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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Former SEC-registered adviser

N••••••• F••• M••••••••• A•••••• L••

Former SEC-registered adviserStamford, ConnecticutCRD 160147SEC 801-74504IAPD
Latest filing Mar 29, 2019
First filing on the tape Mar 2, 2012 · 27 filings
RAUM
$728M
reported, Item 5.F
Discretionary
84%
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
17
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
$728M gross assets
History
27 filings and snapshots on the tape
RAUM$688M as of Mar 25, 2019
Mar 26, 2013$406M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2019
Mar 26, 20130 then
Employees (5.A)17 as of Mar 25, 2019
Mar 26, 20134 then
Private funds6 as of Mar 25, 2019
Mar 26, 20136 then
RAUM +3.2% over the last fiscal year+20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$121MderivedRAUM over accounts (5.F.2.f)
Discretionary
84%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
-2.5%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
$116M, 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$728M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$116M for 3 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N••••••• C•••••••• L••Private Equity Fund$46.9M10Mar 31, 2015
      M• H•••••• I• L••no longer reportedPrivate Equity Fund$31.2M7Mar 2, 2012
      S•••••• M••••••• L••no longer reportedPrivate Equity Fund$27.4M12Mar 2, 2012
      N••••••• S••••••• F••• I• L••no longer reportedPrivate Equity Fund$11.6M14Mar 2, 2012
      M• H•••••• I• L••no longer reportedPrivate Equity Fund$8.8M3Mar 2, 2012
      M••••••• N••• L••Private Equity Fund$335,5134Mar 2, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• R•••••• S••• · President And Shareholder Of N••••••• F••• M••••••••• B•••••• L•••control
        since 09/2008 · owns less than 5%
      • H•••••••• S••••• · Senior Investment Manager And Secretary And Shareholder Of N••••••• F••• M••••••••• B•••••• L•••control
        since 02/2012 · owns less than 5%
      • L•••••••• R••••••• M• · Chief Financial Officer / Chief Compliance Officercontrol
        since 10/2014 · owns less than 5%
      • D•••••• R•••••• S••• · Shareholder Of N••••••• Fund Management B•••••• Ltdcontrol
        since 10/2017 · owns 25% to 50% of N••••••• F••• M••••••••• B•••••• L•••
      • H•••••••• S••••• · Shareholder Of N••••••• Fund Management B•••••• Ltdcontrol
        since 10/2017 · owns 25% to 50% of N••••••• F••• M••••••••• B•••••• L•••
      Entity owners
      • N••••••• F••• M••••••••• B•••••• L••• · Sole Member Of N••••••• F••• M••••••••• A•••••• L••
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $116M to $116M
        Mar 25, 2019 to Mar 29, 2019
      • Discretionary RAUM · $572M to $612M
        Mar 25, 2019 to Mar 29, 2019
      • Non-discretionary RAUM · $116M to $116M
        Mar 25, 2019 to Mar 29, 2019
      • Pooled vehicle RAUM · $688M to $728M
        Mar 25, 2019 to Mar 29, 2019
      • RAUM · $688M to $728M
        Mar 25, 2019 to Mar 29, 2019
      • Advisory employees · 7 to 10
        Feb 6, 2019 to Mar 25, 2019
      • BD registered reps · 1 to 0
        Feb 6, 2019 to Mar 25, 2019
      • Assets in custody · $124M to $116M
        Feb 6, 2019 to Mar 25, 2019
      • Employees · 13 to 17
        Feb 6, 2019 to Mar 25, 2019
      • Private funds · 7 to 6
        Feb 6, 2019 to Mar 25, 2019
      • Discretionary RAUM · $582M to $572M
        Feb 6, 2019 to Mar 25, 2019
      • Non-discretionary RAUM · $124M to $116M
        Feb 6, 2019 to Mar 25, 2019
      • Pooled vehicle RAUM · $706M to $688M
        Feb 6, 2019 to Mar 25, 2019
      • RAUM · $706M to $688M
        Feb 6, 2019 to Mar 25, 2019
      • Private funds · 6 to 7
        Mar 29, 2018 to Jan 31, 2019
      • Accounts · 7 to 6
        Nov 1, 2017 to Mar 29, 2018
      • Pooled vehicle clients · 7 to 6
        Nov 1, 2017 to Mar 29, 2018
      • Assets in custody · $143M to $124M
        Nov 1, 2017 to Mar 29, 2018
      • Private funds · 7 to 6
        Nov 1, 2017 to Mar 29, 2018
      • Discretionary RAUM · $506M to $582M
        Nov 1, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · $143M to $124M
        Nov 1, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · $650M to $706M
        Nov 1, 2017 to Mar 29, 2018
      • RAUM · $650M to $706M
        Nov 1, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 7.0
        Sep 12, 2017 to Oct 19, 2017
      • Other offices · unset to 1.0
        Sep 12, 2017 to Oct 19, 2017
      • Pooled vehicle RAUM · unset to 649723345.0
        Sep 12, 2017 to Oct 19, 2017
      • Assets in custody · $143M to $143M
        Mar 31, 2017 to Apr 7, 2017
      • Discretionary RAUM · $506M to $506M
        Mar 31, 2017 to Apr 7, 2017
      • Non-discretionary RAUM · $143M to $143M
        Mar 31, 2017 to Apr 7, 2017
      • RAUM · $650M to $650M
        Mar 31, 2017 to Apr 7, 2017
      • Accounts · 9 to 7
        Apr 19, 2016 to Mar 31, 2017
      • Advisory employees · 6 to 7
        Apr 19, 2016 to Mar 31, 2017
      • Assets in custody · $260M to $143M
        Apr 19, 2016 to Mar 31, 2017
      • Employees · 11 to 13
        Apr 19, 2016 to Mar 31, 2017
      • Private funds · 9 to 7
        Apr 19, 2016 to Mar 31, 2017
      • Discretionary RAUM · $158M to $506M
        Apr 19, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $265M to $143M
        Apr 19, 2016 to Mar 31, 2017
      • RAUM · $424M to $650M
        Apr 19, 2016 to Mar 31, 2017
      • Assets in custody · unset to 259903980.0
        Apr 4, 2016 to Apr 15, 2016
      • Custody of client assets · false to true
        Apr 4, 2016 to Apr 15, 2016
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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
      Former SEC-registered adviserderiveda 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