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.
SEC-registered adviser
Neiman Funds Management LLC
Latest filing Feb 10, 2026
First filing on the tape Apr 12, 2012 · 17 filings
SEC status approved since Oct 8, 2009
RAUM
$41.2M
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
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$41.2M as of Feb 10, 2026
Apr 12, 2012$43.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 10, 2026
Apr 12, 20120 then
Employees (5.A)3 as of Feb 10, 2026
Mar 12, 20136 then
Private funds: no history
RAUM +16% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 10, 2026; every figure names its basis
- RAUM per advisor
- $13.7MderivedRAUM 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
- $41.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$41.2M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Steven Michael Lomas · Membercontrolsince 09/2009 · owns 10% to 25%
- David Daniel Neiman · Presidentcontrolsince 09/2009 · owns 50% to 75%
- Charles Glenn Wiggle · Chief Compliance Officer, Membercontrolsince 09/2009 · owns 10% to 25%
Related persons
Schedule D 7.A
- Independent Solutions Wealth Management, LLCinvestment advisernRAUM $1.5B
Advisers that list Neiman Funds Management LLC as a related person
- 144733 n
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $35.4M to $41.2MMar 13, 2025 to Feb 10, 2026
- RAUM · $35.4M to $41.2MMar 13, 2025 to Feb 10, 2026
- Financial planning clients · 0 to 0Feb 26, 2024 to Mar 13, 2025
- Discretionary RAUM · $33.7M to $35.4MFeb 26, 2024 to Mar 13, 2025
- RAUM · $33.7M to $35.4MFeb 26, 2024 to Mar 13, 2025
- Discretionary RAUM · $30.1M to $33.7MMar 13, 2023 to Feb 26, 2024
- RAUM · $30.1M to $33.7MMar 13, 2023 to Feb 26, 2024
- Discretionary RAUM · $28.7M to $30.1MFeb 7, 2022 to Mar 13, 2023
- RAUM · $28.7M to $30.1MFeb 7, 2022 to Mar 13, 2023
- Accounts · 2 to 1Feb 4, 2021 to Feb 7, 2022
- Discretionary RAUM · $41.1M to $28.7MFeb 4, 2021 to Feb 7, 2022
- RAUM · $41.1M to $28.7MFeb 4, 2021 to Feb 7, 2022
- Discretionary RAUM · $49.0M to $41.1MOct 13, 2020 to Feb 4, 2021
- RAUM · $49.0M to $41.1MOct 13, 2020 to Feb 4, 2021
- Employees · 4 to 3Feb 4, 2020 to Oct 13, 2020
- Accounts · 3 to 2Apr 30, 2019 to Feb 4, 2020
- Discretionary RAUM · $45.3M to $49.0MApr 30, 2019 to Feb 4, 2020
- RAUM · $45.3M to $49.0MApr 30, 2019 to Feb 4, 2020
- Accounts · 4 to 3Mar 27, 2018 to Apr 30, 2019
- Discretionary RAUM · $49.8M to $45.3MMar 27, 2018 to Apr 30, 2019
- RAUM · $49.8M to $45.3MMar 27, 2018 to Apr 30, 2019
- Other offices · unset to 2.0Mar 13, 2017 to Mar 27, 2018
- Discretionary RAUM · $47.2M to $49.8MMar 13, 2017 to Mar 27, 2018
- RAUM · $47.2M to $49.8MMar 13, 2017 to Mar 27, 2018
- Accounts · 3 to 4Mar 29, 2016 to Mar 13, 2017
- Advisory employees · 1 to 2Mar 29, 2016 to Mar 13, 2017
- Insurance-licensed employees · 1 to 3Mar 29, 2016 to Mar 13, 2017
- State-registered IARs · 0 to 3Mar 29, 2016 to Mar 13, 2017
- Discretionary RAUM · $71.9M to $47.2MMar 29, 2016 to Mar 13, 2017
- RAUM · $71.9M to $47.2MMar 29, 2016 to Mar 13, 2017
- BD registered reps · 1 to 2Mar 31, 2015 to Mar 29, 2016
- Employees · 3 to 4Mar 31, 2015 to Mar 29, 2016
- Insurance-licensed employees · 0 to 1Mar 31, 2015 to Mar 29, 2016
- Discretionary RAUM · $83.3M to $71.9MMar 31, 2015 to Mar 29, 2016
- RAUM · $83.3M to $71.9MMar 31, 2015 to Mar 29, 2016
- Employees · 1 to 3Mar 6, 2014 to Mar 31, 2015
- Insurance-licensed employees · 1 to 0Mar 6, 2014 to Mar 31, 2015
- State-registered IARs · 1 to 0Mar 6, 2014 to Mar 31, 2015
- Discretionary RAUM · $77.7M to $83.3MMar 6, 2014 to Mar 31, 2015
- RAUM · $77.7M to $83.3MMar 6, 2014 to Mar 31, 2015
Signals
1 dated events
- Harvey Neiman (Managing Member) no longer on Schedule A of Neiman Funds Management Llc (listed 2020-02-04, absent 2020-10-13)Oct 13, 2020 · 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.
How to reach
public business contact points only, each with its source
- Website
- NEIMANFUNDS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 716-568-8566reportedpublic record, Form ADV, Feb 10, 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