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•••••• F••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 17 filings
SEC status approved since Feb 1, 2006
RAUM
$83.3M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$83.3M as of Mar 31, 2026
Mar 29, 2012$50.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)4 as of Mar 31, 2026
Mar 28, 20134 then
Private funds1 as of Mar 31, 2026
Mar 29, 20122 then
RAUM +16% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $83.3MderivedRAUM 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
- +16%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 vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$83.3M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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=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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•••••••• F••• I••• L••• | Hedge Fund | $74.7M | 33 | Mar 29, 2012 |
| N•••••••• O••••••• F••• I•• L••no longer reported | Hedge Fund | $6.0M | 8 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••••••• L•••••••• S•••• · Managing Membercontrolsince 03/2006 · owns 50% to 75%
- P••••••••• L••• A• · Cfo, Chief Compliance Officercontrolsince 02/2004 · owns less than 5%
- Z•••••• M••••••• P••••• · Managing Membercontrolsince 08/2005 · owns 50% to 75%
Related persons
Schedule D 7.A
- N•••••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $71.8M to $83.3MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $71.8M to $83.3MMar 28, 2025 to Mar 31, 2026
- RAUM · $71.8M to $83.3MMar 28, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $74.7M to $71.8MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $74.7M to $71.8MMar 28, 2024 to Mar 28, 2025
- RAUM · $74.7M to $71.8MMar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $60.1M to $74.7MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $60.1M to $74.7MMar 31, 2023 to Mar 28, 2024
- RAUM · $60.1M to $74.7MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $78.0M to $60.1MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $78.0M to $60.1MMar 31, 2022 to Mar 31, 2023
- RAUM · $78.0M to $60.1MMar 31, 2022 to Mar 31, 2023
- Assets in custody · $61.3M to $0Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $61.3M to $78.0MMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $61.3M to $78.0MMar 30, 2021 to Mar 31, 2022
- RAUM · $61.3M to $78.0MMar 30, 2021 to Mar 31, 2022
- Assets in custody · $54.2M to $61.3MMar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $54.2M to $61.3MMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $54.2M to $61.3MMar 30, 2020 to Mar 30, 2021
- RAUM · $54.2M to $61.3MMar 30, 2020 to Mar 30, 2021
- Assets in custody · $49.9M to $54.2MMar 28, 2019 to Mar 30, 2020
- Discretionary RAUM · $49.9M to $54.2MMar 28, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $49.9M to $54.2MMar 28, 2019 to Mar 30, 2020
- RAUM · $49.9M to $54.2MMar 28, 2019 to Mar 30, 2020
- Assets in custody · $49.9M to $49.9MMar 29, 2018 to Mar 28, 2019
- Discretionary RAUM · $49.9M to $49.9MMar 29, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $49.9M to $49.9MMar 29, 2018 to Mar 28, 2019
- RAUM · $49.9M to $49.9MMar 29, 2018 to Mar 28, 2019
- Pooled vehicle clients · unset to 1.0Mar 31, 2017 to Mar 29, 2018
- Assets in custody · $0 to $49.9MMar 31, 2017 to Mar 29, 2018
- Custody of client assets · false to trueMar 31, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- Discretionary RAUM · $46.5M to $49.9MMar 31, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 49900000.0Mar 31, 2017 to Mar 29, 2018
- RAUM · $46.5M to $49.9MMar 31, 2017 to Mar 29, 2018
- Discretionary RAUM · $41.6M to $46.5MMar 30, 2016 to Mar 31, 2017
- RAUM · $41.6M to $46.5MMar 30, 2016 to Mar 31, 2017
- Discretionary RAUM · $38.2M to $41.6MMar 31, 2015 to Mar 30, 2016
- RAUM · $38.2M to $41.6MMar 31, 2015 to Mar 30, 2016
Signals
No event on the tape.
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
- N••••••••CAPITALFUNDS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 516-448-9979reportedpublic record, Form ADV, Mar 31, 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