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
Nierenberg Investment Management Company, LLC
Latest filing Mar 13, 2026
First filing on the tape Feb 14, 2012 · 24 filings
SEC status approved since Mar 30, 2012
RAUM
$235M
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
0
beyond the principal office
Private funds
3
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$235M as of Mar 13, 2026
Mar 28, 2013$324M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 13, 2026
Mar 28, 20130 then
Employees (5.A)3 as of Mar 13, 2026
Mar 28, 20136 then
Private funds3 as of Mar 13, 2026
Mar 28, 20134 then
RAUM +15% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 2026; 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
- $58.9MderivedRAUM 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
- +15%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $231M, 3 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$231M98%
- Corporations and businesses$4.5M1.9%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $231M for 3 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.98 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| The D3 Family Bulldog Fund, L.P. | Hedge Fund | $83.4M | 65 | Feb 14, 2012 |
| The D3 Family Fund, L.P. | Hedge Fund | $47.8M | 38 | Feb 14, 2012 |
| Benedict Value Fund, L.P. | Hedge Fund | $38.0M | 32 | Mar 27, 2018 |
| The Diii Offshore Fund, L.P.no longer reported | Hedge Fund | $3.9M | 5 | Feb 14, 2012 |
| The D3 Family Canadian Fund, L.P.no longer reported | Hedge Fund | $80,580 | 5 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Nmn Hannelore Bauer-Kuehl · Chief Compliance Officer And Chief Financial Officercontrolsince 08/2015 · owns less than 5%
- Laughlin Damon Benedict · Vice Presidentcontrolsince 05/2014 · owns less than 5%
- David Nierenberg · Presidentcontrolsince 04/1995 · owns 75% or more
- Ann Patricia Nierenberg · Secretary/Treasurercontrolsince 04/1995 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 13, 2026bank affiliate (Item 7.A.6): yes on the filing of 2026-02-02, no on the filing of 2026-03-13peers: asset managers, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Feb 2, 2026 to Mar 13, 2026
- Assets in custody · $198M to $231MFeb 2, 2026 to Mar 13, 2026
- Employees · 5 to 3Feb 2, 2026 to Mar 13, 2026
- Discretionary RAUM · $204M to $235MFeb 2, 2026 to Mar 13, 2026
- Pooled vehicle RAUM · $198M to $231MFeb 2, 2026 to Mar 13, 2026
- RAUM · $204M to $235MFeb 2, 2026 to Mar 13, 2026
- Related bank · true to falseFeb 2, 2026 to Mar 13, 2026
- Succession · true to falseJan 7, 2026 to Feb 2, 2026
- Business name · NIERENBERG INVESTMENT MANAGEMENT COMPANY, INC. to NIERENBERG INVESTMENT MANAGEMENT COMPANY, LLCMar 11, 2025 to Jan 7, 2026
- Legal name · NIERENBERG INVESTMENT MANAGEMENT COMPANY, INC. to NIERENBERG INVESTMENT MANAGEMENT COMPANY, LLCMar 11, 2025 to Jan 7, 2026
- Organization form · Corporation to Limited Liability CompanyMar 11, 2025 to Jan 7, 2026
- Succession · false to trueMar 11, 2025 to Jan 7, 2026
- Assets in custody · $169M to $198MMar 18, 2024 to Mar 11, 2025
- Financial planning clients · 1-10 to 1-10Mar 18, 2024 to Mar 11, 2025
- HQ city · unset to Mar 18, 2024 to Mar 11, 2025
- HQ state · unset to Mar 18, 2024 to Mar 11, 2025
- Discretionary RAUM · $174M to $204MMar 18, 2024 to Mar 11, 2025
- Pooled vehicle RAUM · $169M to $198MMar 18, 2024 to Mar 11, 2025
- RAUM · $174M to $204MMar 18, 2024 to Mar 11, 2025
- Corporate clients · unset to 1.0Jun 7, 2023 to Mar 18, 2024
- Assets in custody · $134M to $169MJun 7, 2023 to Mar 18, 2024
- Discretionary RAUM · $138M to $174MJun 7, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · $134M to $169MJun 7, 2023 to Mar 18, 2024
- RAUM · $138M to $174MJun 7, 2023 to Mar 18, 2024
- Assets in custody · $141M to $134MMar 22, 2022 to Mar 28, 2023
- Discretionary RAUM · $145M to $138MMar 22, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $141M to $134MMar 22, 2022 to Mar 28, 2023
- RAUM · $145M to $138MMar 22, 2022 to Mar 28, 2023
- Assets in custody · $124M to $141MMar 22, 2021 to Mar 22, 2022
- Discretionary RAUM · $127M to $145MMar 22, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $124M to $141MMar 22, 2021 to Mar 22, 2022
- RAUM · $127M to $145MMar 22, 2021 to Mar 22, 2022
- Advisory employees · 2 to 3Mar 23, 2020 to Mar 22, 2021
- Assets in custody · $100M to $124MMar 23, 2020 to Mar 22, 2021
- Employees · 4 to 5Mar 23, 2020 to Mar 22, 2021
- Financial planning clients · unset to 1-10Mar 23, 2020 to Mar 22, 2021
- Discretionary RAUM · $102M to $127MMar 23, 2020 to Mar 22, 2021
- Pooled vehicle RAUM · $100M to $124MMar 23, 2020 to Mar 22, 2021
- RAUM · $102M to $127MMar 23, 2020 to Mar 22, 2021
- Advisory activities · 1 to 2Mar 15, 2019 to Mar 23, 2020
Signals
1 dated events
- Nierenberg Investment Management Company, Llc reported succeeding to the business of Nierenberg Investment Management Company, Inc. (Form ADV Item 4)Jan 7, 2026 · Succession (Item 4) · 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/nierenberg-investment-management-companreportedpublic record, Form ADV, Sep 17, 2026
- Website
- d3familyfunds.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 360-604-8600reportedpublic record, Form ADV, Mar 13, 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