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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SEC-registered adviser
N•• C•••••• M••••••••• L••
Latest filing Mar 29, 2026
First filing on the tape Dec 7, 2011 · 26 filings
SEC status approved since Jul 24, 2015
RAUM
$539M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
100%
$539M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$180M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$539M as of Mar 29, 2026
Mar 29, 2012$50.0M then
HNW client RAUM$499M as of Mar 29, 2026
Mar 28, 2018$128M then
State-registered IARs (5.B.3)3 as of Mar 29, 2026
Mar 29, 20120 then
Employees (5.A)3 as of Mar 29, 2026
Feb 4, 20162 then
Private funds: no history
RAUM +25% over the last fiscal year+21% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $180MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $747,148derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$499M92%
- Individuals$40.9M7.6%
- Individual clients
- 58reported
- HNW clients
- 194reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 722reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• S•••••••• L•••••••••Certified Financial Planner | Ramsey, Nj | Dec 17, 2012 | 33 y | 2 |
| T••••• J• T•••••Certified Financial Planner | Ramsey, Nj | Jan 1, 2026 | 14 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- T••••• J• T••••• from R•••• T•••• W••••• M•••••••••Jan 1, 2026 · RIA to RIA
- N••••••• S•••••••• L••••••••• from B•••••• E••••Dec 17, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••••• N•••••••• S•••••••• · Managing Member/Chief Compliance Officer/Presidentcontrolsince 08/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ramsey, Nj · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Ramsey, NJ1 employees
What changed
consecutive filings, newest first
- Accounts · 633 to 722Aug 21, 2025 to Mar 29, 2026
- HNW clients · 153 to 194Aug 21, 2025 to Mar 29, 2026
- Individual clients · 63 to 58Aug 21, 2025 to Mar 29, 2026
- Discretionary RAUM · $349M to $451MAug 21, 2025 to Mar 29, 2026
- HNW RAUM · $396M to $499MAug 21, 2025 to Mar 29, 2026
- Individual RAUM · $35.2M to $40.9MAug 21, 2025 to Mar 29, 2026
- Non-discretionary RAUM · $81.5M to $88.6MAug 21, 2025 to Mar 29, 2026
- RAUM · $431M to $539MAug 21, 2025 to Mar 29, 2026
- Financial planning clients · 26-50 to 26-50Mar 30, 2025 to May 19, 2025
- Accounts · 595 to 633Mar 29, 2024 to Mar 30, 2025
- HNW clients · 78 to 153Mar 29, 2024 to Mar 30, 2025
- Individual clients · 114 to 63Mar 29, 2024 to Mar 30, 2025
- Discretionary RAUM · $361M to $349MMar 29, 2024 to Mar 30, 2025
- HNW RAUM · $303M to $396MMar 29, 2024 to Mar 30, 2025
- Individual RAUM · $49.7M to $35.2MMar 29, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $0 to $81.5MMar 29, 2024 to Mar 30, 2025
- RAUM · $361M to $431MMar 29, 2024 to Mar 30, 2025
- Accounts · 572 to 595Apr 6, 2023 to Mar 29, 2024
- HNW clients · 102 to 78Apr 6, 2023 to Mar 29, 2024
- Individual clients · 125 to 114Apr 6, 2023 to Mar 29, 2024
- Discretionary RAUM · $301M to $361MApr 6, 2023 to Mar 29, 2024
- HNW RAUM · $259M to $303MApr 6, 2023 to Mar 29, 2024
- Individual RAUM · $42.9M to $49.7MApr 6, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $5.2M to $0Apr 6, 2023 to Mar 29, 2024
- RAUM · $306M to $361MApr 6, 2023 to Mar 29, 2024
- Accounts · 518 to 572Oct 5, 2022 to Mar 31, 2023
- Advisory employees · 4 to 3Oct 5, 2022 to Mar 31, 2023
- Corporate clients · 7.0 to unsetOct 5, 2022 to Mar 31, 2023
- HNW clients · 66 to 102Oct 5, 2022 to Mar 31, 2023
- Individual clients · 132 to 125Oct 5, 2022 to Mar 31, 2023
- Employees · 4 to 3Oct 5, 2022 to Mar 31, 2023
- State-registered IARs · 4 to 3Oct 5, 2022 to Mar 31, 2023
- Discretionary RAUM · $298M to $301MOct 5, 2022 to Mar 31, 2023
- HNW RAUM · $217M to $259MOct 5, 2022 to Mar 31, 2023
- Individual RAUM · $74.6M to $42.9MOct 5, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $0 to $5.2MOct 5, 2022 to Mar 31, 2023
- RAUM · $298M to $306MOct 5, 2022 to Mar 31, 2023
- Related insurance company · true to falseOct 5, 2022 to Mar 31, 2023
- Accounts · 483 to 518Oct 7, 2021 to Mar 31, 2022
- Corporate clients · unset to 7.0Oct 7, 2021 to Mar 31, 2022
Signals
2 dated events
- N•• C•••••• M••••••••• L•• reported RAUM $539.4M, up 25% from $430.7M (2025-08-21 to 2026-03-29)Mar 29, 2026 · RAUM change · derived
- N•• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 13, 2015 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/ncm-capital-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- NCMCAPITALMGMT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (201) 529-1429reportedpublic record, Form ADV, Mar 29, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $180Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026