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••••• P•••••••• L••
Latest filing Apr 16, 2026
First filing on the tape Feb 14, 2012 · 19 filings
SEC status approved since Mar 12, 2012
RAUM
$1.3B
reported, Item 5.F
Discretionary
0.0%
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
13
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
11
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.3B as of Apr 16, 2026
Apr 1, 2013$326M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 16, 2026
Apr 1, 20130 then
Employees (5.A)13 as of Apr 16, 2026
Apr 1, 201310 then
Private funds11 as of Apr 16, 2026
Apr 1, 20135 then
RAUM -27% over the last fiscal year+1.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 16, 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
- $120MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -27%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-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•••• C••••• P••••••• V••• L••• | Private Equity Fund | $538M | 86 | Mar 29, 2019 |
| N•••• C••••• P••••••• V•• L••• | Private Equity Fund | $407M | 248 | Mar 31, 2017 |
| N••••• F••••••• L••• | Private Equity Fund | $345M | 204 | Mar 30, 2023 |
| N•••• C••••• P••••••• V• L••• | Private Equity Fund | $112M | 98 | Apr 1, 2013 |
| N•• N••• H•••••••• L••• | Private Equity Fund | $92.0M | 48 | Mar 27, 2024 |
| N•••••• C•••••••• I••• L••• | Private Equity Fund | $68.1M | 5 | Mar 27, 2024 |
| N••••• C••••••••• L••• | Private Equity Fund | $20.2M | 141 | Mar 27, 2024 |
| N•••• C••••• P••••••• V•••• L••• | Private Equity Fund | $14.7M | 40 | Mar 31, 2017 |
| N•••••• C•••••••• I•• L••• | Private Equity Fund | $8.8M | 56 | Mar 27, 2024 |
| N•••• C••••• P••••••• V••• L••• | Private Equity Fund | $8.5M | 88 | Apr 1, 2013 |
| N••••••• L••• | Private Equity Fund | $7.0M | 19 | Mar 27, 2024 |
| N•••• C••••• P••••••• 2•••• L•••no longer reported | Private Equity Fund | $5.1M | 182 | Feb 14, 2012 |
| N•••• C••••• P••••••• I••• L•••no longer reported | Private Equity Fund | $989,457 | 56 | Feb 14, 2012 |
| F•••••• O• N•••• C••••• F••• I•• L•••no longer reported | Private Equity Fund | $16,531 | 8 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• C••••••• F••• · Managing Partnercontrolsince 05/1997 · owns 50% to 75%
- C•••••••• J•••••••• S• · Managing Partnercontrolsince 01/2015 · owns 25% to 50%
- M•••••• A•••••• D••••• · Managing Partnercontrolsince 01/2015 · owns 25% to 50%
- S•••••••• A••••• J•••• · Partner / Cco / Cfocontrolsince 05/2000 · owns less than 5%
Related persons
Schedule D 7.A
- N•• C• G•• L•••pooled vehicle sponsorn
- N•• G••• V••• L•••pooled vehicle sponsorn
- N•• G• V••• L•pooled vehicle sponsorn
- N•• G• V• L•pooled vehicle sponsorn
- N•• G• V•••• L•pooled vehicle sponsorn
- N•• G• V•• L•pooled vehicle sponsorn
- N•••••• G•• L••pooled vehicle sponsorn
- N••••• G•• L••pooled vehicle sponsorn
- N•••• C••••• G• V• L••pooled vehicle sponsorn
- N•••• C••••• G• V•• L••pooled vehicle sponsorn
- N•••• C••••• G• V••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Norwalk, CT2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Apr 16, 2026discretionary share of RAUM of 0% against a peer median of 100% (1506 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $1B to $5B (1,506) · 0.0% percentile
- RAUM down 25 %Change between filings · filing Apr 16, 2026RAUM (Item 5.F) moved from $1,801,195,955 to $1,321,079,357 (-27.0%) between the annual amendments of 2025-04-22 and 2026-04-16; the peer median change was +11.0% (1368 comparable advisers, 4.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 4.0% percentile
What changed
consecutive filings, newest first
- Non-discretionary RAUM · $1.8B to $1.3BApr 22, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.8B to $1.3BApr 22, 2025 to Mar 30, 2026
- RAUM · $1.8B to $1.3BApr 22, 2025 to Mar 30, 2026
- Advisory employees · 12 to 11Oct 28, 2024 to Apr 22, 2025
- Employees · 14 to 13Oct 28, 2024 to Apr 22, 2025
- Financial planning clients · unset to Oct 28, 2024 to Apr 22, 2025
- Non-discretionary RAUM · $1.6B to $1.8BOct 28, 2024 to Apr 22, 2025
- Pooled vehicle RAUM · $1.6B to $1.8BOct 28, 2024 to Apr 22, 2025
- RAUM · $1.6B to $1.8BOct 28, 2024 to Apr 22, 2025
- Advisory employees · 13 to 12May 8, 2024 to Oct 28, 2024
- HQ city · GREENWICH to NEW YORKMay 8, 2024 to Oct 28, 2024
- HQ state · CT to NYMay 8, 2024 to Oct 28, 2024
- Other offices · 0 to 1May 8, 2024 to Oct 28, 2024
- Accounts · 6 to 11Mar 30, 2023 to Mar 27, 2024
- Advisory employees · 14 to 13Mar 30, 2023 to Mar 27, 2024
- Pooled vehicle clients · 6 to 11Mar 30, 2023 to Mar 27, 2024
- Employees · 15 to 14Mar 30, 2023 to Mar 27, 2024
- Private funds · 6 to 11Mar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $1.3B to $1.6BMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.3B to $1.6BMar 30, 2023 to Mar 27, 2024
- RAUM · $1.3B to $1.6BMar 30, 2023 to Mar 27, 2024
- Accounts · 5 to 6Mar 30, 2022 to Mar 30, 2023
- Pooled vehicle clients · 5 to 6Mar 30, 2022 to Mar 30, 2023
- Private funds · 5 to 6Mar 30, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $1.4B to $1.3BMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.4B to $1.3BMar 30, 2022 to Mar 30, 2023
- RAUM · $1.4B to $1.3BMar 30, 2022 to Mar 30, 2023
- Advisory employees · 13 to 14Mar 30, 2021 to Mar 30, 2022
- Employees · 14 to 15Mar 30, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $1.1B to $1.4BMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.1B to $1.4BMar 30, 2021 to Mar 30, 2022
- RAUM · $1.1B to $1.4BMar 30, 2021 to Mar 30, 2022
- Accounts · 7 to 5Mar 30, 2020 to Mar 30, 2021
- Advisory employees · 15 to 13Mar 30, 2020 to Mar 30, 2021
- Pooled vehicle clients · 7 to 5Mar 30, 2020 to Mar 30, 2021
- Employees · 16 to 14Mar 30, 2020 to Mar 30, 2021
- Private funds · 7 to 5Mar 30, 2020 to Mar 30, 2021
- Non-discretionary RAUM · $1.1B to $1.1BMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $1.1B to $1.1BMar 30, 2020 to Mar 30, 2021
- RAUM · $1.1B to $1.1BMar 30, 2020 to Mar 30, 2021
Signals
5 dated events
- N•••• C••••• P•••••••• L•• reported RAUM $1.3B, down 27% from $1.8B (2025-04-22 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- N•••• C••••• P•••••••• L•• reported RAUM $1.6B, up 30% from $1.3B (2023-03-30 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- N•••• C••••• P•••••••• L•• reported RAUM $1.4B, up 27% from $1.1B (2021-03-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Anthony Jay Galluzzo (Managing Director) no longer on Schedule A of N•••• C••••• P•••••••• L•• (listed 2020-03-30, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- N•••• C••••• P•••••••• L•• reported RAUM $1.1B, up 54% from $728.3M (2018-03-30 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- N•••• C••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- N•••• C••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/N••••-C•••••-PARTNERSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203 862 3210reportedpublic record, Form ADV, Apr 16, 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