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.
SEC-registered adviser
Nich Capital Partners, Inc.
Latest filing Jun 4, 2026
First filing on the tape Dec 2, 2011 · 21 filings
SEC status approved since Jul 16, 2021
RAUM
$148M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$148M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$74.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$148M as of Jun 4, 2026
Feb 11, 2022$163M then
HNW client RAUM$148M as of Jun 4, 2026
Feb 11, 2022$155M then
State-registered IARs (5.B.3)2 as of Jun 4, 2026
Feb 11, 20223 then
Employees (5.A)2 as of Jun 4, 2026
Feb 11, 20223 then
Private funds: no history
RAUM -14% over the last fiscal year+10% a year over threeIARs 3 to 2offices 1 to 0
Practice profile
derived from the filing of Jun 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $74.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$148M100%
- Individual clients
- n/areported
- HNW clients
- 69reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 109reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| David George Halling | Wilmington, Nc | Jan 1, 2026 | 37 y | 1 |
| Martin James Briesach | Wilmington, Nc | Jan 9, 2026 | 37 y | 1 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- Steven Patrick Melen to Independent Advisor Alliance, LLCMar 2, 2026 · Other
- Louis Charles Barberini to Tre Api Wealth Management, LLCFeb 19, 2021 · Other
Joined, latest
- Martin James Briesach from Titan Capital Management, LLCJan 9, 2026 · Other
- David George Halling from Oppenheimer & Co. Inc.Jan 1, 2026 · Other
- Steven Patrick Melen from LPL Financial LLCMar 26, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- James Martin Briesach · Managing Member, Chief Compliance Officercontrolsince 01/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wilmington, Nc | 2 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 1 to 0Feb 18, 2026 to Mar 2, 2026
- Accounts · 105 to 109Jan 30, 2025 to Jan 23, 2026
- HNW clients · 66 to 69Jan 30, 2025 to Jan 23, 2026
- Employees · 3 to 2Jan 30, 2025 to Jan 23, 2026
- State-registered IARs · 3 to 2Jan 30, 2025 to Jan 23, 2026
- Discretionary RAUM · $173M to $148MJan 30, 2025 to Jan 23, 2026
- HNW RAUM · $173M to $148MJan 30, 2025 to Jan 23, 2026
- RAUM · $173M to $148MJan 30, 2025 to Jan 23, 2026
- Accounts · 136 to 105Apr 8, 2024 to Jan 30, 2025
- HNW clients · 97 to 66Apr 8, 2024 to Jan 30, 2025
- Financial planning clients · 0 to 0Apr 8, 2024 to Jan 30, 2025
- HQ city · unset to Apr 8, 2024 to Jan 30, 2025
- HQ state · unset to Apr 8, 2024 to Jan 30, 2025
- Discretionary RAUM · $124M to $173MApr 8, 2024 to Jan 30, 2025
- HNW RAUM · $124M to $173MApr 8, 2024 to Jan 30, 2025
- RAUM · $124M to $173MApr 8, 2024 to Jan 30, 2025
- Business name · NICH CAPITAL PARTNERS, LLC to NICH CAPITAL PARTNERS, INC.Mar 20, 2024 to Apr 8, 2024
- Legal name · NICH CAPITAL PARTNERS, LLC to NICH CAPITAL PARTNERS, INC.Mar 20, 2024 to Apr 8, 2024
- Accounts · 93 to 136Feb 27, 2023 to Mar 20, 2024
- HNW clients · 93 to 97Feb 27, 2023 to Mar 20, 2024
- Employees · 2 to 3Feb 27, 2023 to Mar 20, 2024
- Financial planning clients · unset to 0Feb 27, 2023 to Mar 20, 2024
- State-registered IARs · 2 to 3Feb 27, 2023 to Mar 20, 2024
- Discretionary RAUM · $110M to $124MFeb 27, 2023 to Mar 20, 2024
- HNW RAUM · $110M to $124MFeb 27, 2023 to Mar 20, 2024
- RAUM · $110M to $124MFeb 27, 2023 to Mar 20, 2024
- Succession · true to falseFeb 27, 2023 to Mar 20, 2024
- Accounts · 85 to 93Feb 11, 2022 to Feb 27, 2023
- Advisory employees · 3 to 2Feb 11, 2022 to Feb 27, 2023
- HNW clients · 38 to 93Feb 11, 2022 to Feb 27, 2023
- Individual clients · 10.0 to unsetFeb 11, 2022 to Feb 27, 2023
- Employees · 3 to 2Feb 11, 2022 to Feb 27, 2023
- State-registered IARs · 3 to 2Feb 11, 2022 to Feb 27, 2023
- Other offices · 0 to 1Feb 11, 2022 to Feb 27, 2023
- Organization form · Limited Liability Company to CorporationFeb 11, 2022 to Feb 27, 2023
- Discretionary RAUM · $163M to $110MFeb 11, 2022 to Feb 27, 2023
- HNW RAUM · $155M to $110MFeb 11, 2022 to Feb 27, 2023
- Individual RAUM · 8000000.0 to unsetFeb 11, 2022 to Feb 27, 2023
- RAUM · $163M to $110MFeb 11, 2022 to Feb 27, 2023
- Succession · false to trueFeb 11, 2022 to Feb 27, 2023
Signals
3 dated events
- Steven Patrick Melen left Nich Capital Partners, Inc. for Independent Advisor Alliance, Llc (registered 2026-03-08)Mar 2, 2026 · Advisor changed firm · fact
- Nich Capital Partners, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 27, 2023 · Succession (Item 4) · fact
- Nich Capital Partners, Llc filed its initial SEC registration (Form ADV)Jun 16, 2021 · First SEC registration · fact
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
- Business phone
- 415-203-3896reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- NICHCAPITALPARTNERS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (415) 203-3896reportedpublic record, Form ADV, Jun 4, 2026
- Contact form
- nichcapitalpartners.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- nichcapitalpartners.com/our-teamreportedpublished by the firm, firm site, Sep 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $74.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026