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•••••• G••••• A••••••• L•••

Other adviserThe Woodlands, TexasCRD 139368SEC 801-66417website IAPD

Latest filing Jul 9, 2026

First filing on the tape Nov 22, 2011 · 29 filings

SEC status approved since May 4, 2006

RAUM

$175M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$87.4M

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

29 filings and snapshots on the tape

RAUM$175M as of Jul 9, 2026

Mar 30, 2012$513M then

HNW client RAUM: no history

State-registered IARs (5.B.3)2 as of Jul 9, 2026

Mar 30, 20120 then

Employees (5.A)5 as of Jul 9, 2026

Apr 1, 201311 then

Private funds5 as of Jul 9, 2026

Mar 30, 20126 then

RAUM -6.3% over the last fiscal year-28% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Jul 9, 2026; every figure names its basis

RAUM per advisor: $87.4MderivedRAUM 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: $29.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 48%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -6.3%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $104M, 2 clientsreportedItem 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)
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)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$90.1M52%
Insurance companies$84.7M48%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 6reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $104M for 2 clientsreported
Compensation: % of AUM, fixed, performancereported
Class basis: private_client_share=0.0 fund_share=0.52 institutional_share=0.48 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
T•••••• T• J••••••	The Woodlands, Tx	Jan 5, 2018	21 y	1
K•••• M•••••• R••	The Woodlands, Tx	Dec 20, 2021	31 y	1

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

K•••• M•••••• R•• from R•• E••••• R••••••• L••
Dec 20, 2021 · Other

Every departure Every arrival

Private funds

8 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
N•••••• G••••• O••••••••• F••• I•• L•	Private Equity Fund	$134M	40	Mar 29, 2016
N•••••• G••••• C••••• F••• ••••••• L•	Hedge Fund	$60.8M	4	Mar 30, 2012
N•••••• G••••• C••••• F••• ••••••• L••	Hedge Fund	$24.1M	3	Mar 30, 2012
N•••••• G••••• C••••• F••• L•	Hedge Fund	$23.4M	4	Mar 30, 2012
N•••••• G••••• O••••••••• F••• L•no longer reported	Private Equity Fund	$6.7M	27	Mar 30, 2012
N•••••• F••••• F••• I•• L•	Private Equity Fund	$872,764	7	Mar 29, 2016
N•••••• F••••• F••• L•no longer reported	Private Equity Fund	$834,077	33	Mar 30, 2012
N•••••• O••••••• F••••• F••• L•no longer reported	Private Equity Fund	$706,358	3	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

J••••••• T••••••• T• · Director, Chief Executive Officercontrol
since 09/2006 · owns less than 5%
L••••••• R•••• L• · Director, Sr. Managing Directorcontrol
since 09/2006 · owns less than 5%
M••• R••••• A• · Managing Director; Chief Compliance Officer; Chief Operating Officercontrol
since 05/2024 · owns less than 5%
J••••••• T••••••• T• · President, Ceo, Managercontrol
since 09/2010 · owns 50% to 75% of N•••••• G••••• A••••••• L••
J••••••• T••••••• T• · President, Ceo And Managercontrol
since 09/2010 · owns 50% to 75% of N•••••• G••••• A••••••• F••••• L••
L••••••• R•••• L• · Sr. Managing Director, Managercontrol
since 09/2010 · owns 25% to 50% of N•••••• G••••• A••••••• L••
L••••••• R•••• L• · Senior Managing Director, Managercontrol
since 09/2010 · owns 50% to 75% of N•••••• G••••• A••••••• F••••• L••
M•••• A•••••• L••• · Director Of Finance
since 05/2024 · owns less than 5%
R••• K••••• M•••••• · Managing Director
since 11/2021 · owns less than 5%

Entity owners

N•••••• G••••• A••••••• F••••• L•• · Limited Partner
direct · owns 75% or more
N•••••• G••••• A••••••• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

N•••••• G••••• O••••••••• G• I• A• L••
banky

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
The Woodlands, Tx · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 6 to 5
May 3, 2025 to Mar 20, 2026
Assets in custody · $137M to $104M
May 3, 2025 to Mar 20, 2026
Employees · 8 to 5
May 3, 2025 to Mar 20, 2026
Discretionary RAUM · $187M to $175M
May 3, 2025 to Mar 20, 2026
Pooled vehicle RAUM · $108M to $90.1M
May 3, 2025 to Mar 20, 2026
RAUM · $187M to $175M
May 3, 2025 to Mar 20, 2026
Related bank · true to false
May 3, 2025 to Mar 20, 2026
Financial planning clients · 0 to 0
Mar 24, 2025 to May 3, 2025
Assets in custody · $195M to $137M
Sep 19, 2024 to Mar 24, 2025
Discretionary RAUM · $273M to $187M
Sep 19, 2024 to Mar 24, 2025
Pooled vehicle RAUM · $195M to $108M
Sep 19, 2024 to Mar 24, 2025
RAUM · $273M to $187M
Sep 19, 2024 to Mar 24, 2025
Assets in custody · $449M to $195M
Jun 26, 2023 to Mar 26, 2024
Discretionary RAUM · $473M to $273M
Jun 26, 2023 to Mar 26, 2024
Pooled vehicle RAUM · $402M to $195M
Jun 26, 2023 to Mar 26, 2024
RAUM · $473M to $273M
Jun 26, 2023 to Mar 26, 2024
Accounts · 3 to 6
Jun 20, 2022 to Mar 29, 2023
Pooled vehicle clients · 2 to 5
Jun 20, 2022 to Mar 29, 2023
Discretionary RAUM · $449M to $473M
Jun 20, 2022 to Mar 29, 2023
Pooled vehicle RAUM · $373M to $402M
Jun 20, 2022 to Mar 29, 2023
RAUM · $449M to $473M
Jun 20, 2022 to Mar 29, 2023
Advisory employees · 8 to 6
Nov 4, 2021 to Mar 23, 2022
Assets in custody · $379M to $449M
Nov 4, 2021 to Mar 23, 2022
Employees · 10 to 8
Nov 4, 2021 to Mar 23, 2022
State-registered IARs · 1 to 2
Nov 4, 2021 to Mar 23, 2022
Discretionary RAUM · $376M to $449M
Nov 4, 2021 to Mar 23, 2022
Pooled vehicle RAUM · $307M to $373M
Nov 4, 2021 to Mar 23, 2022
RAUM · $376M to $449M
Nov 4, 2021 to Mar 23, 2022
Accounts · 4 to 3
Feb 10, 2020 to Mar 11, 2021
Pooled vehicle clients · 3 to 2
Feb 10, 2020 to Mar 11, 2021
Assets in custody · $524M to $379M
Feb 10, 2020 to Mar 11, 2021
Private funds · 8 to 5
Feb 10, 2020 to Mar 11, 2021
Discretionary RAUM · $524M to $376M
Feb 10, 2020 to Mar 11, 2021
Pooled vehicle RAUM · $438M to $307M
Feb 10, 2020 to Mar 11, 2021
RAUM · $524M to $376M
Feb 10, 2020 to Mar 11, 2021
Assets in custody · $511M to $524M
Jan 18, 2019 to Feb 10, 2020
Discretionary RAUM · $511M to $524M
Jan 18, 2019 to Feb 10, 2020
Pooled vehicle RAUM · $429M to $438M
Jan 18, 2019 to Feb 10, 2020
RAUM · $511M to $524M
Jan 18, 2019 to Feb 10, 2020
Accounts · 3 to 4
Apr 2, 2018 to Jan 18, 2019

Signals

6 dated events

L••••• S•••• P••••• (Chief Financial Officer, Chief Compliance Officer) no longer on Schedule A of N•••••• G••••• A••••••• L••• (listed 2024-03-26, absent 2024-05-13)
May 13, 2024 · Control person left · inference
N•••••• G••••• A••••••• L••• reported RAUM $273.2M, down 42% from $472.6M (2023-06-26 to 2024-03-26)
Mar 26, 2024 · RAUM change · derived
A Roger May (Managing Director) appeared on Schedule A of N•••••• G••••• A••••••• L•••
Mar 26, 2024 · Control person joined · fact
Anthony Longi (Managing Director, Chief Operating Officer, Chief Compliance Officer) no longer on Schedule A of N•••••• G••••• A••••••• L••• (listed 2023-03-29, absent 2023-06-26)
Jun 26, 2023 · Control person left · inference
L••••• S•••• P••••• (Chief Financial Officer) appeared on Schedule A of N•••••• G••••• A••••••• L•••
Mar 23, 2022 · Control person joined · fact
N•••••• G••••• A••••••• L••• reported RAUM $376.4M, down 28% from $524.4M (2020-02-10 to 2021-03-11)
Mar 11, 2021 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

N•••••• G••••• A••••••• L••• · Independent Sponsors
shared crd · capital_provider
N•••••• G••••• A••••••• L••• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Website: N••••••GLOBALADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 713-559-7400reportedpublic record, Form ADV, Jul 9, 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: Other adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $87.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026