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Former SEC-registered adviser

N••• L•••••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 139186SEC 801-68602IAPD
Latest filing Mar 28, 2022
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$857M
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
18
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$857M gross assets
History
13 filings and snapshots on the tape
RAUM$857M as of Mar 28, 2022
Mar 30, 2012$606M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2022
Mar 30, 20120 then
Employees (5.A)18 as of Mar 28, 2022
Mar 28, 201314 then
Private funds4 as of Mar 28, 2022
Mar 30, 20125 then
RAUM -31% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2022; 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
$95.3MderivedRAUM 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
-31%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)
  • 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$857M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, performancereported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N••• L•••••• L••••••• M••••• F••• L•Hedge Fund$69.1M43Mar 30, 2012
      N••• L•••••• E••••••• M•••••• F••• L•Hedge Fund$6.4M23Mar 30, 2012
      J•••• C•••••••• F•••• L•Hedge Fund$2.8M15Mar 30, 2012
      N••• L•••••• W•• J• M••••• F••• L•Hedge Fund$1.4M11Mar 30, 2012
      N••• F••• L•no longer reportedHedge Fund$74,0001Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• A•••••••• · Managercontrol
        since 01/2003 · owns less than 5%
      • M••••• S••••• · Managercontrol
        since 01/2003 · owns less than 5%
      • S•••••••• J•••••• Z•• · Chief Compliance Officercontrol
        since 02/2007 · owns less than 5%
      • B••••••••• A•••••••• · Limited Partner/Principalcontrol
        since 01/2003 · owns 25% to 50% of N••• C•••••• M••••••••• L•
      • M••••••••• M•••••••• A•• · Shareholder/Director/Officercontrol
        since 03/1998 · owns 25% to 50% of M•••••••• L••
      • M••••• S••••• · Limited Partner/Principalcontrol
        since 01/2003 · owns 50% to 75% of N••• C•••••• M••••••••• L•
      • N••••••••• T•••••• J••••• · Shareholder/Director/Officercontrol
        since 03/1998 · owns 25% to 50% of M•••••••• L••
      • W•••••• C•••••• A•••• · Shareholder/Director/Officercontrol
        since 03/1998 · owns F of M•••••••• L••
      Entity owners
      • M•••••••• L•• · Member
        direct · owns 25% to 50%
      • N••• C•••••• M••••••••• L• · Member
        direct · owns 50% to 75%
      • N••• L•••••• C•••••• M••••••••• G•• L•• · General Partner
        indirect · owns F of N••• C•••••• M••••••••• L•
      Related persons
      Schedule D 7.A
      • N••• L•••••• C•••••• M••••••••• G• L••
        pooled vehicle sponsorn
      Advisers that list N••• L•••••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 9
        Mar 31, 2021 to Mar 28, 2022
      • Pooled vehicle clients · 10 to 9
        Mar 31, 2021 to Mar 28, 2022
      • Discretionary RAUM · $1.3B to $857M
        Mar 31, 2021 to Mar 28, 2022
      • Pooled vehicle RAUM · $1.3B to $857M
        Mar 31, 2021 to Mar 28, 2022
      • RAUM · $1.3B to $857M
        Mar 31, 2021 to Mar 28, 2022
      • Accounts · 11 to 10
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 11 to 10
        Mar 30, 2020 to Mar 31, 2021
      • Private funds · 5 to 4
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $1.5B to $1.3B
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $1.5B to $1.3B
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $1.5B to $1.3B
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $1.5B to $1.5B
        Mar 31, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $1.5B to $1.5B
        Mar 31, 2019 to Mar 30, 2020
      • RAUM · $1.5B to $1.5B
        Mar 31, 2019 to Mar 30, 2020
      • Advisory employees · 11 to 12
        Aug 8, 2018 to Mar 31, 2019
      • Employees · 17 to 18
        Aug 8, 2018 to Mar 31, 2019
      • Discretionary RAUM · $1.9B to $1.5B
        Aug 8, 2018 to Mar 31, 2019
      • Pooled vehicle RAUM · $1.9B to $1.5B
        Aug 8, 2018 to Mar 31, 2019
      • RAUM · $1.9B to $1.5B
        Aug 8, 2018 to Mar 31, 2019
      • Accounts · 9 to 11
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 11.0
        Mar 31, 2017 to Mar 29, 2018
      • Financial planning clients · 1-10 to unset
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.7B to $1.9B
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 1858448000.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $1.7B to $1.9B
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.6B to $1.7B
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $1.6B to $1.7B
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 12 to 11
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.6B to $1.6B
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $1.6B to $1.6B
        Mar 30, 2015 to Mar 30, 2016
      • Advisory employees · 9 to 12
        Mar 31, 2014 to Mar 30, 2015
      • Custody of client assets · false to true
        Mar 31, 2014 to Mar 30, 2015
      • Employees · 14 to 17
        Mar 31, 2014 to Mar 30, 2015
      • Financial planning clients · unset to 1-10
        Mar 31, 2014 to Mar 30, 2015
      • Discretionary RAUM · $1.8B to $1.6B
        Mar 31, 2014 to Mar 30, 2015
      • RAUM · $1.8B to $1.6B
        Mar 31, 2014 to Mar 30, 2015
      • Accounts · 11 to 9
        Mar 28, 2013 to Mar 31, 2014
      • Advisory employees · 10 to 9
        Mar 28, 2013 to Mar 31, 2014
      • Custody of client assets · true to false
        Mar 28, 2013 to Mar 31, 2014
      Signals
      1 dated events
      • N••• L•••••• C•••••• M••••••••• L•• reported RAUM $857.4M, down 31% from $1.3B (2021-03-31 to 2022-03-28)
        Mar 28, 2022 · 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.
      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