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•• V••••• I••••••••• M••••••••• L••

Asset manager (funds and pooled vehicles)Highland Park, IllinoisCRD 160247SEC 801-73602IAPD
Latest filing Apr 27, 2026
First filing on the tape Feb 14, 2012 · 28 filings
SEC status approved since Mar 30, 2012
RAUM
$116M
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
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$116M as of Apr 27, 2026
Mar 28, 2013$166M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Apr 27, 2026
Mar 28, 20134 then
Employees (5.A)8 as of Apr 27, 2026
Mar 28, 201316 then
Private funds2 as of Apr 27, 2026
Mar 28, 20134 then
RAUM -1.2% over the last fiscal year+5.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 27, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$116MderivedRAUM 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
$10.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
8.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$113M, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$113M98%
  • Corporations and businesses$2.4M2.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
11reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$113M for 10 clientsreported
Compensation
% of AUM, fixed, performancereported
Class basis
private_client_share=0.0 fund_share=0.98 institutional_share=0.0 related_bd=true related_bank=true bd_reps=6.0derived
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
      Every departureEvery arrival
      Private funds
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N••• G••••• O••••••••• F•••no longer reportedHedge Fund$69.2M144Feb 14, 2012
      N• V• F•••••••• P••••••• F•••Hedge Fund$60.0M48Feb 14, 2012
      N•• V••••• A•••• M••••• F••• L••no longer reportedHedge Fund$59.7M162Feb 14, 2012
      N•• V••••• G••••• O••••••••• M••••• F••• L••Hedge Fund$39.1M39Mar 31, 2014
      N•• V••••• G••••• F•••• I••••• F••• L••Hedge Fund$670,65614Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • J•••• G•••• A••• · Chief Compliance Officer, Chief Financial Officercontrol
        since 05/2016 · owns less than 5%
      • S••••••• D•••••• M••• · Membercontrol
        since 07/2011 · owns 5% to 10%
      • S••••••• N••••• · Membercontrol
        since 07/2011 · owns 5% to 10%
      • S••••••• S•••••• A••••• · Managing Membercontrol
        since 07/2011 · owns 5% to 10%
      • Z••••••• A•••••• R•••• · Membercontrol
        since 11/2004 · owns 25% to 50% of N• C•••••• H••••••• I•• L••
      Entity owners
      • N• C•••••• H••••••• I•• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list N•• V••••• I••••••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $108M to $113M
        Apr 29, 2025 to Mar 31, 2026
      • Discretionary RAUM · $117M to $116M
        Apr 29, 2025 to Mar 31, 2026
      • Pooled vehicle RAUM · $108M to $113M
        Apr 29, 2025 to Mar 31, 2026
      • RAUM · $117M to $116M
        Apr 29, 2025 to Mar 31, 2026
      • Accounts · 12 to 11
        Apr 25, 2024 to Apr 29, 2025
      • Advisory activities · 3 to 4
        Apr 25, 2024 to Apr 29, 2025
      • Pooled vehicle clients · 11 to 10
        Apr 25, 2024 to Apr 29, 2025
      • Assets in custody · $99.8M to $108M
        Apr 25, 2024 to Apr 29, 2025
      • Financial planning clients · unset to
        Apr 25, 2024 to Apr 29, 2025
      • Private funds · 3 to 2
        Apr 25, 2024 to Apr 29, 2025
      • Discretionary RAUM · $109M to $117M
        Apr 25, 2024 to Apr 29, 2025
      • Pooled vehicle RAUM · $99.8M to $108M
        Apr 25, 2024 to Apr 29, 2025
      • RAUM · $109M to $117M
        Apr 25, 2024 to Apr 29, 2025
      • Assets in custody · $87.3M to $99.8M
        Jun 26, 2023 to Mar 28, 2024
      • Employees · 10 to 8
        Jun 26, 2023 to Mar 28, 2024
      • Discretionary RAUM · $97.6M to $109M
        Jun 26, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $87.3M to $99.8M
        Jun 26, 2023 to Mar 28, 2024
      • RAUM · $97.6M to $109M
        Jun 26, 2023 to Mar 28, 2024
      • State-registered IARs · 2 to 1
        Jun 27, 2022 to Mar 31, 2023
      • Advisory employees · 5 to 4
        Jun 27, 2022 to Mar 31, 2023
      • Assets in custody · $90.7M to $87.3M
        Jun 27, 2022 to Mar 31, 2023
      • Insurance-licensed employees · 2 to 1
        Jun 27, 2022 to Mar 31, 2023
      • Discretionary RAUM · $99.5M to $97.6M
        Jun 27, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $90.7M to $87.3M
        Jun 27, 2022 to Mar 31, 2023
      • RAUM · $99.5M to $97.6M
        Jun 27, 2022 to Mar 31, 2023
      • Accounts · 13 to 12
        Mar 30, 2021 to Mar 30, 2022
      • BD registered reps · 7 to 6
        Mar 30, 2021 to Mar 30, 2022
      • Assets in custody · $76.1M to $90.7M
        Mar 30, 2021 to Mar 30, 2022
      • Employees · 11 to 10
        Mar 30, 2021 to Mar 30, 2022
      • Discretionary RAUM · $89.0M to $99.5M
        Mar 30, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $76.1M to $90.7M
        Mar 30, 2021 to Mar 30, 2022
      • RAUM · $89.0M to $99.5M
        Mar 30, 2021 to Mar 30, 2022
      • Advisory employees · 6 to 5
        May 1, 2020 to Mar 30, 2021
      • BD registered reps · 8 to 7
        May 1, 2020 to Mar 30, 2021
      • Assets in custody · $83.4M to $76.1M
        May 1, 2020 to Mar 30, 2021
      • Employees · 12 to 11
        May 1, 2020 to Mar 30, 2021
      • Insurance-licensed employees · 3 to 2
        May 1, 2020 to Mar 30, 2021
      • State-registered IARs · 3 to 2
        May 1, 2020 to Mar 30, 2021
      • Discretionary RAUM · $104M to $89.0M
        May 1, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $83.4M to $76.1M
        May 1, 2020 to Mar 30, 2021
      Signals
      No event on the tape.
      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
      847-926-5700reportedpublic record, Form ADV, Apr 27, 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