31, 2021
Custody of client assets · false to true
Jun 29, 2020 to Mar 31, 2021
Employees · 6 to 8
Jun 29, 2020 to Mar 31, 2021
Discretionary RAUM · $443M to $451M
Jun 29, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $341M to $360M
Jun 29, 2020 to Mar 31, 2021
RAUM · $443M to $451M
Jun 29, 2020 to Mar 31, 2021
Accounts · 7 to 8
Mar 30, 2019 to Mar 30, 2020
Pooled vehicle clients · 4 to 5
Mar 30, 2019 to Mar 30, 2020
Other offices · 1 to 0
Mar 30, 2019 to Mar 30, 2020
Private funds · 4 to 5
Mar 30, 2019 to Mar 30, 2020
Discretionary RAUM · $450M to $443M
Mar 30, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $348M to $341M
Mar 30, 2019 to Mar 30, 2020
RAUM · $450M to $443M
Mar 30, 2019 to Mar 30, 2020

Signals

1 dated events

N••• T••••• C•••••• M••••••••• L•• reported RAUM $638.3M, up 41% from $451.5M (2021-03-31 to 2022-03-30)
Mar 30, 2022 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

N••• T••••• C•••••• M••••••••• L•• · Family Offices
shared crd · office
N••• T••••• C•••••• M••••••••• L•• · Independent Sponsors
shared crd · capital_provider
N••• T••••• C•••••• M••••••••• L•• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Website: w••.9•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: (212) 918-8930reportedpublic record, Form ADV, Mar 30, 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: Asset manager (funds and pooled vehicles)deriveda 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