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••••••• I••••••••• P•••••••• L•••
Latest filing Jul 10, 2026
First filing on the tape Apr 2, 2012 · 30 filings
SEC status approved since Apr 17, 2006
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
37%
$536M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$725M
derived; firm RAUM over IAPD count
Employees
12
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.5B as of Jul 10, 2026
Apr 2, 2012$604M then
HNW client RAUM$536M as of Jul 10, 2026
Mar 31, 2018$806M then
State-registered IARs (5.B.3)2 as of Jul 10, 2026
Apr 2, 20120 then
Employees (5.A)12 as of Jul 10, 2026
Apr 1, 201312 then
Private funds3 as of Jul 10, 2026
Apr 2, 20122 then
RAUM +22% over the last fiscal year+5.2% a year over threeIARs 2 to 2offices 2 to 1
Practice profile
derived from the filing of Jul 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $725MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $67.0MderivedHNW RAUM over HNW clients
- Average account
- $45.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 29%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Custody
- $348M, 3 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$536M37%
- State and municipal entities$401M28%
- Pooled investment vehicles$348M24%
- Investment companies$143M9.9%
- Charitable organizations$22.5M1.5%
- Individual clients
- n/areported
- HNW clients
- 8reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 32reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $348M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.37 fund_share=0.34 institutional_share=0.29 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 |
|---|---|---|---|---|
| J••• D•••• W•••• | San Diego, Ca | Nov 24, 2025 | 35 y | 1 |
| C••••••••• P••• S•••••• | San Diego, Ca | Dec 8, 2025 | 19 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- L•••• S•••••• D•••••• to N•• C•••••• A•••••••• L••Nov 10, 2021 · Other
Joined, latest
- C••••••••• P••• S•••••• from F•••••• I••••••••• M••••••••• C••• L••Dec 8, 2025 · Other
- J••• D•••• W•••• from C••••••••• I••••••••• P••••••• L••Nov 24, 2025 · Other
- L•••• S•••••• D•••••• from N••••••••• C•••••• M••••••••• L••Dec 14, 2007 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••••• F••• L••• | Hedge Fund | $243M | 15 | Apr 2, 2012 |
| N••••••••• L•••no longer reported | Hedge Fund | $97.7M | 53 | May 24, 2018 |
| N•••••• L• | Hedge Fund | $75.7M | 7 | Mar 30, 2022 |
| N••••••• I••••••••• P••••••• C••••••••• F••• L••• | Other Private Fund | $29.8M | 6 | Apr 2, 2012 |
Owners and control persons
Schedule A and B, latest filing
- N•••••••• A•••••• E••••• · Senior Advisorcontrolsince 03/2006 · owns less than 5%
- S••••••• N•••••••• C••••••••• · Chief Officercontrolsince 03/2006 · owns less than 5%
- N•••••••• A•••••• E••••• · Limited Partner, As Single Member Of Aen Wy LLCcontrolsince 02/2017 · owns 25% to 50% of N•• 3• L•
- S••••••• N•••••••• C••••••••• C•••••••• · Managing Partner, As Single Member Of Ccn Wy LLCcontrolsince 02/2017 · owns 25% to 50% of N•• 3• L•
- G•••• M••••• · Portfolio Managersince 01/2025 · owns less than 5%
- N••••••• C•••••••• · Ccosince 08/2019 · owns less than 5%
- R•••••• A••••••••• S•••••• · Head Tradersince 01/2017 · owns less than 5%
- S••••••• C••••••••• P••• · President, Coosince 04/2011 · owns less than 5%
- W••••••• T••••• L••• · Marketing Managersince 03/2009 · owns less than 5%
- W••••• J•••• D•••• · Portfolio Managersince 01/2008 · owns less than 5%
Entity owners
- N••••••• I••••••••• P•••••••• L•• · General Partnerdirect · owns less than 5%
- N•• 3• L• · Limited Partnerdirect · 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 |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Rancho Santa Fe, CA12 employees
- Douglas, WY2 employees
What changed
consecutive filings, newest first
- Advisory activities · 4 to 5Mar 25, 2026 to Jul 10, 2026
- Assets in custody · $337M to $348MSep 26, 2025 to Mar 25, 2026
- HQ city · RANCHO SANTA FE to SAN DIEGOSep 26, 2025 to Mar 25, 2026
- Other offices · 2 to 1Sep 26, 2025 to Mar 25, 2026
- Discretionary RAUM · $1.3B to $1.5BSep 26, 2025 to Mar 25, 2026
- HNW RAUM · $494M to $536MSep 26, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $337M to $348MSep 26, 2025 to Mar 25, 2026
- RAUM · $1.3B to $1.5BSep 26, 2025 to Mar 25, 2026
- Accounts · 33 to 32Mar 28, 2025 to Sep 26, 2025
- BD registered reps · 0 to 1Mar 28, 2025 to Sep 26, 2025
- HNW clients · 7 to 8Mar 28, 2025 to Sep 26, 2025
- Pension plan clients · 1 to 0Mar 28, 2025 to Sep 26, 2025
- Pooled vehicle clients · 4 to 3Mar 28, 2025 to Sep 26, 2025
- Assets in custody · $290M to $337MMar 28, 2025 to Sep 26, 2025
- Insurance-licensed employees · 1 to 0Mar 28, 2025 to Sep 26, 2025
- Discretionary RAUM · $1.2B to $1.3BMar 28, 2025 to Sep 26, 2025
- HNW RAUM · $409M to $494MMar 28, 2025 to Sep 26, 2025
- Non-discretionary RAUM · $2.6M to $0Mar 28, 2025 to Sep 26, 2025
- Pension RAUM · 4354084.0 to unsetMar 28, 2025 to Sep 26, 2025
- Pooled vehicle RAUM · $347M to $337MMar 28, 2025 to Sep 26, 2025
- RAUM · $1.2B to $1.3BMar 28, 2025 to Sep 26, 2025
- Accounts · 32 to 33Mar 28, 2024 to Mar 28, 2025
- Advisory employees · 4 to 5Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $236M to $290MMar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $921M to $1.2BMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $309M to $409MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $2.4M to $2.6MMar 28, 2024 to Mar 28, 2025
- Pension RAUM · $4.5M to $4.4MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $281M to $347MMar 28, 2024 to Mar 28, 2025
- RAUM · $924M to $1.2BMar 28, 2024 to Mar 28, 2025
- Related adviser · false to trueMar 28, 2024 to Mar 28, 2025
- Accounts · 33 to 32Nov 22, 2023 to Mar 28, 2024
- Advisory employees · 6 to 4Nov 22, 2023 to Mar 28, 2024
- Assets in custody · $195M to $236MNov 22, 2023 to Mar 28, 2024
- Employees · 11 to 12Nov 22, 2023 to Mar 28, 2024
- Discretionary RAUM · $779M to $921MNov 22, 2023 to Mar 28, 2024
- HNW RAUM · $266M to $309MNov 22, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $2.2M to $2.4MNov 22, 2023 to Mar 28, 2024
- Pension RAUM · $3.7M to $4.5MNov 22, 2023 to Mar 28, 2024
Signals
5 dated events
- N••••••• I••••••••• P•••••••• L••• reported RAUM $1.2B, up 28% from $923.9M (2024-03-28 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- N••••••• I••••••••• P•••••••• L••• reported RAUM $780.9M, down 37% from $1.2B (2023-03-30 to 2023-11-22)Nov 22, 2023 · RAUM change · derived
- N••••••• I••••••••• P•••••••• L••• reported RAUM $1.2B, down 31% from $1.8B (2022-11-04 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- N••••••• I••••••••• P•••••••• L••• reported RAUM $1.6B, up 34% from $1.2B (2020-06-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- N••••••• I••••••••• P•••••••• L••• reported RAUM $1.3B, down 32% from $1.9B (2018-05-24 to 2019-03-29)Mar 29, 2019 · 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
- Firm profile
- linkedin.com/company/6048508/admin/dashboardreportedpublic record, Form ADV, Sep 18, 2026
- Website
- nicfunds.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 858-759-4545reportedpublic record, Form ADV, Jul 10, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $725Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026