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••••••••• M••••••••• L••

Former SEC-registered adviserParsippany, New JerseyCRD 150556SEC 801-70310IAPD
Latest filing Mar 31, 2022
First filing on the tape Mar 29, 2012 · 20 filings
RAUM
$148M
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
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$148M gross assets
History
20 filings and snapshots on the tape
RAUM$148M as of Mar 31, 2022
Mar 29, 2012$730M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 28, 20130 then
Employees (5.A)8 as of Mar 31, 2022
Mar 28, 201319 then
Private funds2 as of Mar 31, 2022
Mar 29, 20122 then
RAUM +9.2% over the last fiscal year-0.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$74.1MderivedRAUM 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
+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-based, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$148M, 2 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$148M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$148M for 2 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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N••••• L••••••••• P•••••••• F••• L•Hedge Fund$134M7May 23, 2016
      N••••• L••••••••• P•••••••• L•••no longer reportedHedge Fund$54.7M8Mar 29, 2012
      N••••• C••••••• F•••••• P•••••••• L•••no longer reportedHedge Fund$18.7M7Mar 29, 2012
      N••••• I••••••••• P••••••• L•Hedge Fund$13.8M7May 23, 2016
      N••••• L•••• C•• A••••• A•••• L•no longer reportedHedge Fund$6.1M4May 23, 2016
      N••••• L•••• C•• A••••• A•••• M••••• F••• L•••no longer reportedHedge Fund$5.3M2Mar 28, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• T•••• W•••• · Managercontrol
        since 09/2006 · owns less than 5%
      • C••••••• M••••••• A•• · Chief Compliance Officercontrol
        since 07/2021 · owns less than 5%
      • B••••••• T•••• W•••• · Managing Membercontrol
        since 07/2006 · owns F of N••••• P••••••••• L••
      • O••••• Y••• · Membercontrol
        since 07/2006 · owns 75% or more of N••••• P••••••••• L••
      Entity owners
      • N••••• P••••••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 7 to 6
        Jul 30, 2021 to Mar 31, 2022
      • Assets in custody · $136M to $148M
        Jul 30, 2021 to Mar 31, 2022
      • Employees · 9 to 8
        Jul 30, 2021 to Mar 31, 2022
      • Discretionary RAUM · $136M to $148M
        Jul 30, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $136M to $148M
        Jul 30, 2021 to Mar 31, 2022
      • RAUM · $136M to $148M
        Jul 30, 2021 to Mar 31, 2022
      • Employees · 10 to 9
        Mar 29, 2021 to Jul 30, 2021
      • Accounts · 3 to 2
        Jun 29, 2020 to Mar 29, 2021
      • Advisory activities · 4 to 3
        Jun 29, 2020 to Mar 29, 2021
      • Assets in custody · $142M to $136M
        Jun 29, 2020 to Mar 29, 2021
      • Discretionary RAUM · $186M to $136M
        Jun 29, 2020 to Mar 29, 2021
      • Pooled vehicle RAUM · $142M to $136M
        Jun 29, 2020 to Mar 29, 2021
      • RAUM · $186M to $136M
        Jun 29, 2020 to Mar 29, 2021
      • Assets in custody · $132M to $142M
        Apr 8, 2019 to Mar 27, 2020
      • Discretionary RAUM · $151M to $186M
        Apr 8, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $132M to $142M
        Apr 8, 2019 to Mar 27, 2020
      • RAUM · $151M to $186M
        Apr 8, 2019 to Mar 27, 2020
      • Assets in custody · $112M to $132M
        Nov 21, 2018 to Mar 29, 2019
      • Discretionary RAUM · $119M to $151M
        Nov 21, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $112M to $132M
        Nov 21, 2018 to Mar 29, 2019
      • RAUM · $119M to $151M
        Nov 21, 2018 to Mar 29, 2019
      • Advisory activities · 3 to 4
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 30, 2017 to Mar 29, 2018
      • Assets in custody · $106M to $112M
        Mar 30, 2017 to Mar 29, 2018
      • Employees · 11 to 10
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Private funds · 3 to 2
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $106M to $119M
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 111881028.0
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · $106M to $119M
        Mar 30, 2017 to Mar 29, 2018
      • Assets in custody · $85.7M to $106M
        May 23, 2016 to Mar 30, 2017
      • Employees · 12 to 11
        May 23, 2016 to Mar 30, 2017
      • Discretionary RAUM · $85.7M to $106M
        May 23, 2016 to Mar 30, 2017
      • RAUM · $85.7M to $106M
        May 23, 2016 to Mar 30, 2017
      • Assets in custody · $78.7M to $85.7M
        May 2, 2016 to May 23, 2016
      • Employees · 11 to 12
        May 2, 2016 to May 23, 2016
      • Discretionary RAUM · $78.7M to $85.7M
        May 2, 2016 to May 23, 2016
      • RAUM · $78.7M to $85.7M
        May 2, 2016 to May 23, 2016
      • Advisory employees · 6 to 7
        Sep 16, 2015 to Mar 29, 2016
      • Assets in custody · $78.1M to $78.7M
        Sep 16, 2015 to Mar 29, 2016
      Signals
      2 dated events
      • Ann Michele Chirico (Chief Compliance Officer) appeared on Schedule A of N••••• I••••••••• M••••••••• L••
        Jul 30, 2021 · Control person joined · fact
      • Alan Craig Weynand (Chief Compliance Officer/Chief Operating Officer) no longer on Schedule A of N••••• I••••••••• M••••••••• L•• (listed 2021-03-29, absent 2021-07-30)
        Jul 30, 2021 · Control person left · inference
      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