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•••••••
Legal name N•• M••••••••• H•••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Feb 13, 2012 · 19 filings
SEC status approved since Feb 27, 2012
RAUM
$233M
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
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$233M as of Mar 31, 2026
Mar 28, 2013$166M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)8 as of Mar 31, 2026
Mar 28, 201313 then
Private funds5 as of Mar 31, 2026
Mar 28, 20134 then
RAUM -62% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $46.5MderivedRAUM 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
- -62%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 pooled vehiclesreportedItem 5.G
- Custody
- $233M, 5 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$233M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $233M for 5 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=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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•• C•••••• P••••••• P•••••• E••••• F••• I••• L• | Private Equity Fund | $137M | 38 | Mar 25, 2015 |
| N•• C•••••• P••••••• P•••••• E••••• F••• I•• L• | Private Equity Fund | $108M | 40 | Feb 13, 2012 |
| N•• C•••••• P••••••• P•••••• E••••• F••• I••••• L• | Private Equity Fund | $88.6M | 11 | Mar 25, 2015 |
| N•• C•••••• P••••••• P•••••• E••••• F••• I•••• L• | Private Equity Fund | $12.1M | 83 | Feb 13, 2012 |
| N•• C•••••• P••••••• P•••••• E••••• F••• I•••• L• | Private Equity Fund | $10.3M | 2 | Feb 13, 2012 |
| N•• C•••••• P••••••• P•••••• E••••• F•••• L•no longer reported | Private Equity Fund | $5.4M | 78 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L•••••• J••••• B•••••• · Vice President And Secretarycontrolsince 12/2004 · owns 50% to 75%
- O••••••• J••••• K•••••• · Presidentcontrolsince 12/2004 · owns 50% to 75%
- L•••••••• D•••• B••••• · Chief Compliance Officersince 11/2011 · owns less than 5%
Related persons
Schedule D 7.A
- N•• C•••••• P••••••• I••••• L••pooled vehicle sponsory
- N•• C•••••• P••••••• I•• L••pooled vehicle sponsory
- N•• C•••••• P••••••• I••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $614,802,213 to $232,569,242 (-62.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +4.0% (1148 comparable advisers, 2.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 1.9% percentile
What changed
consecutive filings, newest first
- Advisory employees · 7 to 6Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $615M to $233MMar 31, 2025 to Mar 31, 2026
- Employees · 11 to 8Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $615M to $233MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $615M to $233MMar 31, 2025 to Mar 31, 2026
- RAUM · $615M to $233MMar 31, 2025 to Mar 31, 2026
- Assets in custody · $355M to $615MMar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $355M to $615MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $355M to $615MMar 29, 2024 to Mar 31, 2025
- RAUM · $355M to $615MMar 29, 2024 to Mar 31, 2025
- Advisory employees · 8 to 7Mar 29, 2023 to Mar 29, 2024
- Assets in custody · $386M to $355MMar 29, 2023 to Mar 29, 2024
- Employees · 14 to 11Mar 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $386M to $355MMar 29, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $386M to $355MMar 29, 2023 to Mar 29, 2024
- RAUM · $386M to $355MMar 29, 2023 to Mar 29, 2024
- Advisory employees · 13 to 8Jan 25, 2023 to Mar 29, 2023
- Assets in custody · $490M to $386MJan 25, 2023 to Mar 29, 2023
- Employees · 18 to 14Jan 25, 2023 to Mar 29, 2023
- Discretionary RAUM · $490M to $386MJan 25, 2023 to Mar 29, 2023
- Pooled vehicle RAUM · $490M to $386MJan 25, 2023 to Mar 29, 2023
- RAUM · $490M to $386MJan 25, 2023 to Mar 29, 2023
- Assets in custody · $379M to $490MMar 30, 2021 to Mar 25, 2022
- Employees · 17 to 18Mar 30, 2021 to Mar 25, 2022
- Discretionary RAUM · $379M to $490MMar 30, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $379M to $490MMar 30, 2021 to Mar 25, 2022
- RAUM · $379M to $490MMar 30, 2021 to Mar 25, 2022
- Advisory employees · 14 to 13Mar 30, 2020 to Mar 30, 2021
- Assets in custody · $357M to $379MMar 30, 2020 to Mar 30, 2021
- Other offices · 1 to 0Mar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $357M to $379MMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $357M to $379MMar 30, 2020 to Mar 30, 2021
- RAUM · $357M to $379MMar 30, 2020 to Mar 30, 2021
- Advisory employees · 11 to 14Mar 25, 2019 to Mar 30, 2020
- Assets in custody · $406M to $357MMar 25, 2019 to Mar 30, 2020
- Employees · 13 to 17Mar 25, 2019 to Mar 30, 2020
- Discretionary RAUM · $406M to $357MMar 25, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $406M to $357MMar 25, 2019 to Mar 30, 2020
- RAUM · $406M to $357MMar 25, 2019 to Mar 30, 2020
Signals
3 dated events
- N•• C•••••• P••••••• reported RAUM $232.6M, down 62% from $614.8M (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- N•• C•••••• P••••••• reported RAUM $614.8M, up 73% from $355.3M (2024-03-29 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- N•• C•••••• P••••••• reported RAUM $490.2M, up 29% from $379.5M (2021-03-30 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- N•• C•••••• P••••••• · Independent Sponsorsshared crd · capital_provider
- N•• C•••••• P••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/NEW-CAPITAL-PARTNERSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 205-939-8400reportedpublic record, Form ADV, Mar 31, 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