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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SEC-registered adviser
N•• C•••••• I•••
Latest filing May 15, 2026
First filing on the tape Nov 21, 2011 · 55 filings
SEC status approved since Dec 21, 2011
RAUM
$2.0B
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
60
16 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
10
reported on Schedule D
History
55 filings and snapshots on the tape
RAUM$2.0B as of May 15, 2026
Mar 29, 2012$3.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 15, 2026
Apr 1, 20130 then
Employees (5.A)60 as of May 15, 2026
Apr 1, 2013200 then
Private funds10 as of May 15, 2026
Mar 29, 201212 then
RAUM +9.9% over the last fiscal year-6.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 15, 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
- $202MderivedRAUM 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
- unknownderived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%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, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.8B, 10 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.0B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.8B for 10 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
18 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•• B••••• F•••• L••• | Hedge Fund | $819M | 65 | Nov 21, 2011 |
| N•• A••••••••• P•••••••• L••• | Private Equity Fund | $767M | 107 | Nov 21, 2011 |
| N•• N•• E••••• P••••••• F•••• L••• | Real Estate Fund | $217M | 92 | Nov 21, 2011 |
| N•• N•• E••••• P••••••• F••• I•• L••• | Real Estate Fund | $101M | 41 | Nov 21, 2011 |
| N•• A••••••••• P••••••• I•• L• | Private Equity Fund | $83.6M | 11 | Mar 31, 2015 |
| N•• C•••••• H••••••• X•• L••• | Hedge Fund | $82.7M | 408 | Nov 21, 2011 |
| N•• D••••••••• C••••••••• L• | Real Estate Fund | $67.3M | 7 | Apr 1, 2013 |
| N•• M••••••• L••••••••• F••• L••no longer reported | Hedge Fund | $16.7M | 4 | Apr 1, 2013 |
| N•• C••••• F•••• L•••no longer reported | Hedge Fund | $13.3M | 20 | Nov 21, 2011 |
| N•• C•••••• C•••••• P•••••••• L•••no longer reported | Private Equity Fund | $4.7M | 31 | Nov 21, 2011 |
| N•• E• N•••••••• M••••• L••no longer reported | Hedge Fund | $4.4M | 6 | Mar 31, 2015 |
| N•• E•••• F••• L••• | Hedge Fund | $4.3M | 16 | Nov 21, 2011 |
| N•• M••••••• L••• F••• L••no longer reported | Hedge Fund | $4.0M | 4 | Apr 1, 2013 |
| N•• R••••• F•••• L••• | Hedge Fund | $3.0M | 5 | Nov 21, 2011 |
| N•• L••••••••• C•••• | Private Equity Fund | $485,726 | 13 | Nov 21, 2011 |
| N••• I• L••••••••• C••••no longer reported | Private Equity Fund | $47,908 | 36 | Nov 21, 2011 |
| N•• F••• L••••••••• C••••no longer reported | Private Equity Fund | $40,676 | 0 | Nov 21, 2011 |
| N•• L•••• F••• L••no longer reported | Hedge Fund | $0 | 0 | Mar 31, 2014 |
Owners and control persons
Schedule A and B, latest filing
- K•••• G••••••• N•• · Vice President, Senior General Counsel & Ccocontrolsince 07/2007 · owns less than 5%
- P•••••• E•••••• C•••••• · Senior Vice President & Cfocontrolsince 09/2007 · owns less than 5%
- R•••• G•••••• N•• · Director And Presidentcontrolsince 08/1993 · owns less than 5%
- S•••• H•••• S•• R•••••• · Vice President & Controllercontrolsince 02/2004 · owns less than 5%
- T••••••••• M••••• N•• · Director And Chairmancontrolsince 08/1993 · owns less than 5%
- R•••• G•••••• N•• · Shareholdercontrolsince 05/2000 · owns 50% to 75% of N•• A••••••• I•••
- T••••••••• M••••• N•• · Shareholdercontrolsince 05/2000 · owns 50% to 75% of N•• A••••••• I•••
Entity owners
- N•• A••••••• I••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- C•••••• C•••••• L••••••bankpooled vehicle sponsory
- L•••• I••••••• B••• S•n
- N•• A••••••••• A••••••••• I• L•••bankpooled vehicle sponsory
- N•• A••••••••• A••••••••• L••investment adviserbankpooled vehicle sponsory
- N•• P••••••• A••••••••• I• L••investment adviserbankpooled vehicle sponsory
- N•• P••••••• A••••••••• L••investment adviserbankpooled vehicle sponsory
- P••••• J•••• S•••• C•••••• ••••••••• B•••• •••• A• B••••custodiann
- R•••••••• C•••••• L••investment adviserbankpooled vehicle sponsoryRAUM $82.7M
Advisers that list N•• C•••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Kiev, Ukraine5 employees
- Bucharest, Romania2 employees
- Nicosia, Cyprus1 employees
- Riga, Latvia1 employees
- Moscow, Russia1 employees
- Athens, Greece1 employees
- Sofia, Bulgaria1 employees
- Moscow, Russia1 employees
What changed
consecutive filings, newest first
- Advisory employees · 15 to 16Mar 31, 2025 to Mar 31, 2026
- Employees · 53 to 60Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.8B to $2.0BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.8B to $2.0BMar 31, 2025 to Mar 31, 2026
- RAUM · $1.8B to $2.0BMar 31, 2025 to Mar 31, 2026
- Advisory employees · 16 to 15Sep 20, 2024 to Mar 31, 2025
- Assets in custody · $2.1B to $1.8BSep 20, 2024 to Mar 31, 2025
- Employees · 63 to 53Sep 20, 2024 to Mar 31, 2025
- Financial planning clients · unset to Sep 20, 2024 to Mar 31, 2025
- Other offices · 8 to 7Sep 20, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.1B to $1.8BSep 20, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $2.1B to $1.8BSep 20, 2024 to Mar 31, 2025
- RAUM · $2.1B to $1.8BSep 20, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.1B to $2.1BMar 29, 2024 to May 21, 2024
- Pooled vehicle RAUM · $2.1B to $2.1BMar 29, 2024 to May 21, 2024
- RAUM · $2.1B to $2.1BMar 29, 2024 to May 21, 2024
- Accounts · 11 to 10Sep 12, 2023 to Mar 29, 2024
- Advisory employees · 28 to 16Sep 12, 2023 to Mar 29, 2024
- Assets in custody · $2.3B to $2.1BSep 12, 2023 to Mar 29, 2024
- Employees · 78 to 63Sep 12, 2023 to Mar 29, 2024
- Other offices · 9 to 8Sep 12, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.3B to $2.1BSep 12, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $2.3B to $2.1BSep 12, 2023 to Mar 29, 2024
- RAUM · $2.3B to $2.1BSep 12, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.4B to $2.3BMar 31, 2023 to May 2, 2023
- Pooled vehicle RAUM · $2.4B to $2.3BMar 31, 2023 to May 2, 2023
- RAUM · $2.4B to $2.3BMar 31, 2023 to May 2, 2023
- Accounts · 12 to 11May 12, 2022 to Mar 31, 2023
- Pooled vehicle clients · 11 to 10May 12, 2022 to Mar 31, 2023
- Assets in custody · $2.7B to $2.3BMay 12, 2022 to Mar 31, 2023
- Employees · 86 to 78May 12, 2022 to Mar 31, 2023
- Other offices · 10 to 9May 12, 2022 to Mar 31, 2023
- Private funds · 11 to 10May 12, 2022 to Mar 31, 2023
- Discretionary RAUM · $2.9B to $2.4BMay 12, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $2.9B to $2.4BMay 12, 2022 to Mar 31, 2023
- RAUM · $2.9B to $2.4BMay 12, 2022 to Mar 31, 2023
- Assets in custody · $2.7B to $2.7BMar 31, 2022 to May 12, 2022
- Accounts · 13 to 12Nov 1, 2021 to Mar 31, 2022
- Advisory employees · 29 to 28Nov 1, 2021 to Mar 31, 2022
- Pooled vehicle clients · 12 to 11Nov 1, 2021 to Mar 31, 2022
Signals
1 dated events
- Shu Rebecca Hung Shen (Vice President & Controller) appeared on Schedule A of N•• C•••••• I•••Jun 17, 2024 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- N•• C•••••• I••• · Independent Sponsorsshared crd · capital_provider
- N•• C•••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- w••.n•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-641-3200reportedpublic record, Form ADV, May 15, 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
Across the graphs
N•• C•••••• I••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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