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• C••••••• L••

Former SEC-registered adviserStamford, ConnecticutCRD 149905SEC 801-113496IAPD
Latest filing Mar 31, 2024
First filing on the tape May 25, 2018 · 11 filings
SEC status approved since Jun 22, 2018
RAUM
$297M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
51%
$151M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$297M as of Mar 31, 2024
Jan 25, 2019$189M then
HNW client RAUM$101M as of Mar 31, 2024
Jan 25, 2019$57.0M then
State-registered IARs (5.B.3)4 as of Mar 31, 2024
Jan 25, 20195 then
Employees (5.A)5 as of Mar 31, 2024
Jan 25, 20197 then
Private funds: no history
RAUM +6.0% over the last fiscal year+3.3% a year over threeIARs 5 to 4offices 4 to 3
Practice profile
derived from the filing of Mar 31, 2024; every figure names its basis
RAUM per advisor
$74.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
35derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$806,187derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
49%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
1.0derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+6.0%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.7%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$146M49%
  • High-net-worth individuals$101M34%
  • Individuals$49.9M17%
Individual clients
69reported
HNW clients
72reported
Pension plan clients
29reported
Charitable clients
n/areported
Accounts
368reported
Financial planning clients
n/areported
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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• B•••••• · Managing Director - Client Services/Ccocontrol
      since 05/2014 · owns less than 5%
    • D••• L••••• C•••••• · Senior Managing Directorcontrol
      since 01/2009 · owns 50% to 75%
    • H•••• E•••• P•••• · Managing Director - Trading & Analyticscontrol
      since 05/2014 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Northbrook, Il000
    Rome, Ga000
    Stamford, Ct · principal000
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 359 to 368
      May 30, 2023 to Mar 31, 2024
    • Advisory employees · 5 to 4
      May 30, 2023 to Mar 31, 2024
    • HNW clients · 70 to 72
      May 30, 2023 to Mar 31, 2024
    • Individual clients · 70 to 69
      May 30, 2023 to Mar 31, 2024
    • Pension plan clients · 30 to 29
      May 30, 2023 to Mar 31, 2024
    • Employees · 6 to 5
      May 30, 2023 to Mar 31, 2024
    • State-registered IARs · 5 to 4
      May 30, 2023 to Mar 31, 2024
    • Other offices · 4 to 3
      May 30, 2023 to Mar 31, 2024
    • Discretionary RAUM · $280M to $297M
      May 30, 2023 to Mar 31, 2024
    • HNW RAUM · $93.3M to $101M
      May 30, 2023 to Mar 31, 2024
    • Individual RAUM · $43.5M to $49.9M
      May 30, 2023 to Mar 31, 2024
    • Pension RAUM · $143M to $146M
      May 30, 2023 to Mar 31, 2024
    • RAUM · $280M to $297M
      May 30, 2023 to Mar 31, 2024
    • Related adviser · true to false
      May 30, 2023 to Mar 31, 2024
    • Advisory employees · 4 to 5
      Mar 15, 2022 to Mar 31, 2023
    • Employees · 5 to 6
      Mar 15, 2022 to Mar 31, 2023
    • State-registered IARs · 4 to 5
      Mar 15, 2022 to Mar 31, 2023
    • Other offices · 2 to 4
      Mar 15, 2022 to Mar 31, 2023
    • Discretionary RAUM · $304M to $280M
      Mar 15, 2022 to Mar 31, 2023
    • HNW RAUM · $101M to $93.3M
      Mar 15, 2022 to Mar 31, 2023
    • Individual RAUM · $47.2M to $43.5M
      Mar 15, 2022 to Mar 31, 2023
    • Pension RAUM · $155M to $143M
      Mar 15, 2022 to Mar 31, 2023
    • RAUM · $304M to $280M
      Mar 15, 2022 to Mar 31, 2023
    • Accounts · 133 to 359
      Mar 31, 2021 to Mar 15, 2022
    • Advisory employees · 6 to 4
      Mar 31, 2021 to Mar 15, 2022
    • HNW clients · 28 to 70
      Mar 31, 2021 to Mar 15, 2022
    • Individual clients · 80 to 70
      Mar 31, 2021 to Mar 15, 2022
    • Pension plan clients · 25 to 30
      Mar 31, 2021 to Mar 15, 2022
    • Employees · 7 to 5
      Mar 31, 2021 to Mar 15, 2022
    • State-registered IARs · 6 to 4
      Mar 31, 2021 to Mar 15, 2022
    • Other offices · 3 to 2
      Mar 31, 2021 to Mar 15, 2022
    • Discretionary RAUM · $266M to $304M
      Mar 31, 2021 to Mar 15, 2022
    • HNW RAUM · $80.3M to $101M
      Mar 31, 2021 to Mar 15, 2022
    • Individual RAUM · $56.1M to $47.2M
      Mar 31, 2021 to Mar 15, 2022
    • Non-discretionary RAUM · $3.0M to $0
      Mar 31, 2021 to Mar 15, 2022
    • Pension RAUM · $132M to $155M
      Mar 31, 2021 to Mar 15, 2022
    • RAUM · $269M to $304M
      Mar 31, 2021 to Mar 15, 2022
    • Related adviser · false to true
      Mar 31, 2021 to Mar 15, 2022
    • Accounts · 235 to 133
      Jun 30, 2020 to Mar 31, 2021
    • Individual clients · 65 to 80
      Jun 30, 2020 to Mar 31, 2021
    Signals
    7 dated events
    • N• C••••••• L•• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $296.7M)
      Mar 6, 2025 · Left the SEC roster · derived
    • J•••• A••••• B•••••• left N• C••••••• L•• for I••••• L•• (registered 2025-01-14)
      Jan 9, 2025 · Advisor changed firm · fact
    • J••••• F•••••• H••• left N• C••••••• L•• for I••••• L•• (registered 2025-01-14)
      Jan 9, 2025 · Advisor changed firm · fact
    • E••• P•••• H••• left N• C••••••• L•• for I••••• L•• (registered 2025-01-14)
      Jan 9, 2025 · Advisor changed firm · fact
    • 2 advisors left N• C••••••• L•• (Stamford, CT) for I••••• L•• on the same day
      Jan 9, 2025 · Team lift-out · derived
    • A•• H••••••• left N• C••••••• L•• for I•••••••• A•••••••• L•• (registered 2024-02-12)
      Jan 5, 2024 · Advisor changed firm · fact
    • N• C••••••• L•• filed its initial SEC registration (Form ADV)
      May 25, 2018 · First SEC registration · fact
    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