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N••••• C•••••• M•••••••••

Former SEC-registered adviserFormer SEC adviser1 private funds· Stamford, Connecticut

Former SEC-registered adviser, based in Stamford, Connecticut, reporting $32.6M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$32.6M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-79%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 155086 · SEC 801-76805 · 13 filingsShow
CRD 155086SEC 801-76805Legal name N••••• C•••••• M••••••••• L•First filing on the tape Jun 11, 2012, latest Sep 30, 2016IAPD
RAUM
$32.6M
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$15.3M gross assets
History
13 filings and snapshots on the tape
RAUM$204M as of Mar 24, 2016
Mar 25, 2013$157M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 24, 2016
Mar 25, 20131 then
Employees (5.A)6 as of Mar 24, 2016
Mar 25, 20136 then
Private funds3 as of Mar 24, 2016
Mar 25, 20133 then
RAUM -79% over the last fiscal year-41% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 30, 2016; every figure names its basis
RAUM per advisor
$32.6MderivedRAUM 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
$5.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+30%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$15.3M, 1 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$15.3M for 1 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N•• H••••••• M•••••• L•••Hedge Fund$35.0M25Jun 11, 2012
      N•• H••••••• •••••• L••Hedge Fund$15.3M18Jun 11, 2012
      N•• H••••••• •••••••• L•••Hedge Fund$3.4M5Jun 11, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M••••• A••••• A••• · O••••• P•••••••• O• T•• G•••••• P••••••• N•••• C••••control
        since 08/2008 · owns 75% or more
      • H••••••• T•••••• · Chief Financial Officer, Chief Operations Officer, Chief Compliance Officer
        since 04/2010 · owns less than 5%
      Entity owners
      • N•••• C•••• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • N•• U• P•••••••• L••
        pooled vehicle sponsory
      Advisers that list N••••• C•••••• M••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 6
        Mar 24, 2016 to Sep 30, 2016
      • Advisory employees · 4 to 3
        Mar 24, 2016 to Sep 30, 2016
      • Assets in custody · $35.0M to $15.3M
        Mar 24, 2016 to Sep 30, 2016
      • Employees · 6 to 5
        Mar 24, 2016 to Sep 30, 2016
      • Private funds · 3 to 1
        Mar 24, 2016 to Sep 30, 2016
      • Discretionary RAUM · $204M to $32.6M
        Mar 24, 2016 to Sep 30, 2016
      • RAUM · $204M to $32.6M
        Mar 24, 2016 to Sep 30, 2016
      • Accounts · 5 to 7
        Mar 25, 2015 to Mar 24, 2016
      • Advisory employees · 5 to 4
        Mar 25, 2015 to Mar 24, 2016
      • Assets in custody · $31.3M to $35.0M
        Mar 25, 2015 to Mar 24, 2016
      • Employees · 7 to 6
        Mar 25, 2015 to Mar 24, 2016
      • Discretionary RAUM · $156M to $204M
        Mar 25, 2015 to Mar 24, 2016
      • RAUM · $156M to $204M
        Mar 25, 2015 to Mar 24, 2016
      • Accounts · 6 to 5
        Jul 11, 2014 to Mar 25, 2015
      • Assets in custody · $22.0M to $31.3M
        Jul 11, 2014 to Mar 25, 2015
      • Insurance-licensed employees · 1 to 0
        Jul 11, 2014 to Mar 25, 2015
      • Discretionary RAUM · $158M to $156M
        Jul 11, 2014 to Mar 25, 2015
      • RAUM · $158M to $156M
        Jul 11, 2014 to Mar 25, 2015
      • Related adviser · true to false
        Jul 11, 2014 to Mar 25, 2015
      • Discretionary RAUM · $159M to $158M
        Jul 10, 2014 to Jul 11, 2014
      • RAUM · $159M to $158M
        Jul 10, 2014 to Jul 11, 2014
      • Discretionary RAUM · $149M to $159M
        Jul 2, 2014 to Jul 10, 2014
      • RAUM · $149M to $159M
        Jul 2, 2014 to Jul 10, 2014
      • Accounts · 7 to 6
        May 19, 2014 to Jul 2, 2014
      • Discretionary RAUM · $181M to $149M
        May 19, 2014 to Jul 2, 2014
      • RAUM · $181M to $149M
        May 19, 2014 to Jul 2, 2014
      • Assets in custody · $20.1M to $22.0M
        Dec 20, 2013 to Mar 20, 2014
      • Insurance-licensed employees · 0 to 1
        Dec 20, 2013 to Mar 20, 2014
      • Discretionary RAUM · $157M to $181M
        Dec 20, 2013 to Mar 20, 2014
      • RAUM · $157M to $181M
        Dec 20, 2013 to Mar 20, 2014
      • Related adviser · false to true
        Dec 20, 2013 to Mar 20, 2014
      • Accounts · 5 to 7
        May 21, 2013 to Aug 6, 2013
      • Assets in custody · $157M to $20.1M
        May 21, 2013 to Aug 6, 2013
      • Discretionary RAUM · $166M to $157M
        May 21, 2013 to Aug 6, 2013
      • RAUM · $166M to $157M
        May 21, 2013 to Aug 6, 2013
      • Employees · 6 to 7
        Mar 25, 2013 to May 21, 2013
      • Discretionary RAUM · $157M to $166M
        Mar 25, 2013 to May 21, 2013
      • RAUM · $157M to $166M
        Mar 25, 2013 to May 21, 2013
      • Accounts · 6 to 5
        Jun 11, 2012 to Mar 25, 2013
      • Advisory employees · unset to 5.0
        Jun 11, 2012 to Mar 25, 2013
      Signals
      1 dated events
      • ••• Locked
        Jun 11, 2012 · 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