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•••••• A••••••• L•

Asset manager (funds and pooled vehicles)New York, New YorkCRD 138930SEC 801-65330IAPD
Latest filing Mar 30, 2026
First filing on the tape Mar 28, 2012 · 17 filings
SEC status approved since Jan 19, 2006
RAUM
$1.0B
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
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.0B as of Mar 30, 2026
Mar 28, 2012$597M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20120 then
Employees (5.A)6 as of Mar 30, 2026
Mar 27, 201310 then
Private funds3 as of Mar 30, 2026
Mar 28, 20123 then
RAUM +7.9% over the last fiscal year+6.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
$255MderivedRAUM 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
+7.9%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
  • 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)
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.0B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
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=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
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N••••••• L••• F••• L•Hedge Fund$628M7Mar 30, 2016
      P• M•••••• F•••• S••• • S••••••••• P•••••••• 1•no longer reportedHedge Fund$226M23Mar 28, 2012
      N••••••• C•••••• O••••••• O••••••••• L•••Hedge Fund$94.6M9Mar 28, 2012
      N••••••• C•••••• P••••••• L•Hedge Fund$86.5M29Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• R•••••• N••••• · Limited Partnercontrol
        since 10/2005 · owns 75% or more
      • R•••• C••••••••• S•••• · Chief Compliance Officer And Chief Financial Officercontrol
        since 06/2006 · owns less than 5%
      • B•••••• R•••••• N••••• · Membercontrol
        since 10/2005 · owns 75% or more of N••••••• M••••••••• L••
      Entity owners
      • N••••••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • N••••••• C•••••• A••••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $945M to $1.0B
        Jun 17, 2025 to Mar 30, 2026
      • Pooled vehicle RAUM · $945M to $1.0B
        Jun 17, 2025 to Mar 30, 2026
      • RAUM · $945M to $1.0B
        Jun 17, 2025 to Mar 30, 2026
      • Financial planning clients · unset to
        Mar 31, 2025 to Jun 17, 2025
      • Discretionary RAUM · $809M to $945M
        Mar 28, 2024 to Mar 31, 2025
      • Pooled vehicle RAUM · $809M to $945M
        Mar 28, 2024 to Mar 31, 2025
      • RAUM · $809M to $945M
        Mar 28, 2024 to Mar 31, 2025
      • Discretionary RAUM · $857M to $809M
        Mar 30, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $857M to $809M
        Mar 30, 2023 to Mar 28, 2024
      • RAUM · $857M to $809M
        Mar 30, 2023 to Mar 28, 2024
      • Accounts · 5 to 4
        Jan 10, 2023 to Mar 30, 2023
      • Advisory employees · 8 to 4
        Jan 10, 2023 to Mar 30, 2023
      • Pooled vehicle clients · 5 to 4
        Jan 10, 2023 to Mar 30, 2023
      • Employees · 12 to 6
        Jan 10, 2023 to Mar 30, 2023
      • Discretionary RAUM · $1.8B to $857M
        Jan 10, 2023 to Mar 30, 2023
      • Pooled vehicle RAUM · $1.8B to $857M
        Jan 10, 2023 to Mar 30, 2023
      • RAUM · $1.8B to $857M
        Jan 10, 2023 to Mar 30, 2023
      • Employees · 13 to 12
        Mar 25, 2021 to Mar 31, 2022
      • Discretionary RAUM · $2.5B to $1.8B
        Mar 25, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $2.5B to $1.8B
        Mar 25, 2021 to Mar 31, 2022
      • RAUM · $2.5B to $1.8B
        Mar 25, 2021 to Mar 31, 2022
      • Advisory employees · 9 to 8
        Mar 27, 2020 to Mar 25, 2021
      • Employees · 14 to 13
        Mar 27, 2020 to Mar 25, 2021
      • Discretionary RAUM · $2.2B to $2.5B
        Mar 27, 2020 to Mar 25, 2021
      • Pooled vehicle RAUM · $2.2B to $2.5B
        Mar 27, 2020 to Mar 25, 2021
      • RAUM · $2.2B to $2.5B
        Mar 27, 2020 to Mar 25, 2021
      • Advisory employees · 7 to 9
        Mar 28, 2019 to Mar 27, 2020
      • Employees · 12 to 14
        Mar 28, 2019 to Mar 27, 2020
      • Discretionary RAUM · $1.9B to $2.2B
        Mar 28, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $1.9B to $2.2B
        Mar 28, 2019 to Mar 27, 2020
      • RAUM · $1.9B to $2.2B
        Mar 28, 2019 to Mar 27, 2020
      • Advisory employees · 8 to 7
        Mar 28, 2018 to Mar 28, 2019
      • Employees · 13 to 12
        Mar 28, 2018 to Mar 28, 2019
      • Discretionary RAUM · $2.3B to $1.9B
        Mar 28, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $2.3B to $1.9B
        Mar 28, 2018 to Mar 28, 2019
      • RAUM · $2.3B to $1.9B
        Mar 28, 2018 to Mar 28, 2019
      • Accounts · 4 to 5
        Mar 22, 2017 to Mar 28, 2018
      • Advisory employees · 7 to 8
        Mar 22, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 5.0
        Mar 22, 2017 to Mar 28, 2018
      • Employees · 12 to 13
        Mar 22, 2017 to Mar 28, 2018
      Signals
      3 dated events
      • N••••••• C•••••• A••••••• L• reported RAUM $857.1M, down 53% from $1.8B (2023-01-10 to 2023-03-30)
        Mar 30, 2023 · RAUM change · derived
      • N••••••• C•••••• A••••••• L• reported RAUM $1.8B, down 27% from $2.5B (2021-03-25 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • N••••••• C•••••• A••••••• L• reported RAUM $2.3B, up 26% from $1.8B (2017-03-22 to 2018-03-28)
        Mar 28, 2018 · RAUM change · derived
      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
      Principal office phone
      212.916.8965reportedpublic record, Form ADV, Mar 30, 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