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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Former SEC-registered adviser

N• I••• L•••••

Former SEC-registered adviserDanville, CaliforniaCRD 144185SEC 801-67993IAPD
Latest filing Dec 8, 2014
First filing on the tape Nov 28, 2011 · 12 filings
RAUM
$2.4B
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
36
21 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
39
$3.6B gross assets
History
12 filings and snapshots on the tape
RAUM$2.4B as of Mar 31, 2014
Mar 30, 2012$2.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Apr 3, 20130 then
Employees (5.A)36 as of Mar 31, 2014
Apr 3, 201330 then
Private funds39 as of Mar 31, 2014
Mar 30, 201233 then
RAUM -6.6% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 8, 2014; 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
$60.6MderivedRAUM 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
unknownderived6 offices incl. principal (1.F.5)
RAUM growth, one year
-6.6%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
$2.4B, 39 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
39reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.4B for 39 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • J••••• B••••• M•••••• · Membercontrol
        since 06/2000 · owns 10% to 25%
      • K•••••• H•••••••• H••••• · Membercontrol
        since 10/2004 · owns 10% to 25%
      • V••••••• T•••••• A••••• · Membercontrol
        since 06/2000 · owns 10% to 25%
      • C••••••••• C••••• S• · Chief Compliance Officer
        since 08/2011 · owns less than 5%
      • H•••••• M•••• E••••• · Member/Senior Advisor
        since 06/2000 · owns 10% to 25%
      • S••••• J••••• W••••• · Member/Senior Advisor
        since 01/2002 · owns 10% to 25%
      • V•••••• M•••• R• · Chief Operating Officer/Chief Financial Officer
        since 06/2011 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list N• I••• L••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Hong Kong, Hong Kong
      • London, United Kingdom
      • Melbourne, Australia
      • Mexico City, Mexico
      • New Delhi, India
      What changed
      consecutive filings, newest first
      • Advisory employees · 19 to 21
        Jan 22, 2014 to Mar 31, 2014
      • Assets in custody · $2.2B to $2.4B
        Jan 22, 2014 to Mar 31, 2014
      • Employees · 30 to 36
        Jan 22, 2014 to Mar 31, 2014
      • Discretionary RAUM · $2.5B to $2.4B
        Jan 22, 2014 to Mar 31, 2014
      • RAUM · $2.5B to $2.4B
        Jan 22, 2014 to Mar 31, 2014
      • Advisory employees · 16 to 19
        Feb 4, 2013 to Apr 3, 2013
      • Assets in custody · $2.3B to $2.2B
        Feb 4, 2013 to Apr 3, 2013
      • Employees · 29 to 30
        Feb 4, 2013 to Apr 3, 2013
      • Discretionary RAUM · $2.8B to $2.5B
        Feb 4, 2013 to Apr 3, 2013
      • RAUM · $2.8B to $2.5B
        Feb 4, 2013 to Apr 3, 2013
      • Accounts · 33 to 39
        Aug 8, 2012 to Feb 4, 2013
      • Advisory employees · unset to 16.0
        Aug 8, 2012 to Feb 4, 2013
      • Assets in custody · $2.8B to $2.3B
        Aug 8, 2012 to Feb 4, 2013
      • Employees · unset to 29.0
        Aug 8, 2012 to Feb 4, 2013
      • State-registered IARs · unset to 0.0
        Aug 8, 2012 to Feb 4, 2013
      • Private funds · 33 to 39
        Aug 8, 2012 to Feb 4, 2013
      • Discretionary RAUM · $2.8B to $2.8B
        Aug 8, 2012 to Feb 4, 2013
      • RAUM · $2.8B to $2.8B
        Aug 8, 2012 to Feb 4, 2013
      • Accounts · 35 to 33
        Nov 28, 2011 to Mar 30, 2012
      • Assets in custody · $2.8B to $2.8B
        Nov 28, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 28, 2011 to Mar 30, 2012
      • Financial planning clients · 0 to unset
        Nov 28, 2011 to Mar 30, 2012
      • Private funds · unset to 33
        Nov 28, 2011 to Mar 30, 2012
      • Discretionary RAUM · $2.8B to $2.8B
        Nov 28, 2011 to Mar 30, 2012
      • RAUM · $2.8B to $2.8B
        Nov 28, 2011 to Mar 30, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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