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 adviserNew York, New YorkCRD 152455SEC 801-71268IAPD
Latest filing Mar 25, 2016
First filing on the tape Mar 29, 2012 · 9 filings
RAUM
$343M
reported, Item 5.F
Discretionary
0.0%
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
6
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$343M as of Mar 25, 2016
Mar 29, 2012$353M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 25, 2016
Mar 27, 20130 then
Employees (5.A)6 as of Mar 25, 2016
Mar 27, 20135 then
Private funds: no history
RAUM -42% over the last fiscal year-14% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Mar 25, 2016; every figure names its basis
RAUM per advisor
$343MderivedRAUM 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
$16.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-42%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
21reported
Financial planning clients
0reported
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M••••••• M••••••• A•••••• · Chief Compliance Officer & Managercontrol
      since 10/2009 · owns less than 5%
    • P•••••• A••••••• N•• · Managercontrol
      since 07/2009 · owns less than 5%
    • M••••••• M••••••• A•••••• · Ownercontrol
      since 10/2009 · owns 50% to 75% of N•••••• C•••••• H••••••• L••
    • P•••••• A••••••• N•• · Ownercontrol
      since 07/2009 · owns 50% to 75% of N•••••• C•••••• H••••••• L••
    Entity owners
    • N•••••• C•••••• H••••••• L•• · Managing 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
    • Accounts · 23 to 21
      Sep 15, 2015 to Mar 25, 2016
    • Advisory employees · 7 to 6
      Sep 15, 2015 to Mar 25, 2016
    • Employees · 7 to 6
      Sep 15, 2015 to Mar 25, 2016
    • State-registered IARs · 0 to 1
      Sep 15, 2015 to Mar 25, 2016
    • Non-discretionary RAUM · $595M to $343M
      Sep 15, 2015 to Mar 25, 2016
    • RAUM · $595M to $343M
      Sep 15, 2015 to Mar 25, 2016
    • Accounts · 25 to 23
      Apr 22, 2014 to Mar 30, 2015
    • Advisory employees · 8 to 7
      Apr 22, 2014 to Mar 30, 2015
    • Employees · 8 to 7
      Apr 22, 2014 to Mar 30, 2015
    • Non-discretionary RAUM · $525M to $595M
      Apr 22, 2014 to Mar 30, 2015
    • RAUM · $525M to $595M
      Apr 22, 2014 to Mar 30, 2015
    • Non-discretionary RAUM · $608M to $525M
      Mar 31, 2014 to Apr 22, 2014
    • RAUM · $608M to $525M
      Mar 31, 2014 to Apr 22, 2014
    • Accounts · 29 to 25
      Mar 27, 2013 to Mar 31, 2014
    • Advisory employees · 5 to 8
      Mar 27, 2013 to Mar 31, 2014
    • Employees · 5 to 8
      Mar 27, 2013 to Mar 31, 2014
    • Discretionary RAUM · $388M to $0
      Mar 27, 2013 to Mar 31, 2014
    • Non-discretionary RAUM · $154M to $608M
      Mar 27, 2013 to Mar 31, 2014
    • RAUM · $541M to $608M
      Mar 27, 2013 to Mar 31, 2014
    • Accounts · 21 to 29
      Mar 29, 2012 to Mar 27, 2013
    • Advisory employees · unset to 5.0
      Mar 29, 2012 to Mar 27, 2013
    • Advisory activities · 2 to 1
      Mar 29, 2012 to Mar 27, 2013
    • Employees · unset to 5.0
      Mar 29, 2012 to Mar 27, 2013
    • Financial planning clients · 11-25 to 0
      Mar 29, 2012 to Mar 27, 2013
    • State-registered IARs · unset to 0.0
      Mar 29, 2012 to Mar 27, 2013
    • Discretionary RAUM · $262M to $388M
      Mar 29, 2012 to Mar 27, 2013
    • Non-discretionary RAUM · $90.8M to $154M
      Mar 29, 2012 to Mar 27, 2013
    • RAUM · $353M to $541M
      Mar 29, 2012 to Mar 27, 2013
    Signals
    No event on the tape.
    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