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.
SEC-registered adviser
Northgate Capital, L.P.
Latest filing Jul 10, 2026
First filing on the tape Nov 14, 2011 · 31 filings
SEC status approved since Nov 24, 2006
RAUM
$2.9B
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
27
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
67
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$2.9B as of Jul 10, 2026
Mar 30, 2012$3.1B then
HNW client RAUM$0 as of Jul 10, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jul 10, 2026
Apr 3, 20130 then
Employees (5.A)27 as of Jul 10, 2026
Apr 3, 201330 then
Private funds67 as of Jul 10, 2026
Mar 30, 201240 then
RAUM -28% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 10, 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
- $43.7MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -28%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)
- 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$2.9B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 67reported
- 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
75 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Northgate Venture Partners Vi, L.P. | Venture Capital Fund | $295M | 29 | Mar 30, 2012 |
| Northgate V, L.P. | Private Equity Fund | $275M | 51 | Mar 30, 2012 |
| Northgate Venture Partners Vii, L.P. | Venture Capital Fund | $215M | 87 | Mar 30, 2015 |
| Northgate IV, L.P. | Private Equity Fund | $134M | 96 | Mar 30, 2012 |
| Nvp Viii Pg, L.P. | Venture Capital Fund | $131M | 3 | Mar 30, 2021 |
| Ncd Swib, L.P. | Venture Capital Fund | $114M | 2 | Apr 3, 2013 |
| Northgate Venture Partners Viii, L.P. | Venture Capital Fund | $111M | 25 | Mar 30, 2021 |
| Northgate Venture Growth III, L.P. | Venture Capital Fund | $105M | 62 | Mar 30, 2012 |
| Nc Swib, L.P. | Private Equity Fund | $102M | 2 | Mar 30, 2012 |
| Nvp Vi Sa, L.P. | Venture Capital Fund | $78.3M | 3 | Apr 3, 2013 |
| Northgate Venture Partners Ix, L.P. | Venture Capital Fund | $75.2M | 33 | Mar 30, 2021 |
| Northgate Venture Partners X, L.P. | Venture Capital Fund | $66.3M | 13 | Mar 30, 2023 |
| Northgate V-M, L.P. | Private Equity Fund | $63.9M | 130 | Mar 30, 2012 |
| Northgate Venture Opportunities, L.P. | Venture Capital Fund | $60.7M | 15 | Mar 31, 2022 |
| Northgate V-E, L.P. | Private Equity Fund | $55.5M | 3 | Mar 30, 2012 |
| Northgate Private Equity Partners III, L.P. | Private Equity Fund | $50.1M | 63 | Mar 30, 2012 |
| Northgate Commstech Innovations Partners, L.P. | Venture Capital Fund | $49.1M | 4 | Mar 28, 2016 |
| Northgate Venture Partners III, L.P. | Venture Capital Fund | $48.2M | 54 | Mar 30, 2012 |
| Northgate Mexico, L.P.no longer reported | Private Equity Fund | $46.6M | 4 | Apr 3, 2013 |
| Ncd Swib Opportunities, L.P. | Venture Capital Fund | $45.0M | 2 | Apr 3, 2013 |
| Northgate Growth Fund II, L.P. | Venture Capital Fund | $44.7M | 16 | Mar 30, 2023 |
| Northgate Venture Partners II, L.P. | Venture Capital Fund | $43.4M | 49 | Mar 30, 2012 |
| Northgate Venture Growth I, L.P. | Venture Capital Fund | $40.4M | 72 | Mar 30, 2012 |
| Northgate Fintech Innovations Partners, L.P.no longer reported | Venture Capital Fund | $40.4M | 2 | Mar 28, 2016 |
| Northgate V-B, L.P. | Private Equity Fund | $35.4M | 90 | Mar 30, 2012 |
| Northgate Partners, A Delaware Multiple Series L.L.C.no longer reported | Venture Capital Fund | $33.3M | 155 | Mar 30, 2012 |
| Nvp Ix - M, L.P. | Venture Capital Fund | $32.6M | 3 | Mar 30, 2021 |
| Northgate Venture Partners Viii, L.P.no longer reported | Venture Capital Fund | $24.5M | 15 | Apr 20, 2018 |
| Northgate Private Equity Partners II (Q), L.P. | Private Equity Fund | $24.2M | 41 | Mar 30, 2012 |
| Northgate Vi-B Vc, L.P | Venture Capital Fund | $23.2M | 48 | Mar 30, 2015 |
| Northgate Growth Fund, L.P. | Venture Capital Fund | $23.1M | 7 | Mar 27, 2020 |
| Northgate Private Equity Partners III-B3, L.P. | Private Equity Fund | $20.6M | 119 | Mar 30, 2012 |
| Northgate Global Emerging Markets, L.P. | Private Equity Fund | $18.5M | 48 | Mar 30, 2012 |
| Northgate Private Equity Partners III-M2, L.P. | Private Equity Fund | $15.4M | 146 | Mar 30, 2012 |
| Northgate IV-B, L.P. | Private Equity Fund | $15.4M | 81 | Mar 30, 2012 |
| Northgate IV-M, L.P. | Private Equity Fund | $14.5M | 106 | Mar 30, 2012 |
| Northgate Growth Fund III, L.P. | Venture Capital Fund | $14.3M | 4 | Mar 30, 2023 |
| Northgate Venture Partners II (Q), L.P. | Venture Capital Fund | $11.3M | 48 | Mar 30, 2012 |
| Northgate Venture Partners III (Q), L.P. | Venture Capital Fund | $11.2M | 56 | Mar 30, 2012 |
| Northgate Capital Mexico Credit Fund I, L.P.no longer reported | Venture Capital Fund | $8.5M | 2 | Mar 27, 2017 |
Owners and control persons
Schedule A and B, latest filing
- (Nmn) Lawrence Cowen · Chief Compliance Officer & General Counselcontrolsince 02/2017 · owns less than 5%
- Heiss Casey Gordon · Managing Partnercontrolsince 01/2020 · owns less than 5%
- Michael Brent Jones · Co-Founder And Partnercontrolsince 12/2005 · owns less than 5%
- Nmn Ali Ojjeh · Chairmancontrolsince 07/2016 · owns less than 5%
- Arthur Thomas Vardell · Co-Founder And Partnercontrolsince 12/2005 · owns less than 5%
- Sunil Janhavi Vaze · Chief Financial Officercontrolsince 03/2019 · owns less than 5%
Entity owners
- Northgate Capital, LLC · General Partnerdirect · owns less than 5%
- Tcp-Ng (U.S.), L.L.C. · Limited Partnerdirect · owns 75% or more
- Clermont Corporate Services Limited As Trustee Of The Quattro Trust · Shareholderindirect · owns 25% to 50% of Quattro International Investments Limited
- Clermont Corporate Services Limited As Trustee Of The Sakab Trust · Shareholderindirect · owns 25% to 50% of Fair Services Holdings S.A.
- Fair Services Holdings S.A. · Shareholderindirect · owns 25% to 50% of The Capital Partnership Group Limited
- Quattro International Investments Limited · Shareholderindirect · owns 25% to 50% of The Capital Partnership Group Limited
- Tcp-Ng (U.K.) Ltd. · Shareholderindirect · owns 75% or more of Tcp-Ng (U.S.) II, L.L.C.
- Tcp-Ng (U.S.) II, L.L.C. · Memberindirect · owns 75% or more of Tcp-Ng (U.S.), L.L.C.
- The Capital Partnership Group Limited · Shareholderindirect · owns 75% or more of Tcp-Ng (U.K.) Ltd.
Related persons
Schedule D 7.A
- Nc II, L.L.C.pooled vehicle sponsory
- Nc III, L.L.C.investment adviserpooled vehicle sponsoryRAUM $2.4B
- Nc IV, L.L.C.pooled vehicle sponsory
- Nc V, L.L.C.pooled vehicle sponsory
- Nc Vi, L.L.C.pooled vehicle sponsory
- Ncd Management III, L.L.C.pooled vehicle sponsory
- Ncd Management IV, L.L.C.pooled vehicle sponsory
- Ncd Management V, L.L.C.pooled vehicle sponsory
- Ncd Management Vi, L.L.C.pooled vehicle sponsory
- Ncd Management Vii, L.L.C.pooled vehicle sponsory
- Ncd Swib Management, L.L.C.pooled vehicle sponsory
- Ndo III Management, LLCpooled vehicle sponsory
- Ndo IV Management, LLCpooled vehicle sponsory
- Ndo V Management, LLCpooled vehicle sponsory
- Ndo Vi Management, LLCpooled vehicle sponsory
- Ngem Mexico S. De R.L. De C.V.investment advisery
- Ngemm, L.L.C.pooled vehicle sponsory
- Northgate Capital Partners, L.L.C.pooled vehicle sponsory
- Northgate Capital, LLCinvestment adviserpooled vehicle sponsory
- Northgate Growth Gp II, LLCpooled vehicle sponsory
- Northgate Growth Gp III, LLCpooled vehicle sponsory
- Northgate Growth Gp, LLCpooled vehicle sponsory
- Northgate Telecom Innovations Partners, L.P.pooled vehicle sponsory
- Nv II, L.L.C.pooled vehicle sponsory
- Nv III, L.L.C.pooled vehicle sponsory
- Nv Ix, LLCpooled vehicle sponsory
- Nv Vii, L.L.C.pooled vehicle sponsory
- Nv Viii, L.P.pooled vehicle sponsory
- Nvo Gp, LLCpooled vehicle sponsory
- Nvp X(Gp), LLCpooled vehicle sponsory
Advisers that list Northgate Capital, L.P. as a related person
Offices
Schedule D 1.F, the 25 largest
- Mexico City, Mexico13 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $4,045,094,384 to $2,929,899,129 (-28.0%) between the annual amendments of 2025-04-03 and 2026-03-30; the peer median change was +11.0% (1368 comparable advisers, 4.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 3.7% percentile
What changed
consecutive filings, newest first
- Accounts · 62 to 67Feb 24, 2026 to Mar 30, 2026
- Advisory employees · 12 to 9Feb 24, 2026 to Mar 30, 2026
- Pooled vehicle clients · 62 to 67Feb 24, 2026 to Mar 30, 2026
- Employees · 30 to 27Feb 24, 2026 to Mar 30, 2026
- Private funds · 62 to 67Feb 24, 2026 to Mar 30, 2026
- Discretionary RAUM · $4.0B to $2.9BFeb 24, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $4.0B to $2.9BFeb 24, 2026 to Mar 30, 2026
- RAUM · $4.0B to $2.9BFeb 24, 2026 to Mar 30, 2026
- Accounts · 65 to 62Mar 28, 2024 to Apr 3, 2025
- Advisory employees · 14 to 12Mar 28, 2024 to Apr 3, 2025
- Pooled vehicle clients · 65 to 62Mar 28, 2024 to Apr 3, 2025
- Employees · 36 to 30Mar 28, 2024 to Apr 3, 2025
- Financial planning clients · unset to Mar 28, 2024 to Apr 3, 2025
- Private funds · 65 to 62Mar 28, 2024 to Apr 3, 2025
- Discretionary RAUM · $4.1B to $4.0BMar 28, 2024 to Apr 3, 2025
- Pooled vehicle RAUM · $4.1B to $4.0BMar 28, 2024 to Apr 3, 2025
- RAUM · $4.1B to $4.0BMar 28, 2024 to Apr 3, 2025
- Advisory employees · 18 to 14May 12, 2023 to Mar 28, 2024
- Employees · 40 to 36May 12, 2023 to Mar 28, 2024
- Discretionary RAUM · $4.8B to $4.1BMay 12, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $4.8B to $4.1BMay 12, 2023 to Mar 28, 2024
- RAUM · $4.8B to $4.1BMay 12, 2023 to Mar 28, 2024
- Organization form · Partnership to Limited PartnershipMar 30, 2023 to May 12, 2023
- Accounts · 61 to 65Mar 31, 2022 to Mar 30, 2023
- Pooled vehicle clients · 61 to 65Mar 31, 2022 to Mar 30, 2023
- Employees · 42 to 40Mar 31, 2022 to Mar 30, 2023
- Private funds · 61 to 65Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $6.3B to $4.8BMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $6.3B to $4.8BMar 31, 2022 to Mar 30, 2023
- RAUM · $6.3B to $4.8BMar 31, 2022 to Mar 30, 2023
- Accounts · 59 to 61Mar 30, 2021 to Mar 31, 2022
- Pooled vehicle clients · 59 to 61Mar 30, 2021 to Mar 31, 2022
- Employees · 39 to 42Mar 30, 2021 to Mar 31, 2022
- Other offices · 4 to 1Mar 30, 2021 to Mar 31, 2022
- Private funds · 59 to 61Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $4.8B to $6.3BMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $4.8B to $6.3BMar 30, 2021 to Mar 31, 2022
- RAUM · $4.8B to $6.3BMar 30, 2021 to Mar 31, 2022
- Advisory employees · 20 to 18Mar 27, 2020 to Mar 30, 2021
- Employees · 46 to 39Mar 27, 2020 to Mar 30, 2021
Signals
6 dated events
- Northgate Capital, L.P. reported RAUM $2.9B, down 28% from $4.0B (2026-02-24 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Northgate Capital, L.P. reported RAUM $6.3B, up 33% from $4.8B (2021-03-30 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Arthur Thomas Vardell (Co-Founder And Partner) appeared on Schedule A of Northgate Capital, L.P.Mar 27, 2020 · Control person joined · fact
- Michael Brent Jones (Co-Founder And Partner) appeared on Schedule A of Northgate Capital, L.P.Mar 27, 2020 · Control person joined · fact
- Heiss Casey Gordon (Managing Partner) appeared on Schedule A of Northgate Capital, L.P.Mar 27, 2020 · Control person joined · fact
- Sunil Janhavi Vaze (Chief Financial Officer) appeared on Schedule A of Northgate Capital, L.P.Mar 26, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Northgate Capital, L.P. · Independent Sponsorsshared crd · capital_provider
- Northgate Capital, L.P. · Private Equityshared crd · organization
- Northgate Capital, LLC · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/northgate-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- NORTHGATE.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 925-820-9970reportedpublic 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
- 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