DFX Intelligence
RIA Intelligence
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SEC-registered adviser
N•• R••••• A•••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Feb 14, 2012 · 27 filings
SEC status approved since Mar 30, 2012
RAUM
$803M
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$803M as of Mar 24, 2026
Mar 28, 2013$256M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 28, 20130 then
Employees (5.A)3 as of Mar 24, 2026
Mar 28, 20132 then
Private funds3 as of Mar 24, 2026
Mar 28, 20132 then
RAUM +18% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $268MderivedRAUM 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $803M, 3 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$803M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $803M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••• O••••••• F•••• L••• | Hedge Fund | $304M | 38 | Mar 27, 2019 |
| N•• R••••• F•••• L••• | Hedge Fund | $184M | 70 | Feb 14, 2012 |
| N•• R••••• F•••• L• | Hedge Fund | $99.3M | 74 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• N•••• S••••• · Managing Membercontrolsince 01/2006 · owns 50% to 75%
- Y••••• S•••••• R••••• · Managing Membercontrolsince 01/2006 · owns 50% to 75%
- C•••• R••••• K••• V•• · Chief Compliance Officer; Controllersince 06/2015 · owns less than 5%
Related persons
Schedule D 7.A
- M•••••• C••••• H•••• • C••• I•••broker-dealern
- N•• R••••• A••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $683M to $803MMar 26, 2025 to Mar 24, 2026
- Discretionary RAUM · $683M to $803MMar 26, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $683M to $803MMar 26, 2025 to Mar 24, 2026
- RAUM · $683M to $803MMar 26, 2025 to Mar 24, 2026
- Assets in custody · $588M to $683MMar 27, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $588M to $683MMar 27, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $588M to $683MMar 27, 2024 to Mar 26, 2025
- RAUM · $588M to $683MMar 27, 2024 to Mar 26, 2025
- Assets in custody · $563M to $588MMar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $563M to $588MMar 29, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $563M to $588MMar 29, 2023 to Mar 27, 2024
- RAUM · $563M to $588MMar 29, 2023 to Mar 27, 2024
- Assets in custody · $693M to $563MMar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $693M to $563MMar 29, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $693M to $563MMar 29, 2022 to Mar 29, 2023
- RAUM · $693M to $563MMar 29, 2022 to Mar 29, 2023
- Assets in custody · $600M to $693MMar 31, 2021 to Mar 29, 2022
- Discretionary RAUM · $600M to $693MMar 31, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $600M to $693MMar 31, 2021 to Mar 29, 2022
- RAUM · $600M to $693MMar 31, 2021 to Mar 29, 2022
- Assets in custody · $581M to $600MMar 30, 2020 to Mar 31, 2021
- Employees · 4 to 3Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $581M to $600MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $581M to $600MMar 30, 2020 to Mar 31, 2021
- RAUM · $581M to $600MMar 30, 2020 to Mar 31, 2021
- Advisory employees · 2 to 1Mar 27, 2019 to Mar 30, 2020
- Assets in custody · $542M to $581MMar 27, 2019 to Mar 30, 2020
- Discretionary RAUM · $542M to $581MMar 27, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $542M to $581MMar 27, 2019 to Mar 30, 2020
- RAUM · $542M to $581MMar 27, 2019 to Mar 30, 2020
- Accounts · 2 to 3Mar 27, 2018 to Mar 27, 2019
- Advisory employees · 3 to 2Mar 27, 2018 to Mar 27, 2019
- Pooled vehicle clients · 2 to 3Mar 27, 2018 to Mar 27, 2019
- Assets in custody · $458M to $542MMar 27, 2018 to Mar 27, 2019
- Private funds · 2 to 3Mar 27, 2018 to Mar 27, 2019
- Discretionary RAUM · $458M to $542MMar 27, 2018 to Mar 27, 2019
- Pooled vehicle RAUM · $458M to $542MMar 27, 2018 to Mar 27, 2019
- RAUM · $458M to $542MMar 27, 2018 to Mar 27, 2019
- Related bank · false to trueMar 27, 2018 to Mar 27, 2019
Signals
1 dated events
- N•• R••••• A•••• M••••••••• L•• reported RAUM $457.8M, up 28% from $357.4M (2017-03-13 to 2018-03-27)Mar 27, 2018 · ria raum c•••ge · 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
- 212-813-9229reportedpublic record, Form ADV, Mar 24, 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