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••• L•••• C•••••• M••••••••• L••
Latest filing Mar 20, 2025
First filing on the tape Feb 13, 2012 · 16 filings
SEC status approved since Mar 30, 2012
RAUM
$266M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$266M as of Mar 20, 2025
Mar 22, 2013$1.2B then
HNW client RAUM$0 as of Mar 20, 2025
Mar 22, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 20, 2025
Mar 22, 20130 then
Employees (5.A)4 as of Mar 20, 2025
Mar 22, 20135 then
Private funds2 as of Mar 20, 2025
Mar 22, 20133 then
RAUM -18% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2025; 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
- $133MderivedRAUM 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
- -18%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, selection of other advisersreportedItem 5.G
- Custody
- $240M, 2 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$266M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $240M for 2 clientsreported
- 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 |
|---|---|---|---|---|
| N••• L•••• C•••••• O••••••• F•••• L••• | Hedge Fund | $176M | 28 | Feb 13, 2012 |
| N••• L•••• C•••••• P•••••••• L• | Hedge Fund | $149M | 52 | Feb 13, 2012 |
| N••• L•••• C•••••• H•••••• F•••• L•••no longer reported | Hedge Fund | $0 | 0 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• D••••• W•••••• · Managing Member And Chief Compliance Officercontrolsince 01/2010 · owns less than 5%
- M•••••••• B••••••• P••• · Managing Membercontrolsince 03/2005 · owns 75% or more
- P•••••• K••••• A••••• · Managing Membercontrolsince 03/2005 · 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.
What changed
consecutive filings, newest first
- Assets in custody · $291M to $240MMar 20, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 20, 2025
- Discretionary RAUM · $325M to $266MMar 20, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $325M to $266MMar 20, 2024 to Mar 20, 2025
- RAUM · $325M to $266MMar 20, 2024 to Mar 20, 2025
- Assets in custody · $336M to $291MMar 27, 2023 to Mar 20, 2024
- Discretionary RAUM · $358M to $325MMar 27, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $358M to $325MMar 27, 2023 to Mar 20, 2024
- RAUM · $358M to $325MMar 27, 2023 to Mar 20, 2024
- Assets in custody · $445M to $336MMar 21, 2022 to Mar 27, 2023
- Discretionary RAUM · $480M to $358MMar 21, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $480M to $358MMar 21, 2022 to Mar 27, 2023
- RAUM · $480M to $358MMar 21, 2022 to Mar 27, 2023
- Assets in custody · $511M to $445MMar 18, 2021 to Mar 21, 2022
- Discretionary RAUM · $593M to $480MMar 18, 2021 to Mar 21, 2022
- Pooled vehicle RAUM · $593M to $480MMar 18, 2021 to Mar 21, 2022
- RAUM · $593M to $480MMar 18, 2021 to Mar 21, 2022
- Assets in custody · $602M to $511MMar 17, 2020 to Mar 18, 2021
- Discretionary RAUM · $647M to $593MMar 17, 2020 to Mar 18, 2021
- Pooled vehicle RAUM · $647M to $593MMar 17, 2020 to Mar 18, 2021
- RAUM · $647M to $593MMar 17, 2020 to Mar 18, 2021
- Accounts · 3 to 2Mar 14, 2019 to Mar 17, 2020
- Pooled vehicle clients · 3 to 2Mar 14, 2019 to Mar 17, 2020
- Assets in custody · $597M to $602MMar 14, 2019 to Mar 17, 2020
- Private funds · 3 to 2Mar 14, 2019 to Mar 17, 2020
- Discretionary RAUM · $666M to $647MMar 14, 2019 to Mar 17, 2020
- Pooled vehicle RAUM · $666M to $647MMar 14, 2019 to Mar 17, 2020
- RAUM · $666M to $647MMar 14, 2019 to Mar 17, 2020
- Advisory employees · 4 to 3Mar 22, 2018 to Mar 14, 2019
- Assets in custody · $606M to $597MMar 22, 2018 to Mar 14, 2019
- Employees · 5 to 4Mar 22, 2018 to Mar 14, 2019
- Discretionary RAUM · $886M to $666MMar 22, 2018 to Mar 14, 2019
- Pooled vehicle RAUM · $886M to $666MMar 22, 2018 to Mar 14, 2019
- RAUM · $886M to $666MMar 22, 2018 to Mar 14, 2019
- Charity clients · unset to 0.0Mar 28, 2017 to Mar 22, 2018
- Corporate clients · unset to 0.0Mar 28, 2017 to Mar 22, 2018
- HNW clients · unset to 0.0Mar 28, 2017 to Mar 22, 2018
- Individual clients · unset to 0.0Mar 28, 2017 to Mar 22, 2018
- Pension plan clients · unset to 0.0Mar 28, 2017 to Mar 22, 2018
- Pooled vehicle clients · unset to 3.0Mar 28, 2017 to Mar 22, 2018
Signals
2 dated events
- N••• L•••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $265.9M)Apr 1, 2026 · Left the SEC roster · derived
- N••• L•••• C•••••• M••••••••• L•• reported RAUM $357.9M, down 26% from $480.4M (2022-03-21 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
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
- n••••••••.comreportedpublic record, Form ADV, Sep 18, 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
- 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