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•• M••••• B•••••••
Latest filing Jul 29, 2026
First filing on the tape Nov 28, 2011 · 19 filings
SEC status approved since Nov 10, 2005
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
86
19 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$0 as of Jul 29, 2026
Nov 19, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jul 29, 2026
Nov 21, 20122 then
Employees (5.A)86 as of Jul 29, 2026
Nov 21, 201295 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jul 29, 2026; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- 43.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, otherreportedItem 5.E
- Advisory activities
- publications, educational seminars, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••• D•••••• C•••••• | Gaithersburg, Md | Nov 2, 2012 | 26 y | 4 |
| L••• S•••• O•••• | Gaithersburg, Md | Jan 29, 2025 | 21 y | 0 |
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
Left, latest
none on the tape
Joined, latest
- T•••• D•••••• C•••••• from C•••••• F•••••••• G••••Nov 2, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• C•••••• A•• · Directorcontrolsince 10/2023 · owns less than 5%
- C••••••••• N••• · Directorcontrolsince 10/2016 · owns less than 5%
- E••••• C•••••• · Chief Financial Officercontrolsince 09/2016 · owns less than 5%
- I••••••• A••••• S••••• · Directorcontrolsince 10/2023 · owns less than 5%
- L••••••• L••••• S•••••• · Chief Executive Officercontrolsince 12/2022 · owns less than 5%
- M••••• B••••• A••• · Directorcontrolsince 10/2015 · owns less than 5%
- M•••• P••••••• · Chair Of The Board Of Directorscontrolsince 09/2014 · owns less than 5%
- M•••••••• C••••••••• L•• · Directorcontrolsince 10/2023 · owns less than 5%
- O••••• L•••• S•••• · Chief Compliance Officer, Chief Legal Officercontrolsince 09/2005 · owns less than 5%
- S•••••• B••••••• J••• · Directorcontrolsince 10/2020 · owns less than 5%
- T••••••• C••••••••• B•••••• · Chief Financial Officercontrolsince 02/2024 · owns less than 5%
- V••••••• J••••• G•••• · Directorcontrolsince 10/2021 · owns less than 5%
Entity owners
- N••••••• E•••••••• A••••••••• · M•••••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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Gaithersburg, Md · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · unset to 0.0Nov 14, 2024 to Nov 19, 2025
- Advisory employees · 22 to 19Nov 14, 2024 to Nov 19, 2025
- Employees · 93 to 86Nov 14, 2024 to Nov 19, 2025
- Financial planning clients · unset to Nov 14, 2024 to Nov 19, 2025
- Discretionary RAUM · unset to 0.0Nov 14, 2024 to Nov 19, 2025
- Non-discretionary RAUM · unset to 0.0Nov 14, 2024 to Nov 19, 2025
- RAUM · unset to 0.0Nov 14, 2024 to Nov 19, 2025
- Advisory employees · 23 to 22Nov 16, 2023 to Nov 14, 2024
- Employees · 94 to 93Nov 16, 2023 to Nov 14, 2024
- Advisory employees · 24 to 23Nov 16, 2022 to Nov 16, 2023
- Employees · 99 to 94Nov 16, 2022 to Nov 16, 2023
- State-registered IARs · 2 to 1Nov 16, 2022 to Nov 16, 2023
- Employees · 103 to 99Nov 10, 2021 to Nov 16, 2022
- Advisory employees · 23 to 24Nov 25, 2020 to Nov 10, 2021
- Business name · N•••• M••••• B••••••• C••••••••• to N•• M••••• B•••••••Nov 25, 2020 to Nov 10, 2021
- Employees · 101 to 103Nov 25, 2020 to Nov 10, 2021
- Legal name · N•••• M••••• B••••••• C••••••••• to N•• M••••• B•••••••Nov 25, 2020 to Nov 10, 2021
- Individual clients · 63,528 to 0Nov 12, 2019 to Nov 25, 2020
- Employees · 102 to 101Nov 12, 2019 to Nov 25, 2020
- Organization form · Corporation to Other (specify)Nov 12, 2019 to Nov 25, 2020
- Employees · 101 to 102Oct 26, 2018 to Nov 12, 2019
- Individual clients · 64,320 to 63,528Nov 14, 2017 to Oct 26, 2018
- Employees · 98 to 101Nov 14, 2017 to Oct 26, 2018
- Charity clients · unset to 0.0Dec 9, 2016 to Nov 14, 2017
- Corporate clients · unset to 0.0Dec 9, 2016 to Nov 14, 2017
- HNW clients · unset to 0.0Dec 9, 2016 to Nov 14, 2017
- Individual clients · unset to 64320.0Dec 9, 2016 to Nov 14, 2017
- Pension plan clients · unset to 0.0Dec 9, 2016 to Nov 14, 2017
- Pooled vehicle clients · unset to 0.0Dec 9, 2016 to Nov 14, 2017
- Other offices · unset to 0.0Dec 9, 2016 to Nov 14, 2017
- Individual RAUM · unset to 0.0Dec 9, 2016 to Nov 14, 2017
- Employees · 95 to 98Nov 16, 2015 to Nov 18, 2016
- Employees · 93 to 95Nov 13, 2014 to Nov 16, 2015
- Advisory employees · 24 to 23Nov 19, 2013 to Nov 13, 2014
- Employees · 98 to 93Nov 19, 2013 to Nov 13, 2014
- Employees · 95 to 98Nov 21, 2012 to Nov 19, 2013
- Advisory employees · unset to 24.0Jan 13, 2012 to Nov 21, 2012
- BD registered reps · unset to 1.0Jan 13, 2012 to Nov 21, 2012
- Employees · unset to 95.0Jan 13, 2012 to Nov 21, 2012
- Insurance-licensed employees · 2 to 1Jan 13, 2012 to Nov 21, 2012
Signals
23 dated events
- Garland Edward Phoebus (Chief Executive Officer) no longer on Schedule A of N•• M••••• B••••••• (listed 2023-11-16, absent 2024-11-14)Nov 14, 2024 · Control person left · inference
- Jane Mary Cobb (Director) no longer on Schedule A of N•• M••••• B••••••• (listed 2023-11-16, absent 2024-11-14)Nov 14, 2024 · Control person left · inference
- Tobias Ernest Boyd (Director) no longer on Schedule A of N•• M••••• B••••••• (listed 2023-11-16, absent 2024-11-14)Nov 14, 2024 · Control person left · inference
- E•••••••• R•••••• K••••• (Director) no longer on Schedule A of N•• M••••• B••••••• (listed 2023-11-16, absent 2024-11-14)Nov 14, 2024 · Control person left · inference
- Ann Cheryl Bost (Director) appeared on Schedule A of N•• M••••• B•••••••Nov 14, 2024 · Control person joined · fact
- Strand Aimee Iverson (Director) appeared on Schedule A of N•• M••••• B•••••••Nov 14, 2024 · Control person joined · fact
- Lee Christine Mulroney (Director) appeared on Schedule A of N•• M••••• B•••••••Nov 14, 2024 · Control person joined · fact
- Barbara Christine Tarrago (Chief Financial Officer) appeared on Schedule A of N•• M••••• B•••••••Nov 14, 2024 · Control person joined · fact
- S•••••• L•••• L•••••• (Chief Executive Officer) appeared on Schedule A of N•• M••••• B•••••••Nov 16, 2023 · Control person joined · fact
- G•••• J•••• V•••••• (Director) appeared on Schedule A of N•• M••••• B•••••••Nov 16, 2022 · Control person joined · fact
- E•••••••• R•••••• K••••• (Director) appeared on Schedule A of N•• M••••• B•••••••Nov 16, 2022 · Control person joined · fact
- Sue A••••• P••••••• (Director) no longer on Schedule A of N•• M••••• B••••••• (listed 2021-11-10, absent 2022-11-16)Nov 16, 2022 · Control person left · inference
- F••••• M••••• P••••• (Director) no longer on Schedule A of N•• M••••• B••••••• (listed 2021-11-10, absent 2022-11-16)Nov 16, 2022 · Control person left · inference
- Becky Pringle (Chair Of The Board Of Directors) no longer on Schedule A of N•• M••••• B••••••• (listed 2020-11-25, absent 2021-11-10)Nov 10, 2021 · Control person left · inference
- John Edward Richardson (Director) no longer on Schedule A of N•• M••••• B••••••• (listed 2020-11-25, absent 2021-11-10)Nov 10, 2021 · Control person left · inference
- L•••• E•••••• (Director) no longer on Schedule A of N•• M••••• B••••••• (listed 2020-11-25, absent 2021-11-10)Nov 10, 2021 · Control person left · inference
- Mark Simons (Director) no longer on Schedule A of N•• M••••• B••••••• (listed 2020-11-25, absent 2021-11-10)Nov 10, 2021 · Control person left · inference
- Jane Mary Cobb (Director) appeared on Schedule A of N•• M••••• B•••••••Nov 10, 2021 · Control person joined · fact
- Tobias Ernest Boyd (Director) appeared on Schedule A of N•• M••••• B•••••••Nov 10, 2021 · Control person joined · fact
- Jean Barbara Schram (Director) appeared on Schedule A of N•• M••••• B•••••••Nov 10, 2021 · Control person joined · fact
- Mark Simons (Director) appeared on Schedule A of N•• M••••• B•••••••Nov 25, 2020 · Control person joined · fact
- Andrew Policastro (Director) no longer on Schedule A of N•• M••••• B••••••• (listed 2018-10-26, absent 2019-11-12)Nov 12, 2019 · Control person left · inference
- F••••• M••••• P••••• (Director) appeared on Schedule A of N•• M••••• B•••••••Nov 12, 2019 · Control person joined · fact
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
- NEAMB.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 301-251-9600reportedpublic record, Form ADV, Jul 29, 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
- No RAUM reportedderiveda 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