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.

Former SEC-registered adviser

Northgate Capital, LLC

Former SEC-registered adviserDanville, CaliforniaCRD 133620SEC 801-63761IAPD
Latest filing Dec 8, 2014
First filing on the tape Nov 14, 2011 · 8 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
36
21 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$3.5B as of Apr 3, 2013
Mar 30, 2012$3.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Apr 3, 20130 then
Employees (5.A)36 as of Mar 31, 2014
Apr 3, 201330 then
Private funds: 40
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 8, 2014; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived6 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
otherreportedItem 5.E
Advisory activities
otherreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Michael Brent Jones · Membercontrol
        since 06/2000 · owns 5% to 10%
      • Hosein Khajeh- Hosseiny · Membercontrol
        since 10/2004 · owns 5% to 10%
      • Arthur Thomas Vardell · Membercontrol
        since 06/2000 · owns 5% to 10%
      • Mohan Malvinder Singh · Shareholdercontrol
        since 01/2005 · owns 25% to 50% of Religare Enterprises Limited
      • Mohan Shivinder Singh · Shareholdercontrol
        since 01/2005 · owns 25% to 50% of Religare Enterprises Limited
      • S. Carol Christensen · Chief Compliance Officer
        since 08/2011 · owns less than 5%
      • Edward Mark Harris · Member/Senior Advisor
        since 06/2000 · owns 5% to 10%
      • Walker Jared Stone · Member/Senior Advisor
        since 01/2002 · owns 5% to 10%
      • R Moez Virani · Chief Operating Officer/Chief Financial Officer
        since 06/2011 · owns less than 5%
      • Shivinder Aditi Singh · Shareholder
        since 07/2006 · owns 25% to 50% of Religare Enterprises Limited
      • Malvinder Japna Singh · Shareholder
        since 07/2006 · owns 25% to 50% of Religare Enterprises Limited
      Entity owners
      • Religare Global Asset Management, Inc. · Member
        direct · owns 50% to 75%
      • Religare Enterprises Limited · Shareholder
        indirect · owns 75% or more of Rgam Investment Advisers Private Limited
      • Rgam Investment Advisers Private Limited · Shareholder
        indirect · owns 75% or more of Religare Global Asset Management, Inc.
      Related persons
      Schedule D 7.A
      Advisers that list Northgate Capital, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Hong Kong, Hong Kong
      • London, United Kingdom
      • Melbourne, Australia
      • Mexico City, Mexico
      • New Delhi, India
      What changed
      consecutive filings, newest first
      • Accounts · 52.0 to unset
        Apr 3, 2013 to Mar 31, 2014
      • Advisory employees · 19 to 21
        Apr 3, 2013 to Mar 31, 2014
      • Assets in custody · 2434472263.0 to unset
        Apr 3, 2013 to Mar 31, 2014
      • Custody of client assets · true to false
        Apr 3, 2013 to Mar 31, 2014
      • Employees · 30 to 36
        Apr 3, 2013 to Mar 31, 2014
      • Discretionary RAUM · 3536747359.0 to unset
        Apr 3, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · 0.0 to unset
        Apr 3, 2013 to Mar 31, 2014
      • RAUM · 3536747359.0 to unset
        Apr 3, 2013 to Mar 31, 2014
      • Accounts · 48 to 52
        Jan 31, 2013 to Apr 3, 2013
      • Advisory employees · 16 to 19
        Jan 31, 2013 to Apr 3, 2013
      • Assets in custody · $2.4B to $2.4B
        Jan 31, 2013 to Apr 3, 2013
      • Employees · 29 to 30
        Jan 31, 2013 to Apr 3, 2013
      • Discretionary RAUM · $3.1B to $3.5B
        Jan 31, 2013 to Apr 3, 2013
      • RAUM · $3.1B to $3.5B
        Jan 31, 2013 to Apr 3, 2013
      • Accounts · 40 to 48
        Aug 8, 2012 to Jan 31, 2013
      • Advisory employees · unset to 16.0
        Aug 8, 2012 to Jan 31, 2013
      • Assets in custody · $2.8B to $2.4B
        Aug 8, 2012 to Jan 31, 2013
      • Employees · unset to 29.0
        Aug 8, 2012 to Jan 31, 2013
      • State-registered IARs · unset to 0.0
        Aug 8, 2012 to Jan 31, 2013
      • Private funds · 40 to unset
        Aug 8, 2012 to Jan 31, 2013
      • Discretionary RAUM · $3.1B to $3.1B
        Aug 8, 2012 to Jan 31, 2013
      • RAUM · $3.1B to $3.1B
        Aug 8, 2012 to Jan 31, 2013
      • Accounts · 35 to 40
        Nov 14, 2011 to Mar 30, 2012
      • Assets in custody · $2.8B to $2.8B
        Nov 14, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 14, 2011 to Mar 30, 2012
      • Financial planning clients · 0 to unset
        Nov 14, 2011 to Mar 30, 2012
      • Private funds · unset to 40
        Nov 14, 2011 to Mar 30, 2012
      • Discretionary RAUM · $2.8B to $3.1B
        Nov 14, 2011 to Mar 30, 2012
      • RAUM · $2.8B to $3.1B
        Nov 14, 2011 to Mar 30, 2012
      Signals
      No event on the tape.
      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