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•• M••••••••• L••
Latest filing Mar 30, 2017
First filing on the tape Dec 22, 2011 · 13 filings
RAUM
$423M
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
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
15
$423M gross assets
History
13 filings and snapshots on the tape
RAUM$423M as of Mar 30, 2017
Mar 30, 2012$647M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 30, 20120 then
Employees (5.A)0 as of Mar 30, 2017
Apr 1, 20130 then
Private funds15 as of Mar 30, 2017
Mar 30, 201217 then
RAUM -23% over the last fiscal year-10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2017; 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
- $28.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -23%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 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
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
- 15reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• C•• V• L•••no longer reported | Securitized Asset Fund | $19.4M | 0 | Mar 30, 2012 |
| C••••• C•• V•• L••• | Securitized Asset Fund | $19.0M | 0 | Mar 30, 2012 |
| C••••• C•• V• L••• | Securitized Asset Fund | $2.5M | 0 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G••••••••• L•••••••• A••••• · Chief Financial Officer And Treasurercontrolsince 09/2016 · owns less than 5%
- W••••••••• S••••• L••••• · Chief Executive Officer And Presidentcontrolsince 09/2016 · owns less than 5%
- C•••• M••••••• J••••• · Chief Compliance Officersince 12/2010 · owns less than 5%
Entity owners
- D•••• S•••• I••• · Sole Memberdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- A•• M••••••••• L••investment advisern
- C• H•••• M••••••••• L••investment advisern
- C•• C•••••••• G• L••pooled vehicle sponsorn
- Cwci LLCinvestment advisernRAUM $256M
- D••• A••••••••• L••pooled vehicle sponsorn
- D••• O•••••• G• L••pooled vehicle sponsorn
- D••••••••• ••• L••investment advisern
- D••••••••• G••••• M•••• A••••••• L••investment adviserbankn
- D••••••••• G••••• M•••• G• L••pooled vehicle sponsorn
- D••••••••• L••• P••••• A••••••• L••investment advisern
- D••••••••• L••• P••••• G• L••pooled vehicle sponsorn
- D••••••••• L••• D•••• V•••• A••••••• L••investment advisernRAUM $796M
- D••••••••• L••• D•••• V•••• G• L••pooled vehicle sponsorn
- D••••••••• L••• D•••• V•••• I• G• L••pooled vehicle sponsorn
- D••••••••• L••• D•••• V•••• I•• G• L••pooled vehicle sponsorn
- D••••••••• R••• A••••• A••••••• L••investment advisern
- D••••••••• R••• A••••• G• L••pooled vehicle sponsorn
- D••••••••• S•••••• O••••••••• A••••••• L••investment advisern
- D••••••••• S•••••• O••••••••• G• L••pooled vehicle sponsorn
- D••••••••• S•••••• O••••••••• O••••••• G• L••pooled vehicle sponsorn
- D•••• S•••• I•••investment advisernRAUM $161M
- F• B•• C• L••investment adviserpooled vehicle sponsorn
- F• B•• I• C• L••investment adviserpooled vehicle sponsorn
- F• B•• I•• C• L••investment adviserpooled vehicle sponsorn
- F•• J••• M••••••••• L••investment advisern
- F•• J••• G• S•• R•••pooled vehicle sponsorn
- F•• M•• G• L••pooled vehicle sponsorn
- F•• F••• G• L••pooled vehicle sponsorn
- F•• F••• I• G• L••pooled vehicle sponsorn
- F•• F••• I•• G• L••pooled vehicle sponsorn
Advisers that list N•• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 16 to 15Apr 15, 2016 to Mar 30, 2017
- Private funds · 16 to 15Apr 15, 2016 to Mar 30, 2017
- Discretionary RAUM · $548M to $423MApr 15, 2016 to Mar 30, 2017
- RAUM · $548M to $423MApr 15, 2016 to Mar 30, 2017
- Assets in custody · unset to 0.0Mar 31, 2015 to Mar 30, 2016
- Discretionary RAUM · $485M to $548MMar 31, 2015 to Mar 30, 2016
- RAUM · $485M to $548MMar 31, 2015 to Mar 30, 2016
- Accounts · 17 to 16Mar 31, 2014 to Mar 31, 2015
- Private funds · 17 to 16Mar 31, 2014 to Mar 31, 2015
- Discretionary RAUM · $587M to $485MMar 31, 2014 to Mar 31, 2015
- RAUM · $587M to $485MMar 31, 2014 to Mar 31, 2015
- Discretionary RAUM · $600M to $587MApr 12, 2013 to Mar 31, 2014
- RAUM · $600M to $587MApr 12, 2013 to Mar 31, 2014
- Employees · unset to 0.0Oct 16, 2012 to Apr 1, 2013
- Discretionary RAUM · $647M to $600MOct 16, 2012 to Apr 1, 2013
- RAUM · $647M to $600MOct 16, 2012 to Apr 1, 2013
- Advisory activities · 1 to 2Dec 22, 2011 to Mar 30, 2012
- Insurance-licensed employees · unset to 0.0Dec 22, 2011 to Mar 30, 2012
- Private funds · unset to 17Dec 22, 2011 to Mar 30, 2012
- Discretionary RAUM · $2.3B to $647MDec 22, 2011 to Mar 30, 2012
- RAUM · $2.3B to $647MDec 22, 2011 to Mar 30, 2012
- Related bank · false to trueDec 22, 2011 to Mar 30, 2012
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