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•••••• W••••• A•••••••

Former SEC-registered adviserDallas, TexasCRD 133267SEC 801-111780IAPD
Legal name N•••••• S••••••••• I•••
Latest filing Apr 21, 2021
First filing on the tape Aug 30, 2017 · 16 filings
RAUM
$882,487
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$882,487 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$882,487 as of Mar 31, 2021
Mar 29, 2018$0 then
HNW client RAUM$631,561 as of Mar 31, 2021
Mar 29, 2018$0 then
State-registered IARs (5.B.3)3 as of Mar 31, 2021
Mar 29, 20183 then
Employees (5.A)5 as of Mar 31, 2021
Mar 29, 20186 then
Private funds: no history
RAUM -54% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Apr 21, 2021; every figure names its basis
RAUM per advisor
$294,162derivedRAUM over IAPD advisors; not a book size
Clients per advisor
1derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$631,561derivedHNW RAUM over HNW clients
Average account
$294,162derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-54%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • 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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$631,56172%
  • Individuals$250,92628%
Individual clients
2reported
HNW clients
1reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
0reported
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
  • H•••••• S•••• M•••••• · Finop/ Pfo/ Poocontrol
    since 12/2017 · owns less than 5%
  • H•••• D•••• E••• · President/ Chief Compliance Officer And Amlocontrol
    since 10/2014 · owns less than 5%
  • S••••• G•••• J•••• · Trusteecontrol
    since 01/2013 · owns F of G•••• S••••, Trustee Of T•• S••• T••••
Entity owners
  • N•••••• C••••••• I••• · Stockholder
    direct · owns 75% or more
  • T•• S••• T•••• · Shareholder
    indirect · owns 50% to 75% of N•••••• C••••••• I•••
Related persons
Schedule D 7.A
Advisers that list N•••••• W••••• A••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Discretionary RAUM · $1.9M to $882,487
    Mar 24, 2021 to Mar 31, 2021
  • HNW RAUM · $1.4M to $631,561
    Mar 24, 2021 to Mar 31, 2021
  • Individual RAUM · $539,000 to $250,926
    Mar 24, 2021 to Mar 31, 2021
  • RAUM · $1.9M to $882,487
    Mar 24, 2021 to Mar 31, 2021
  • HNW clients · 0 to 1
    Jul 31, 2019 to Mar 30, 2020
  • Individual clients · 0 to 2
    Jul 31, 2019 to Mar 30, 2020
  • Other offices · 1 to 0
    Jul 31, 2019 to Mar 30, 2020
  • Discretionary RAUM · $1.8M to $1.9M
    Jul 31, 2019 to Mar 30, 2020
  • HNW RAUM · $1.5M to $1.4M
    Jul 31, 2019 to Mar 30, 2020
  • Individual RAUM · $286,000 to $539,000
    Jul 31, 2019 to Mar 30, 2020
  • RAUM · $1.8M to $1.9M
    Jul 31, 2019 to Mar 30, 2020
  • Accounts · 0 to 3
    May 15, 2018 to Mar 29, 2019
  • BD registered reps · 4 to 2
    May 15, 2018 to Mar 29, 2019
  • Assets in custody · unset to 0.0
    May 15, 2018 to Mar 29, 2019
  • Employees · 6 to 5
    May 15, 2018 to Mar 29, 2019
  • Discretionary RAUM · $0 to $1.8M
    May 15, 2018 to Mar 29, 2019
  • HNW RAUM · $0 to $1.5M
    May 15, 2018 to Mar 29, 2019
  • Individual RAUM · $0 to $286,000
    May 15, 2018 to Mar 29, 2019
  • RAUM · $0 to $1.8M
    May 15, 2018 to Mar 29, 2019
  • Accounts · unset to 0.0
    Jan 22, 2018 to Mar 29, 2018
  • BD registered reps · 3 to 4
    Jan 22, 2018 to Mar 29, 2018
  • Employees · 4 to 6
    Jan 22, 2018 to Mar 29, 2018
  • State-registered IARs · 1 to 3
    Jan 22, 2018 to Mar 29, 2018
  • Discretionary RAUM · unset to 0.0
    Jan 22, 2018 to Mar 29, 2018
  • Non-discretionary RAUM · unset to 0.0
    Jan 22, 2018 to Mar 29, 2018
  • RAUM · unset to 0.0
    Jan 22, 2018 to Mar 29, 2018
  • Business name · N•••••• S••••••••• I••• to N•••••• W••••• A•••••••
    Sep 29, 2017 to Dec 20, 2017
  • Charity clients · unset to 0.0
    Sep 29, 2017 to Dec 20, 2017
  • Corporate clients · unset to 0.0
    Sep 29, 2017 to Dec 20, 2017
  • HNW clients · unset to 0.0
    Sep 29, 2017 to Dec 20, 2017
  • Individual clients · unset to 0.0
    Sep 29, 2017 to Dec 20, 2017
  • Pension plan clients · unset to 0.0
    Sep 29, 2017 to Dec 20, 2017
  • Pooled vehicle clients · unset to 0.0
    Sep 29, 2017 to Dec 20, 2017
  • Other offices · unset to 1.0
    Sep 29, 2017 to Dec 20, 2017
  • HNW RAUM · unset to 0.0
    Sep 29, 2017 to Dec 20, 2017
  • Individual RAUM · unset to 0.0
    Sep 29, 2017 to Dec 20, 2017
  • Pension RAUM · unset to 0.0
    Sep 29, 2017 to Dec 20, 2017
  • Pooled vehicle RAUM · unset to 0.0
    Sep 29, 2017 to Dec 20, 2017
Signals
3 dated events
  • B••••••• B••••• H•••• left N•••••• W••••• A••••••• for N••••••• I•••••••• S••••••••• L••• (registered 2019-08-19)
    Mar 31, 2022 · a•••••• firm change · fact
  • M•••••• H••••• H••••• left N•••••• W••••• A••••••• for N••••••••• L•• (registered 2022-02-08)
    Mar 31, 2022 · a•••••• firm change · fact
  • N•••••• S••••••••• I••• filed its initial SEC registration (Form ADV)
    Aug 30, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
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