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•• M••••••• V•••••• A•••••••• L•••••

Former SEC-registered adviserNew York, New YorkCRD 147545SEC 801-69688IAPD
Latest filing Mar 30, 2022
First filing on the tape Mar 30, 2012 · 23 filings
RAUM
$170M
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
152
1 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
1
$170M gross assets
History
23 filings and snapshots on the tape
RAUM$170M as of Mar 30, 2022
Mar 30, 2012$1.7B then
HNW client RAUM$0 as of Mar 30, 2022
Mar 27, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 30, 20120 then
Employees (5.A)152 as of Mar 30, 2022
Apr 1, 201319 then
Private funds1 as of Mar 30, 2022
Mar 30, 20127 then
RAUM +9.2% over the last fiscal year-48% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2022; 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
$170MderivedRAUM 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
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+9.2%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
$170M, 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
  • 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)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$170M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$170M for 1 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
      10 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N•• M••••••• V•••••• ••••••••• L•••no longer reportedHedge Fund$511M2Mar 30, 2012
      N•• M••••••• V•••••• ••••••••• I•• L•••no longer reportedHedge Fund$281M2Mar 30, 2012
      N•• M••••••• V••••••• L•••no longer reportedHedge Fund$224M8Mar 30, 2012
      N•• M••••••• V•••••• F••••• L•••Hedge Fund$170M2Mar 27, 2020
      N•• S•••••• H•••••••• L•••••no longer reportedHedge Fund$51.4M1Mar 30, 2012
      N•• M••••••• V•••••• ••••••• L•••no longer reportedHedge Fund$42.9M4Mar 30, 2012
      N•• M••••••• V•••••• C••••••••• L•••Hedge Fund$32.1M3Mar 27, 2020
      N•• M••••••• V•••••• L•• L•••no longer reportedHedge Fund$15.9M3Mar 30, 2012
      N•• M••••••• V•••••• H••••• L•••no longer reportedHedge Fund$10.7M2Mar 30, 2012
      N•• M••••••• V•••••• C•••••••• I•• L•••no longer reportedHedge Fund$00Mar 27, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••• S•••••• B•••• · Founder And Chief Executive Officercontrol
        since 07/2005 · owns 50% to 75%
      • R••••• D••••• · Managing Director & Portfolio M••••••control
        since 01/2015 · owns less than 5%
      • W••••••••• A••• · Managing Director & Chief Financial Officercontrol
        since 01/2015 · owns less than 5%
      • K••••••• S•••••• B•••• · Managing Membercontrol
        since 10/2018 · owns 50% to 75% of N• H••••••• G•• L•••••
      • K••••••• S•••••• B•••• · Limited Partnercontrol
        since 10/2018 · owns 50% to 75% of N• P••••••• M•••••• H•••••••• L•••
      • H••••••••• J•••••• W••••• · Managing Director And Chief Compliance Officer
        since 08/2015 · owns less than 5%
      Entity owners
      • N•• M••••••• C•••••• G••••• L••• · Member
        direct · owns 75% or more
      • N• H••••••• G•• L••••• · General Partner
        indirect · owns F of N•• M••••••• C•••••• G••••• L•••
      • N• H••••••• G•• L••••• · General Partner
        indirect · owns F of N• P••••••• M•••••• H•••••••• L•••
      • N• P••••••• M•••••• H•••••••• L••• · Limited Partner
        indirect · owns 75% or more of N•• M••••••• C•••••• G••••• L•••
      Related persons
      Schedule D 7.A
      • N•• M••••••• C•••••• ••••• L•••
        investment advisern
      • N•• M••••••• C•••••• G••••• L•••
        pooled vehicle sponsorn
      • N•• M••••••• C••••••• L••
        investment advisernRAUM $46B
      • N•• M••••••• C••••• C•• A•••••••• L•••••
        investment advisernRAUM $3.4B
      • New M••••••• Finance Advisers, L.L.C.
        investment adviserbanknRAUM $11B
      • N•• M••••••• F•••••• S••• G•• L•••••
        investment adviserpooled vehicle sponsorn
      • N•• M••••••• F•••••• S••• I• G•••• L•••••
        investment adviserpooled vehicle sponsorn
      • N•• M••••••• G••••••• I• G•• L•••••
        investment adviserpooled vehicle sponsorn
      • N•• M••••••• G••••••• I• M••••• F••••• G•• L•••••
        investment adviserbankpooled vehicle sponsorn
      • N•• M••••••• I••••••••• I•• L•••••
        investment adviserpooled vehicle sponsorn
      • N•• M••••••• I••••••••• I•• C••••••••• G•• L•••••
        investment adviserpooled vehicle sponsorn
      • N•• M••••••• I••••••••• I••• L•••••
        investment adviserpooled vehicle sponsorn
      • N•• M••••••• I••••••••• I•• L•••••
        investment adviserpooled vehicle sponsorn
      • N•• M••••••• I••••••••• V• L•••••
        investment adviserpooled vehicle sponsorn
      • N•• M••••••• I••••••••• V• L••••••••• S•••••••
        investment adviserpooled vehicle sponsory
      • N•• M••••••• I••••••••• V•• L•••••
        investment adviserpooled vehicle sponsorn
      • N•• M••••••• N•• L•••• G•• L•••••
        investment adviserpooled vehicle sponsorn
      • N•• M••••••• S•••••••• I••••••••• G• I• L•••••
        investment adviserpooled vehicle sponsorn
      • N•• M••••••• V•••••• G•• L•••••
        investment adviserbankpooled vehicle sponsorn
      Advisers that list N•• M••••••• V•••••• A•••••••• L••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom2 employees
      • San Francisco, CA1 employees
      • New York, NY
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Mar 4, 2022 to Mar 30, 2022
      • Advisory employees · 2 to 1
        Mar 4, 2022 to Mar 30, 2022
      • Pooled vehicle clients · 2 to 1
        Mar 4, 2022 to Mar 30, 2022
      • Assets in custody · $155M to $170M
        Mar 4, 2022 to Mar 30, 2022
      • Employees · 129 to 152
        Mar 4, 2022 to Mar 30, 2022
      • Private funds · 2 to 1
        Mar 4, 2022 to Mar 30, 2022
      • Discretionary RAUM · $155M to $170M
        Mar 4, 2022 to Mar 30, 2022
      • Pooled vehicle RAUM · $155M to $170M
        Mar 4, 2022 to Mar 30, 2022
      • RAUM · $155M to $170M
        Mar 4, 2022 to Mar 30, 2022
      • Accounts · 8 to 2
        Jan 22, 2021 to Mar 30, 2021
      • Advisory employees · 6 to 2
        Jan 22, 2021 to Mar 30, 2021
      • Pooled vehicle clients · 8 to 2
        Jan 22, 2021 to Mar 30, 2021
      • Assets in custody · $696M to $155M
        Jan 22, 2021 to Mar 30, 2021
      • Employees · 121 to 129
        Jan 22, 2021 to Mar 30, 2021
      • Private funds · 6 to 2
        Jan 22, 2021 to Mar 30, 2021
      • Discretionary RAUM · $769M to $155M
        Jan 22, 2021 to Mar 30, 2021
      • Pooled vehicle RAUM · $769M to $155M
        Jan 22, 2021 to Mar 30, 2021
      • RAUM · $769M to $155M
        Jan 22, 2021 to Mar 30, 2021
      • Other offices · 2 to 3
        Mar 27, 2020 to Jan 22, 2021
      • Accounts · 7 to 8
        Mar 28, 2019 to Mar 27, 2020
      • Advisory employees · 7 to 6
        Mar 28, 2019 to Mar 27, 2020
      • Charity clients · unset to 0.0
        Mar 28, 2019 to Mar 27, 2020
      • Corporate clients · unset to 0.0
        Mar 28, 2019 to Mar 27, 2020
      • HNW clients · unset to 0.0
        Mar 28, 2019 to Mar 27, 2020
      • Individual clients · unset to 0.0
        Mar 28, 2019 to Mar 27, 2020
      • Pension plan clients · unset to 0.0
        Mar 28, 2019 to Mar 27, 2020
      • Pooled vehicle clients · 7 to 8
        Mar 28, 2019 to Mar 27, 2020
      • Assets in custody · $5.8M to $696M
        Mar 28, 2019 to Mar 27, 2020
      • Employees · 108 to 121
        Mar 28, 2019 to Mar 27, 2020
      • Private funds · 4 to 6
        Mar 28, 2019 to Mar 27, 2020
      • Discretionary RAUM · $1.2B to $769M
        Mar 28, 2019 to Mar 27, 2020
      • HNW RAUM · unset to 0.0
        Mar 28, 2019 to Mar 27, 2020
      • Individual RAUM · unset to 0.0
        Mar 28, 2019 to Mar 27, 2020
      • Pension RAUM · unset to 0.0
        Mar 28, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $1.2B to $769M
        Mar 28, 2019 to Mar 27, 2020
      • RAUM · $1.2B to $769M
        Mar 28, 2019 to Mar 27, 2020
      • Advisory employees · 8 to 7
        Nov 2, 2018 to Mar 28, 2019
      • Assets in custody · $22.5M to $5.8M
        Nov 2, 2018 to Mar 28, 2019
      • Employees · 96 to 108
        Nov 2, 2018 to Mar 28, 2019
      • Financial planning clients · 1-10 to 0
        Nov 2, 2018 to Mar 28, 2019
      Signals
      3 dated events
      • N•• M••••••• V•••••• A•••••••• L••••• reported RAUM $155.4M, down 80% from $769.1M (2021-01-22 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      • N•• M••••••• V•••••• A•••••••• L••••• reported RAUM $769.1M, down 36% from $1.2B (2019-03-28 to 2020-03-27)
        Mar 27, 2020 · RAUM change · derived
      • N•• M••••••• V•••••• A•••••••• L••••• reported RAUM $1.2B, down 28% from $1.7B (2018-11-02 to 2019-03-28)
        Mar 28, 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.
      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