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•• A••••• C•••••• P•••••••• L••
Latest filing Sep 23, 2019
First filing on the tape Mar 29, 2012 · 21 filings
RAUM
$45.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
30%
$13.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$45.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$341M as of Mar 26, 2019
Mar 29, 2012$193M then
HNW client RAUM$12.2M as of Mar 26, 2019
Mar 25, 2018$10.1M then
State-registered IARs (5.B.3)1 as of Mar 26, 2019
Mar 29, 20120 then
Employees (5.A)1 as of Mar 26, 2019
Mar 11, 20134 then
Private funds: no history
RAUM -87% over the last fiscal year-48% a year over threeIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Sep 23, 2019; every figure names its basis
- RAUM per advisor
- $45.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 70%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +33%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$31.8M70%
- High-net-worth individuals$10.9M24%
- Individuals$2.5M5.4%
- Individual clients
- 10reported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 19reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• N••• L••••Chartered Financial Analyst | Bluffton, Sc | Mar 26, 2019 | 23 y | 3 |
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
- W••••• R• G••••••••• to G••••••••• I••••••••• C••••••Jan 7, 2010 · Other
Joined, latest
- J••• N••• L•••• from S••••••••• A•••• M••••••••• L••Mar 26, 2019 · Other
- W••••• R• G••••••••• from G••••••••• I••••••••• C••••••May 12, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• J•••• N••• · Managing Member And Chief Compliance Officercontrolsince 09/2007 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 26 to 19Jun 7, 2019 to Jul 19, 2019
- HNW clients · 10 to 7Jun 7, 2019 to Jul 19, 2019
- Discretionary RAUM · $167M to $45.1MJun 7, 2019 to Jul 19, 2019
- HNW RAUM · $9.9M to $10.9MJun 7, 2019 to Jul 19, 2019
- Individual RAUM · $2.8M to $2.5MJun 7, 2019 to Jul 19, 2019
- RAUM · $167M to $45.1MJun 7, 2019 to Jul 19, 2019
- Accounts · 32 to 26Mar 26, 2019 to Jun 6, 2019
- Charity clients · 4.0 to unsetMar 26, 2019 to Jun 6, 2019
- HNW clients · 9 to 10Mar 26, 2019 to Jun 6, 2019
- Individual clients · 11 to 10Mar 26, 2019 to Jun 6, 2019
- HQ city · COLUMBUS to BLUFFTONMar 26, 2019 to Jun 6, 2019
- HQ state · OH to SCMar 26, 2019 to Jun 6, 2019
- Discretionary RAUM · $341M to $167MMar 26, 2019 to Jun 6, 2019
- HNW RAUM · $12.2M to $9.9MMar 26, 2019 to Jun 6, 2019
- Individual RAUM · $2.1M to $2.8MMar 26, 2019 to Jun 6, 2019
- RAUM · $341M to $167MMar 26, 2019 to Jun 6, 2019
- Related adviser · false to trueMar 26, 2019 to Jun 6, 2019
- Accounts · 27 to 32Mar 25, 2018 to Mar 26, 2019
- Advisory employees · 2 to 1Mar 25, 2018 to Mar 26, 2019
- Advisory activities · 4 to 3Mar 25, 2018 to Mar 26, 2019
- Charity clients · unset to 4.0Mar 25, 2018 to Mar 26, 2019
- HNW clients · 6 to 9Mar 25, 2018 to Mar 26, 2019
- Individual clients · 9 to 11Mar 25, 2018 to Mar 26, 2019
- Employees · 2 to 1Mar 25, 2018 to Mar 26, 2019
- Other offices · 0 to 1Mar 25, 2018 to Mar 26, 2019
- Discretionary RAUM · $357M to $341MMar 25, 2018 to Mar 26, 2019
- HNW RAUM · $10.1M to $12.2MMar 25, 2018 to Mar 26, 2019
- Individual RAUM · $3.5M to $2.1MMar 25, 2018 to Mar 26, 2019
- RAUM · $357M to $341MMar 25, 2018 to Mar 26, 2019
- Accounts · 31 to 27Mar 28, 2017 to Mar 25, 2018
- Corporate clients · unset to 0.0Mar 28, 2017 to Mar 25, 2018
- HNW clients · unset to 6.0Mar 28, 2017 to Mar 25, 2018
- Individual clients · unset to 9.0Mar 28, 2017 to Mar 25, 2018
- Pooled vehicle clients · unset to 0.0Mar 28, 2017 to Mar 25, 2018
- Other offices · unset to 0.0Mar 28, 2017 to Mar 25, 2018
- Discretionary RAUM · $309M to $357MMar 28, 2017 to Mar 25, 2018
- HNW RAUM · unset to 10050744.0Mar 28, 2017 to Mar 25, 2018
- Individual RAUM · unset to 3450820.0Mar 28, 2017 to Mar 25, 2018
- Non-discretionary RAUM · $5.5M to $0Mar 28, 2017 to Mar 25, 2018
- Pension RAUM · unset to 0.0Mar 28, 2017 to Mar 25, 2018
Signals
2 dated events
- N•• A••••• C•••••• P•••••••• L•• reported RAUM $45.1M, down 73% from $167.4M (2019-06-07 to 2019-07-19)Jul 19, 2019 · RAUM change · derived
- N•• A••••• C•••••• P•••••••• L•• reported RAUM $167.4M, down 51% from $341.4M (2019-03-26 to 2019-06-06)Jun 6, 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
- Website
- NEWA•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $45.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026