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•• M••••••••• L•
Latest filing Jun 2, 2026
First filing on the tape Mar 5, 2012 · 30 filings
SEC status approved since Mar 30, 2012
RAUM
$4.0B
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
13
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$4.0B as of Jun 2, 2026
Apr 1, 2013$3.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 2, 2026
Apr 1, 20130 then
Employees (5.A)13 as of Jun 2, 2026
Apr 1, 201319 then
Private funds3 as of Jun 2, 2026
Apr 1, 20137 then
RAUM +26% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 2, 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
- $395MderivedRAUM 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
- +26%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
- Custody
- $3.6B, 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
- 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)
- 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$4.0B100%
- 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
- $3.6B 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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•• E••••••• M••••• F•••• I••••• M••••• F•••• L•• | Hedge Fund | $2.3B | 149 | Mar 5, 2012 |
| N•• E••••••• G••••• M••••• F•••• L•• | Hedge Fund | $1.3B | 21 | Mar 5, 2012 |
| E••••••••• F•••• I••••• S•••••• O••••••••• L•••no longer reported | Hedge Fund | $37.8M | 36 | Mar 5, 2012 |
| P••••• N•• M•••• L••• | Hedge Fund | $31.4M | 24 | Mar 5, 2012 |
| E••••••••• G••••• O••••••••• L•••no longer reported | Hedge Fund | $15.6M | 12 | Mar 5, 2012 |
| N•• A•••• S•••••• S••••••••• M••••• F•••• L•• | Hedge Fund | $11.9M | 4 | Mar 5, 2012 |
| P••••• N•• E••••••• L•••no longer reported | Hedge Fund | $0 | 2 | Mar 5, 2012 |
| N•• T• M••••• F••• L•••no longer reported | Hedge Fund | $0 | 0 | Feb 25, 2015 |
Owners and control persons
Schedule A and B, latest filing
- E•••••• C••••• G•••••• · Co-Chief Operating Officercontrolsince 05/2015 · owns less than 5%
- H••••••••• J••••••••• · Limited Partner And Managing Member Of The General Partnercontrolsince 04/1999 · owns 25% to 50%
- H••••••••• N••••••••• N••••••••• · Limited Partner And Managing Member Of The General Partnercontrolsince 04/1999 · owns 75% or more
- N••• J•••••••• W• · Co-Chief Operating Officercontrolsince 05/2015 · owns less than 5%
- S••••••• M••••••• R•••• · General Counsel And Chief Compliance Officercontrolsince 05/2015 · owns less than 5%
- H••••••••• J••••••••• · Managing Membercontrolsince 04/1999 · owns 25% to 50% of N••• L••
- H••••••••• N••••••••• N••••••••• · Managing Membercontrolsince 04/1999 · owns 75% or more of N••• L••
Entity owners
- N••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- N•• A••••••• L••pooled vehicle sponsorn
- N•• A••••••••• L••bankpooled vehicle sponsorn
Advisers that list N•• M••••••••• L• as a related person
- 172233 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Private funds · 4 to 3Apr 30, 2026 to Jun 2, 2026
- Advisory employees · 5 to 4Apr 28, 2025 to Mar 31, 2026
- Assets in custody · $2.8B to $3.6BApr 28, 2025 to Mar 31, 2026
- Employees · 14 to 13Apr 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.1B to $4.0BApr 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.1B to $4.0BApr 28, 2025 to Mar 31, 2026
- RAUM · $3.1B to $4.0BApr 28, 2025 to Mar 31, 2026
- Advisory employees · 7 to 5Apr 30, 2024 to Apr 28, 2025
- Assets in custody · $2.4B to $2.8BApr 30, 2024 to Apr 28, 2025
- Employees · 17 to 14Apr 30, 2024 to Apr 28, 2025
- Financial planning clients · unset to Apr 30, 2024 to Apr 28, 2025
- Discretionary RAUM · $2.5B to $3.1BApr 30, 2024 to Apr 28, 2025
- Pooled vehicle RAUM · $2.5B to $3.1BApr 30, 2024 to Apr 28, 2025
- RAUM · $2.5B to $3.1BApr 30, 2024 to Apr 28, 2025
- Assets in custody · $2.3B to $2.4BApr 26, 2023 to Mar 27, 2024
- Discretionary RAUM · $2.6B to $2.5BApr 26, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $2.6B to $2.5BApr 26, 2023 to Mar 27, 2024
- RAUM · $2.6B to $2.5BApr 26, 2023 to Mar 27, 2024
- Accounts · 13 to 10Sep 21, 2022 to Mar 31, 2023
- Advisory employees · 8 to 7Sep 21, 2022 to Mar 31, 2023
- Pooled vehicle clients · 13 to 10Sep 21, 2022 to Mar 31, 2023
- Assets in custody · $2.6B to $2.3BSep 21, 2022 to Mar 31, 2023
- Employees · 18 to 17Sep 21, 2022 to Mar 31, 2023
- Private funds · 5 to 4Sep 21, 2022 to Mar 31, 2023
- Discretionary RAUM · $2.9B to $2.6BSep 21, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $2.9B to $2.6BSep 21, 2022 to Mar 31, 2023
- RAUM · $2.9B to $2.6BSep 21, 2022 to Mar 31, 2023
- Accounts · 16 to 13Jun 21, 2021 to Mar 31, 2022
- Advisory employees · 9 to 8Jun 21, 2021 to Mar 31, 2022
- Advisory activities · 2 to 1Jun 21, 2021 to Mar 31, 2022
- Pooled vehicle clients · 15 to 13Jun 21, 2021 to Mar 31, 2022
- Assets in custody · $5.5B to $2.6BJun 21, 2021 to Mar 31, 2022
- Employees · 21 to 18Jun 21, 2021 to Mar 31, 2022
- Discretionary RAUM · $9.4B to $2.9BJun 21, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $8.4B to $2.9BJun 21, 2021 to Mar 31, 2022
- RAUM · $9.4B to $2.9BJun 21, 2021 to Mar 31, 2022
- Accounts · 20 to 16Mar 30, 2020 to Mar 31, 2021
- Advisory employees · 10 to 9Mar 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 19 to 15Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $5.7B to $5.5BMar 30, 2020 to Mar 31, 2021
Signals
2 dated events
- N•• M••••••••• L• reported RAUM $4.0B, up 26% from $3.1B (2025-04-28 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- N•• M••••••••• L• reported RAUM $2.9B, down 69% from $9.4B (2021-06-21 to 2022-03-31)Mar 31, 2022 · 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
- Principal office phone
- 212-297-2950reportedpublic record, Form ADV, Jun 2, 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