DFX Intelligence
RIA Intelligence
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SEC-registered adviser
N•••••••• C•••••• A••••••• L•••
Latest filing Jul 31, 2026
First filing on the tape Nov 25, 2011 · 23 filings
SEC status approved since Oct 5, 2007
RAUM
$585M
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
156
70 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$585M as of Jul 31, 2026
Nov 25, 2011$31.1M then
HNW client RAUM$0 as of Jul 31, 2026
Dec 23, 2025$0 then
State-registered IARs (5.B.3)0 as of Jul 31, 2026
Nov 25, 20110 then
Employees (5.A)156 as of Jul 31, 2026
Dec 17, 201246 then
Private funds3 as of Jul 31, 2026
Nov 25, 20111 then
RAUM -2.5% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 31, 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
- $146MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $502,575, 1 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
- 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$563M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $502,575 for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.96 institutional_share=0.0 related_bd=true related_bank=true bd_reps=3.0derived
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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•••••••• I••••••••• C•••••• P••••••• ••• I•• L• | Other Private Fund | $450M | 11 | Dec 22, 2021 |
| N•••••••• C•••••• O••••••••• ••• L• | Private Equity Fund | $85.5M | 1 | Dec 21, 2022 |
| N•••••••• 1••• S•••••••• H••••••• •••• L•••no longer reported | Private Equity Fund | $27.1M | 1 | Dec 17, 2015 |
| N•••••••• G••••• P•••••• E••••• I•••••••• ••••••••• I•• L• | Private Equity Fund | $5.2M | 2 | Nov 25, 2011 |
Owners and control persons
Schedule A and B, latest filing
- F••••• M••••••• W•••••• · Managing Director/Directorcontrolsince 08/2007 · owns less than 5%
- P•••••••• J••••••• E••••• G••••• · Managing Director/Directorcontrolsince 12/2008 · owns less than 5%
- W••••• S•••••• D•••••• · Managing Director And Managing Partner/Directorcontrolsince 11/2009 · owns less than 5%
- D••••••••• A••••• R•••• · Trusteecontrolsince 10/2013 · owns F of T•• D•••••••• F••••• R•••••••• T••••
- D••••••••• P•••• G•• · Trusteecontrolsince 10/2013 · owns F of T•• D•••••••• F••••• R•••••••• T••••
- D•••• G•••• A••••• · Trusteecontrolsince 05/2023 · owns F of T•• D•••••••• F••••• R•••••••• T••••
- F••••••• G••••••• J•••• · Trusteecontrolsince 02/2024 · owns F of T•• D•••••••• F••••• R•••••••• T••••
- G•••••• K••••••••• M••• · General C••••••, Chief Compliance Officer & Secretarysince 12/2008 · owns less than 5%
- L•••••••• J••••••• T•••••••• · Chief Financial Officersince 11/2017 · owns less than 5%
- D••••••••• S•••••• C••••••• · Trusteesince 03/2018 · owns F of T•• D•••••••• F••••• R•••••••• T••••
Entity owners
- N•••••••• C•••••• P••••••• L••• · Direct Ownerdirect · owns 75% or more
- A•••••••• L••• · Shareholderindirect · owns 25% to 50% of N•••••••• C•••••• G•••• L•••
- I•• F•••••••• I••• · Shareholderindirect · owns 75% or more of M•••••••• I•••
- M•••••••• I••• · Shareholderindirect · owns 75% or more of M•••••••• I•••••••••
- M•••••••• I••••••••• · Partnerindirect · owns 75% or more of A•••••••• L•••
- N•••••••• C•••••• G•••• L••• · Shareholder-Voting Special Sharesindirect · owns 75% or more of N•••••••• C•••••• P••••••• L•••
- P•••• C••••••••• O• C••••• · Shareholderindirect · owns 75% or more of P•••• F•••••••• C••••
- P•••• F•••••••• C•••• · Shareholderindirect · owns 50% to 75% of I•• F•••••••• I•••
- T•• D•••••••• F••••• R•••••••• T•••• · Shareholderindirect · owns 50% to 75% of P•••• C••••••••• O• C•••••
Related persons
Schedule D 7.A
- C••••• L••• A•••• M••••••••• L••••••investment advisern
- C••••• L••• I••••••••• M••••••••• L•••investment adviserbankn
- C•••• A•••• M••••••••• C••• L•••investment advisern
- C•••••• P•••••••• S••••••• I•••investment adviserpooled vehicle sponsorn
- D••••••••• C•••••• P••••••• ••••••• L•••pooled vehicle sponsorn
- G•• A•••• M••••••••• G•••• I•••investment advisern
- G•••• W••• L••• A•• A•••••• I•••••••• C••••••pooled vehicle sponsorreal estaten
- I••• I•••••••• S••••••• I•••real estaten
- I••• I••••••••• M••••••••• L•••investment adviserbankpooled vehicle sponsorreal estaten
- I•••••••• G•••• F•••••••• S••••••• I•••broker-dealerreal estaten
- I•••••••• G•••• S••••••••• I•••broker-dealerreal estaten
- I•••••••• G•••• T•••• C•• L•••n
- I•• I••••••••• C•••••••••broker-dealern
- I•• S••••••••• C•••••••••broker-dealern
- M•••••••• E• F•••• M••••••••• ••••••• L•••pooled vehicle sponsorn
- M•••••••• F•••••••• C•••••• C•••••••••pooled vehicle sponsory
- M•••••••• I••••••••• A••• L••••••investment advisernRAUM $2.5B
- M•••••••• I•••••••••investment advisernRAUM $18B
- M•••••••• I••••••••• E••••• L••••••investment adviserbanknRAUM $5.3B
- M•••• F••• M••••••••• ••••••• L•••pooled vehicle sponsorn
- M••• G• I•••pooled vehicle sponsorn
- N••• I• G• L••pooled vehicle sponsorn
- N••• I• G• L•••pooled vehicle sponsorn
- N•••••••• C•••••• P••••••• G• L•••pooled vehicle sponsorn
- N•••••••• C•••••• P••••••• U• G• L••pooled vehicle sponsorn
- N•••••••• G••••• F••• G• L•••pooled vehicle sponsorn
- N•••••••• N••• I•• G• L••pooled vehicle sponsorn
- N•••••••• N••• I•• G• L•••pooled vehicle sponsorn
- N•••••••• S•••••••• P••••••• I•• G• L•••pooled vehicle sponsorn
- N•••••••• V•••••• C••••••• F••• I•• G• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 4Dec 23, 2025 to Jul 31, 2026
- BD registered reps · 4 to 3Dec 23, 2025 to Jul 31, 2026
- Assets in custody · $867,076 to $502,575Dec 23, 2025 to Jul 31, 2026
- Discretionary RAUM · $670M to $585MDec 23, 2025 to Jul 31, 2026
- Pooled vehicle RAUM · $559M to $563MDec 23, 2025 to Jul 31, 2026
- RAUM · $670M to $585MDec 23, 2025 to Jul 31, 2026
- RAUM · $661M to $670MFeb 28, 2025 to Dec 23, 2025
- Advisory employees · 71 to 70Feb 28, 2025 to Dec 23, 2025
- BD registered reps · 5 to 4Feb 28, 2025 to Dec 23, 2025
- Assets in custody · $3.4M to $867,076Feb 28, 2025 to Dec 23, 2025
- Employees · 175 to 156Feb 28, 2025 to Dec 23, 2025
- Discretionary RAUM · $661M to $670MFeb 28, 2025 to Dec 23, 2025
- HNW RAUM · unset to 0.0Feb 28, 2025 to Dec 23, 2025
- Individual RAUM · unset to 0.0Feb 28, 2025 to Dec 23, 2025
- Pension RAUM · unset to 0.0Feb 28, 2025 to Dec 23, 2025
- Pooled vehicle RAUM · $540M to $559MFeb 28, 2025 to Dec 23, 2025
- Financial planning clients · unset to Dec 24, 2024 to Feb 28, 2025
- HQ state · unset to Dec 24, 2024 to Feb 28, 2025
- Advisory employees · 69 to 71Jul 10, 2024 to Dec 24, 2024
- Assets in custody · $5.5M to $3.4MJul 10, 2024 to Dec 24, 2024
- Employees · 165 to 175Jul 10, 2024 to Dec 24, 2024
- Discretionary RAUM · $644M to $661MJul 10, 2024 to Dec 24, 2024
- Pooled vehicle RAUM · $523M to $540MJul 10, 2024 to Dec 24, 2024
- RAUM · $644M to $661MJul 10, 2024 to Dec 24, 2024
- Discretionary RAUM · $600M to $644MDec 21, 2023 to Jan 28, 2024
- Pooled vehicle RAUM · $480M to $523MDec 21, 2023 to Jan 28, 2024
- RAUM · $600M to $644MDec 21, 2023 to Jan 28, 2024
- Accounts · 6 to 5Dec 21, 2022 to Dec 21, 2023
- Advisory employees · 58 to 69Dec 21, 2022 to Dec 21, 2023
- BD registered reps · 1 to 5Dec 21, 2022 to Dec 21, 2023
- Pooled vehicle clients · 4 to 3Dec 21, 2022 to Dec 21, 2023
- Assets in custody · $7.4M to $5.5MDec 21, 2022 to Dec 21, 2023
- Employees · 140 to 165Dec 21, 2022 to Dec 21, 2023
- Private funds · 4 to 3Dec 21, 2022 to Dec 21, 2023
- Discretionary RAUM · $643M to $600MDec 21, 2022 to Dec 21, 2023
- Pooled vehicle RAUM · $521M to $480MDec 21, 2022 to Dec 21, 2023
- RAUM · $643M to $600MDec 21, 2022 to Dec 21, 2023
- Accounts · 4 to 6Dec 22, 2021 to Dec 21, 2022
- Advisory employees · 42 to 58Dec 22, 2021 to Dec 21, 2022
- Advisory activities · 1 to 2Dec 22, 2021 to Dec 21, 2022
Signals
12 dated events
- James Gregory Fleming (Trustee) appeared on Schedule A of N•••••••• C•••••• A••••••• L•••Dec 24, 2024 · Control person joined · fact
- Albert Gary Doer (Trustee) appeared on Schedule A of N•••••••• C•••••• A••••••• L•••Dec 21, 2023 · Control person joined · fact
- Michel Plessis-Belair (Trustee) no longer on Schedule A of N•••••••• C•••••• A••••••• L••• (listed 2022-12-21, absent 2023-12-21)Dec 21, 2023 · Control person left · inference
- Guy Fortin (Trustee) no longer on Schedule A of N•••••••• C•••••• A••••••• L••• (listed 2022-12-21, absent 2023-12-21)Dec 21, 2023 · Control person left · inference
- N•••••••• C•••••• A••••••• L••• reported RAUM $643.3M, up 67% from $384.2M (2021-12-22 to 2022-12-21)Dec 21, 2022 · RAUM change · derived
- J••• A••••• B••••• (Trustee) no longer on Schedule A of N•••••••• C•••••• A••••••• L••• (listed 2019-12-18, absent 2020-11-26)Nov 26, 2020 · Control person left · inference
- Michel Plessis-Belair (Trustee) appeared on Schedule A of N•••••••• C•••••• A••••••• L•••Nov 26, 2020 · Control person joined · fact
- A••••• G••••••• (Trustee) no longer on Schedule A of N•••••••• C•••••• A••••••• L••• (listed 2019-12-18, absent 2020-11-26)Nov 26, 2020 · Control person left · inference
- Guy Paul Desmarais (Trustee) appeared on Schedule A of N•••••••• C•••••• A••••••• L•••Nov 26, 2020 · Control person joined · fact
- Roger Andre Desmarais (Trustee) appeared on Schedule A of N•••••••• C•••••• A••••••• L•••Nov 26, 2020 · Control person joined · fact
- Guy Fortin (Trustee) appeared on Schedule A of N•••••••• C•••••• A••••••• L•••Nov 26, 2020 · Control person joined · fact
- J. Esther Waugh (Trustee) no longer on Schedule A of N•••••••• C•••••• A••••••• L••• (listed 2019-12-18, absent 2020-11-26)Nov 26, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- N•••••••• C•••••• A••••••• L••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/N••••••••-CAPITAL-PARTNERSreportedpublic record, Form ADV, Sep 21, 2026
- Website
- N••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 1 866 964 4141reportedpublic record, Form ADV, Jul 31, 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