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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
N•• C•••••• I••••••••• A•••••••• L••
Latest filing Aug 26, 2026
First filing on the tape Feb 14, 2012 · 44 filings
SEC status approved since Mar 14, 2012
RAUM
$6.6B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$1.7B
derived; firm RAUM over IAPD count
Employees
242
56 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
16
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$6.6B as of Aug 26, 2026
Apr 1, 2013$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 26, 2026
Apr 1, 20130 then
Employees (5.A)242 as of Aug 26, 2026
Apr 1, 201385 then
Private funds16 as of Aug 26, 2026
Apr 1, 20135 then
RAUM -5.6% over the last fiscal year-7.5% a year over threeIARs 0 to 0offices 7 to 4
Practice profile
derived from the filing of Aug 26, 2026; every figure names its basis
- RAUM per advisor
- $1.7BderivedRAUM 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
- $302MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 60.5derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.3%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $2.5B, 8 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.7B70%
- Insurance companies$982M18%
- Other investment advisers$630M12%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 22reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.5B for 8 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.66 institutional_share=0.15 related_bd=true related_bank=true bd_reps=19.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H••••• N• F•••••• | Dallas, Tx | Oct 30, 2018 | 11 y | 0 |
| R••••• B•••• W•••• | Dallas, Tx | Oct 31, 2018 | 11 y | 0 |
| J••• R•••••• B•••••• | Dallas, Tx | Oct 31, 2018 | 29 y | 0 |
| L•••• M•••••• K••••••••• | Dallas, Tx | Nov 14, 2018 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
22 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•• C•••••• S••••• L••• F••• V• ••• L••• | Hedge Fund | $873M | 7 | May 22, 2020 |
| N•• S•••••••• C•• L•• | Hedge Fund | $486M | 1 | Sep 13, 2018 |
| N•• C•••••• S••••••••• N••• I• L•• | Securitized Asset Fund | $483M | 4 | May 25, 2022 |
| N•• C•••••• C•• 2•••••• L•• | Securitized Asset Fund | $457M | 15 | May 25, 2021 |
| N•• C•••••• C•• 2•••••• L•• | Securitized Asset Fund | $411M | 23 | Jan 25, 2018 |
| N•• C•••••• C•• 2•••••• L••no longer reported | Securitized Asset Fund | $355M | 11 | Jan 16, 2015 |
| N•• C•••••• C•• 2•••••• L••no longer reported | Securitized Asset Fund | $308M | 16 | Apr 1, 2013 |
| N•• C•••••• S••••• L••• F••• V• L• | Hedge Fund | $285M | 12 | Sep 20, 2017 |
| N•• C•••••• C•• 2•••••• L•• | Securitized Asset Fund | $250M | 15 | Jan 25, 2018 |
| N•• C•••••• S••••• L••• F••• V••• L• | Hedge Fund | $235M | 6 | Nov 17, 2023 |
| N•• C•••••• C•• 2•••••• L••no longer reported | Securitized Asset Fund | $204M | 6 | Apr 1, 2013 |
| N•• C•••••• S••••• L••• F••• I• L•• | Private Equity Fund | $184M | 2 | Feb 14, 2012 |
| N•• C•••••• S••••• L••• F••• I•• L• | Hedge Fund | $172M | 10 | Mar 29, 2016 |
| N•• C•••••• C•• 2•••••• L••no longer reported | Securitized Asset Fund | $170M | 11 | Jul 29, 2015 |
| N•• C•••••• S••••• L••• F••• I••• L• | Hedge Fund | $122M | 14 | Jan 16, 2015 |
| N•• C•••••• S••• I•• L• | Hedge Fund | $104M | 1 | Nov 17, 2023 |
| N•• C•••••• S•••• L•no longer reported | Hedge Fund | $54.9M | 2 | Apr 1, 2013 |
| N•• C•••••• S••••• L••• F••• V• •••• L••• | Private Equity Fund | $46.9M | 4 | Jun 29, 2021 |
| N•• C•••••• S••••• L••• F••• I•• L• | Hedge Fund | $35.1M | 16 | Mar 31, 2014 |
| N•• C•••••• S••• I• L• | Private Equity Fund | $3.0M | 10 | Nov 17, 2023 |
| P••••• V•••••• F••••••• L•no longer reported | Private Equity Fund | $355,759 | 3 | Apr 1, 2013 |
| N•• C•••••• S••••• L••• F••• V• •••• L•••no longer reported | Hedge Fund | $0 | 3 | Feb 25, 2021 |
Owners and control persons
Schedule A and B, latest filing
- D••••••••• E••••• ••••• A•••• · S••••• Vice Presidentcontrolsince 08/2022 · owns less than 5%
- F••••• B••••• E••••• · Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
- K••••••• S•••••• L••• · S••••• Vice Presidentcontrolsince 08/2019 · owns less than 5%
- L•••••••• J•••••• N••••••• · S••••• Vice Presidentcontrolsince 08/2022 · owns less than 5%
- M••••••••• R••••• G••• · Chief Financial Officer And Treasurercontrolsince 11/2022 · owns less than 5%
Entity owners
- N•• C•••••• H•••••••• L•• · Memberdirect · owns 75% or more
- N•• C•••••• G••••• L•• · Memberindirect · owns 75% or more of N•• C•••••• I••••••••• H•••••••• L••
- N•• C•••••• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of N•• C•••••• H•••••••• L••
- O•• H•••••••• L•• · Memberindirect · owns 75% or more of N•• C•••••• G••••• L••
- O•• G••••• A•••• M••••••••• L•• · Memberindirect · owns 75% or more of O•• H•••••••• L••
- O•• O••• H•••••••• L•• · Memberindirect · owns 75% or more of O•• G••••• A•••• M••••••••• L••
- O••• C•••••• M••••••• L•• · Memberindirect · owns 75% or more of O•• O••• H•••••••• L••
- O••• C••••••••• · Majority Shareholderindirect · owns 75% or more of O••• C••••••••• U••
- O••• C••••••••• U•• · Memberindirect · owns 75% or more of O••• C•••••• M••••••• L••
Related persons
Schedule D 7.A
- L••••• I••••••••• M••••••••• L••investment advisernRAUM $1.9B
- L••••• S••••••••• L••broker-dealern
- N•• C•••••• C•• 2••••• I••••••••• L••pooled vehicle sponsorn
- N•• C•••••• C•• 2••••• I••••••••• L••pooled vehicle sponsorn
- N•• C•••••• S••• I• G•• L••pooled vehicle sponsorn
- N•• C•••••• S••••• L••• F••• I• G•• L••bankpooled vehicle sponsorn
- N•• C•••••• S••••• L••• F••• I•• G•• L••bankpooled vehicle sponsorn
- N•• C•••••• S••••• L••• F••• I• G•• L••bankpooled vehicle sponsorn
- N•• C•••••• S••••• L••• F••• V• G•• L••bankpooled vehicle sponsorn
- N•• C•••••• S••••• L••• F••• V• •• G•• L••bankpooled vehicle sponsorn
- N•• C•••••• S••••• L••• F••• V• ••• G•• L••bankpooled vehicle sponsorn
- N•• C•••••• S••••• L••• F••• V•• G•• L••bankpooled vehicle sponsorn
- N•• C•••••• S••••••••• N••• I• L••pooled vehicle sponsorn
- N•• C••••••• L••bankn
- O••• A•••••••• L••investment adviserbanknRAUM $9.6B
Advisers that list N•• C•••••• I••••••••• A•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA1 employees
- Dallas, TX1 employees
- Lakewood Ranch, FL1 employees
- , 1 employees
- New York, NY
What changed
consecutive filings, newest first
- Private funds · 13 to 16Jun 26, 2026 to Aug 26, 2026
- Assets in custody · $2.6B to $2.5BMay 22, 2026 to Jun 26, 2026
- Employees · 273 to 242May 22, 2026 to Jun 26, 2026
- Other offices · 6 to 4May 22, 2026 to Jun 26, 2026
- Private funds · 14 to 13May 22, 2026 to Jun 26, 2026
- Discretionary RAUM · $6.0B to $6.2BMay 22, 2026 to Jun 26, 2026
- Non-discretionary RAUM · $484M to $463MMay 22, 2026 to Jun 26, 2026
- Pooled vehicle RAUM · $3.8B to $3.7BMay 22, 2026 to Jun 26, 2026
- RAUM · $6.5B to $6.6BMay 22, 2026 to Jun 26, 2026
- Private funds · 13 to 14Jul 28, 2025 to May 22, 2026
- Financial planning clients · unset to Jun 27, 2025 to Jul 28, 2025
- Advisory employees · 67 to 56May 30, 2025 to Jun 27, 2025
- BD registered reps · 18 to 19May 30, 2025 to Jun 27, 2025
- Assets in custody · $2.6B to $2.6BMay 30, 2025 to Jun 27, 2025
- Employees · 277 to 273May 30, 2025 to Jun 27, 2025
- Other offices · 7 to 6May 30, 2025 to Jun 27, 2025
- Discretionary RAUM · $6.0B to $6.0BMay 30, 2025 to Jun 27, 2025
- Non-discretionary RAUM · $624M to $484MMay 30, 2025 to Jun 27, 2025
- Pooled vehicle RAUM · $4.3B to $3.8BMay 30, 2025 to Jun 27, 2025
- RAUM · $6.6B to $6.5BMay 30, 2025 to Jun 27, 2025
- Private funds · 12 to 13Jun 28, 2024 to May 30, 2025
- Accounts · 21 to 22Jan 2, 2024 to Jun 28, 2024
- Advisory employees · 70 to 67Jan 2, 2024 to Jun 28, 2024
- BD registered reps · 13 to 18Jan 2, 2024 to Jun 28, 2024
- Pooled vehicle clients · 15 to 16Jan 2, 2024 to Jun 28, 2024
- Assets in custody · $2.1B to $2.6BJan 2, 2024 to Jun 28, 2024
- Employees · 253 to 277Jan 2, 2024 to Jun 28, 2024
- Private funds · 15 to 12Jan 2, 2024 to Jun 28, 2024
- Discretionary RAUM · $6.4B to $6.0BJan 2, 2024 to Jun 28, 2024
- Non-discretionary RAUM · $631M to $624MJan 2, 2024 to Jun 28, 2024
- Pooled vehicle RAUM · $4.7B to $4.3BJan 2, 2024 to Jun 28, 2024
- RAUM · $7.0B to $6.6BJan 2, 2024 to Jun 28, 2024
- Assets in custody · $1.3B to $2.1BJun 30, 2023 to Nov 17, 2023
- Private funds · 12 to 15Jun 30, 2023 to Nov 17, 2023
- Accounts · 24 to 21Jan 6, 2023 to Jun 29, 2023
- Advisory employees · 43 to 70Jan 6, 2023 to Jun 29, 2023
- BD registered reps · 2 to 13Jan 6, 2023 to Jun 29, 2023
- Pooled vehicle clients · 18 to 15Jan 6, 2023 to Jun 29, 2023
- Assets in custody · $1.3B to $1.3BJan 6, 2023 to Jun 29, 2023
- Employees · 98 to 253Jan 6, 2023 to Jun 29, 2023
Signals
19 dated events
- Jean Kelli O'Connell (Vice President) no longer on Schedule A of N•• C•••••• I••••••••• A•••••••• L•• (listed 2023-11-17, absent 2024-01-02)Jan 2, 2024 · Control person left · inference
- Douglas James Anderson (General Counsel And Secretary) no longer on Schedule A of N•• C•••••• I••••••••• A•••••••• L•• (listed 2023-01-06, absent 2023-06-29)Jun 29, 2023 · Control person left · inference
- Andrew John Finnerty (Chairman, Chief Executive Officer & President) no longer on Schedule A of N•• C•••••• I••••••••• A•••••••• L•• (listed 2022-11-02, absent 2023-01-06)Jan 6, 2023 · Control person left · inference
- J••••• Thomas Bax (Chief Financial Officer And Treasurer) no longer on Schedule A of N•• C•••••• I••••••••• A•••••••• L•• (listed 2022-08-29, absent 2022-11-02)Nov 2, 2022 · Control person left · inference
- Gray Robin Mcinerney (Chief Financial Officer And Treasurer) appeared on Schedule A of N•• C•••••• I••••••••• A•••••••• L••Nov 2, 2022 · Control person joined · fact
- A•••• E••••• (Ted) D•••••••• (Senior Vice President) appeared on Schedule A of N•• C•••••• I••••••••• A•••••••• L••Aug 29, 2022 · Control person joined · fact
- L••• S••••• K•••••• (Senior Vice President) appeared on Schedule A of N•• C•••••• I••••••••• A•••••••• L••Aug 29, 2022 · Control person joined · fact
- N••••••• J••••• L••••••• (Senior Vice President) appeared on Schedule A of N•• C•••••• I••••••••• A•••••••• L••Aug 29, 2022 · Control person joined · fact
- Keith Kevin Rostowsky (Senior Vice President) no longer on Schedule A of N•• C•••••• I••••••••• A•••••••• L•• (listed 2022-05-25, absent 2022-06-28)Jun 28, 2022 · Control person left · inference
- John Craig Andreen (Senior Vice President) no longer on Schedule A of N•• C•••••• I••••••••• A•••••••• L•• (listed 2022-05-25, absent 2022-06-28)Jun 28, 2022 · Control person left · inference
- Robert Timothy Verrilli (Vice President) no longer on Schedule A of N•• C•••••• I••••••••• A•••••••• L•• (listed 2022-05-25, absent 2022-06-28)Jun 28, 2022 · Control person left · inference
- E••••• Robert Radway (Chairman) no longer on Schedule A of N•• C•••••• I••••••••• A•••••••• L•• (listed 2021-06-29, absent 2021-10-28)Oct 28, 2021 · Control person left · inference
- N•• C•••••• I••••••••• A•••••••• L•• reported 6 offices beyond its principal office, down from 11 (2021-05-25 to 2021-06-29)Jun 29, 2021 · Office count change · derived
- Andrew Neil Rudd (Chief Operating Officer) no longer on Schedule A of N•• C•••••• I••••••••• A•••••••• L•• (listed 2020-06-29, absent 2021-01-26)Jan 26, 2021 · Control person left · inference
- N•• C•••••• I••••••••• A•••••••• L•• reported RAUM $9.6B, up 28% from $7.5B (2020-05-22 to 2020-06-29)Jun 29, 2020 · RAUM change · derived
- N•• C•••••• I••••••••• A•••••••• L•• reported RAUM $7.5B, up 60% from $4.7B (2019-01-25 to 2019-06-27)Jun 27, 2019 · RAUM change · derived
- E••••• Brian Franc (Chief Compliance Officer) appeared on Schedule A of N•• C•••••• I••••••••• A•••••••• L••Jan 25, 2019 · Control person joined · fact
- N•• C•••••• I••••••••• A•••••••• L•• reported 10 offices beyond its principal office, up from 1 (2018-03-30 to 2018-09-13)Sep 13, 2018 · Office count change · derived
- N•• C•••••• I••••••••• A•••••••• L•• reported RAUM $4.7B, up 25% from $3.7B (2017-09-20 to 2018-01-25)Jan 25, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- N•• C•••••• I••••••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- N•• C•••••• I••••••••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/NXT-CAPITALreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••://WWW.N•••••••••.COM/ASSET-MANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-450-8000reportedpublic record, Form ADV, Aug 26, 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
- $1.7Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026