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•••••• L•••
Latest filing Mar 20, 2026
First filing on the tape Mar 30, 2012 · 40 filings
SEC status approved since Sep 24, 2004
RAUM
$13B
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
27
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
27
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$13B as of Mar 20, 2026
Mar 30, 2012$5.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Mar 28, 20130 then
Employees (5.A)27 as of Mar 20, 2026
Mar 28, 201339 then
Private funds27 as of Mar 20, 2026
Mar 30, 201210 then
RAUM +13% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 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
- $330MderivedRAUM 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
- +13%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 vehiclesreportedItem 5.G
- Custody
- $13B, 39 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$13B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 39reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13B for 39 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false 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
Private funds
25 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• F••• L•• | Hedge Fund | $1.6B | 285 | Mar 25, 2024 |
| N••••• W•••••• M••••• F•••• L••no longer reported | Hedge Fund | $1.1B | 33 | Mar 28, 2013 |
| F•••••• M••••• F••• L••• | Hedge Fund | $1.1B | 44 | Nov 22, 2022 |
| T•••• C••••••••• F•••• L••• | Hedge Fund | $1.1B | 5 | Mar 31, 2022 |
| I••• C••••••••• M••••• F•••• L•• | Hedge Fund | $655M | 28 | Mar 30, 2012 |
| P••••••• C••••••••• M••••• F•••• L•• | Hedge Fund | $382M | 19 | Mar 30, 2012 |
| U•• F••• L••• | Hedge Fund | $265M | 1 | Mar 31, 2022 |
| N•••••• C••••••••• M••••• F•••• L•• | Hedge Fund | $255M | 51 | Mar 30, 2012 |
| X•••• C••••••••• F•••• L••• | Hedge Fund | $230M | 4 | Mar 27, 2023 |
| D•••• F••• L••• | Hedge Fund | $220M | 12 | Mar 31, 2022 |
| O••• C••••••••• F•••• L••• | Hedge Fund | $182M | 10 | Mar 30, 2012 |
| T••••• M••••• F•••• L•• | Hedge Fund | $145M | 15 | Mar 30, 2012 |
| L•••• M••••• F••• L•• | Hedge Fund | $124M | 26 | Mar 26, 2018 |
| N••••• W•••••• F•••• L•no longer reported | Hedge Fund | $124M | 11 | Mar 30, 2012 |
| M•••••• F••• L••• | Hedge Fund | $111M | 3 | Mar 31, 2022 |
| W•••••• M••••• F••• L••• | Hedge Fund | $94.4M | 34 | Mar 27, 2023 |
| E•••••• C••••••••• F•••• L•• | Hedge Fund | $74.0M | 1 | Mar 30, 2012 |
| R•••••••• C••••••••• F•••• L••• | Hedge Fund | $73.2M | 8 | Mar 19, 2021 |
| J•••••• C••••••••• M••••• F•••• L•• | Hedge Fund | $71.3M | 1 | Mar 30, 2012 |
| V•••••• W•••••• F•••• L•• | Hedge Fund | $65.6M | 5 | May 28, 2013 |
| S••••••• F•••• L••no longer reported | Hedge Fund | $3.3M | 9 | Mar 30, 2012 |
| K••••• C••••••••• M••••• F•••• L••no longer reported | Hedge Fund | $1.2M | 27 | May 28, 2013 |
| L•••• C••••••••• F•••• L••no longer reported | Hedge Fund | $8,197 | 2 | Mar 30, 2012 |
| N•••••• L•• | Hedge Fund | $0 | 0 | Mar 25, 2024 |
| A•••••• •••• H••••••• L•• | Hedge Fund | $0 | 0 | Mar 25, 2024 |
Owners and control persons
Schedule A and B, latest filing
- D•••• J•••• P••• · Chief Legal Officercontrolsince 01/2018 · owns less than 5%
- G•••••••• S•••••• M••• · Chief Operations Officer, Chief Financial Officercontrolsince 12/2021 · owns less than 5%
- H•••••• P•••• G•••••• · Co-Ceo And Directorcontrolsince 10/2003 · owns less than 5%
- I•••••••• J••••••• R••••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- L••••• J••••••• L••••• · Head Of R•••, Origination And Underwritingcontrolsince 12/2021 · owns less than 5%
- M•••••• W••••••• F••••••• · Co-Ceo And Directorcontrolsince 10/2003 · owns less than 5%
- P•••• A••••• · Senior Business Advisorcontrolsince 01/2009 · owns less than 5%
- S•••••• G••• E••••• B•••••• · Head Of External Relationshipscontrolsince 08/2013 · owns less than 5%
- T•••••• L••••• A•• K•••••• · Presidentcontrolsince 01/2006 · owns less than 5%
Entity owners
- N•••••• H••••••• L•• · Sole Shareholderdirect · owns 75% or more
- M••••• G•••• I•• · Shareholderindirect · owns 75% or more of N•••••• H••••••• L•• · public reporting company
Related persons
Schedule D 7.A
- C••• N••••••• I•••••••• C••••••real estaten
- E••••••• I•••••••• C••••••real estaten
- H•••••• R••••••••• L••••••real estaten
- I••••••••• S•••••••• I•••••••• C••••••real estaten
- L•••••• S•••••••• 3•••real estaten
- M••••• A••••••• I•••••••• C••••••real estaten
- M••••• B•••••• L••••••real estaten
- M••••• G••••• R••••••••• C••••••real estaten
- M••••• I•••••••• C••••••real estaten
- M••••• I•••••••• S•real estaten
- M••••• I••••••••• I•••••••• C•••••• L••••••real estaten
- N••••••• S•••••••• I•••••••• C••••••real estaten
- N•••••• A••••••• L••investment adviserbanknRAUM $13B
- N•••••• S•••••••• M••••••••• L••••••real estaten
- S•••• N••••••• I•••••••• C••••••real estaten
- U••••• S•••••••• I•••••••• C••••••real estaten
- V••••••• R••• U••••••••• L••real estaten
Advisers that list N•••••• C•••••• L••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 37 to 39Jan 2, 2026 to Mar 20, 2026
- Pooled vehicle clients · 37 to 39Jan 2, 2026 to Mar 20, 2026
- Assets in custody · $11B to $13BJan 2, 2026 to Mar 20, 2026
- Private funds · 26 to 27Jan 2, 2026 to Mar 20, 2026
- Discretionary RAUM · $11B to $13BJan 2, 2026 to Mar 20, 2026
- Pooled vehicle RAUM · $11B to $13BJan 2, 2026 to Mar 20, 2026
- RAUM · $11B to $13BJan 2, 2026 to Mar 20, 2026
- RAUM · $14B to $11BFeb 25, 2025 to Mar 21, 2025
- Advisory employees · 12 to 9Feb 25, 2025 to Mar 21, 2025
- Assets in custody · $14B to $11BFeb 25, 2025 to Mar 21, 2025
- Employees · 32 to 27Feb 25, 2025 to Mar 21, 2025
- Financial planning clients · unset to Feb 25, 2025 to Mar 21, 2025
- Private funds · 20 to 26Feb 25, 2025 to Mar 21, 2025
- Discretionary RAUM · $14B to $11BFeb 25, 2025 to Mar 21, 2025
- Pooled vehicle RAUM · $14B to $11BFeb 25, 2025 to Mar 21, 2025
- HQ state · unset to Mar 25, 2024 to Feb 25, 2025
- Private funds · 18 to 20Mar 25, 2024 to Feb 25, 2025
- Accounts · 44 to 37Jan 23, 2024 to Mar 25, 2024
- Advisory employees · 16 to 12Jan 23, 2024 to Mar 25, 2024
- Pooled vehicle clients · 44 to 37Jan 23, 2024 to Mar 25, 2024
- Assets in custody · $19B to $14BJan 23, 2024 to Mar 25, 2024
- Employees · 40 to 32Jan 23, 2024 to Mar 25, 2024
- Private funds · 17 to 18Jan 23, 2024 to Mar 25, 2024
- Discretionary RAUM · $19B to $14BJan 23, 2024 to Mar 25, 2024
- Pooled vehicle RAUM · $19B to $14BJan 23, 2024 to Mar 25, 2024
- RAUM · $19B to $14BJan 23, 2024 to Mar 25, 2024
- Accounts · 40 to 44Nov 22, 2022 to Mar 27, 2023
- Advisory employees · 20 to 16Nov 22, 2022 to Mar 27, 2023
- Pooled vehicle clients · 40 to 44Nov 22, 2022 to Mar 27, 2023
- Assets in custody · $20B to $19BNov 22, 2022 to Mar 27, 2023
- Employees · 44 to 40Nov 22, 2022 to Mar 27, 2023
- Private funds · 14 to 17Nov 22, 2022 to Mar 27, 2023
- Discretionary RAUM · $20B to $19BNov 22, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $20B to $19BNov 22, 2022 to Mar 27, 2023
- RAUM · $20B to $19BNov 22, 2022 to Mar 27, 2023
- Accounts · 36 to 40Dec 21, 2021 to Mar 31, 2022
- Advisory employees · 18 to 20Dec 21, 2021 to Mar 31, 2022
- Pooled vehicle clients · 36 to 40Dec 21, 2021 to Mar 31, 2022
- Assets in custody · $20B to $20BDec 21, 2021 to Mar 31, 2022
- Employees · 58 to 44Dec 21, 2021 to Mar 31, 2022
Signals
12 dated events
- Lewis Alan Weiss (Chief Compliance Officer) no longer on Schedule A of N•••••• C•••••• L••• (listed 2024-01-23, absent 2024-03-25)Mar 25, 2024 · Control person left · inference
- Ragnar Jeffrey Ingelman (Chief Compliance Officer) appeared on Schedule A of N•••••• C•••••• L•••Mar 25, 2024 · Control person joined · fact
- Lewis Alan Weiss (Chief Compliance Officer) appeared on Schedule A of N•••••• C•••••• L•••Jan 23, 2024 · Control person joined · fact
- Francis Barney Schauble (Director) no longer on Schedule A of N•••••• C•••••• L••• (listed 2023-03-27, absent 2023-07-04)Jul 4, 2023 · Control person left · inference
- Ju B•••• Ji (Head Of Portfolio Management) no longer on Schedule A of N•••••• C•••••• L••• (listed 2023-03-27, absent 2023-07-04)Jul 4, 2023 · Control person left · inference
- James Chris Thomson (Chief Financial Officer) no longer on Schedule A of N•••••• C•••••• L••• (listed 2022-03-31, absent 2022-10-03)Oct 3, 2022 · Control person left · inference
- L••••• J•••••• L•••• (Head Of Risk, Origination And Underwriting) appeared on Schedule A of N•••••• C•••••• L•••Dec 21, 2021 · Control person joined · fact
- Ju B•••• Ji (Head Of Portfolio Management) appeared on Schedule A of N•••••• C•••••• L•••Dec 21, 2021 · Control person joined · fact
- James Chris Thomson (Chief Financial Officer) appeared on Schedule A of N•••••• C•••••• L•••Dec 21, 2021 · Control person joined · fact
- Mark Steven Glassman (Chief Operations Officer) appeared on Schedule A of N•••••• C•••••• L•••Dec 21, 2021 · Control person joined · fact
- Emilia Marie Marsh (Principal) no longer on Schedule A of N•••••• C•••••• L••• (listed 2019-03-21, absent 2020-03-20)Mar 20, 2020 · Control person left · inference
- Christopher Parish (Principal) no longer on Schedule A of N•••••• C•••••• L••• (listed 2019-03-21, absent 2020-03-20)Mar 20, 2020 · Control person left · inference
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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 441-296-3626reportedpublic record, Form ADV, Mar 20, 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