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••••••••• M••••• C••••••• L••
Latest filing Jul 11, 2013
First filing on the tape Feb 14, 2012 · 5 filings
RAUM
$36B
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
33
28 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
8
$456M gross assets
History
5 filings and snapshots on the tape
RAUM$36B as of Jul 11, 2013
Feb 14, 2012$33B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 11, 2013
Apr 1, 20130 then
Employees (5.A)33 as of Jul 11, 2013
Apr 1, 201333 then
Private funds8 as of Jul 11, 2013
Feb 14, 20126 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 11, 2013; 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
- $3.0BderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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 vehicles, otherreportedItem 5.G
- Custody
- $456M, 9 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $456M for 9 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••••••••• M••••• C•••••• M•••••••• F••• I••• L• | Private Equity Fund | $60.9M | 2 | Apr 1, 2013 |
| N••••••••• M••••• C•••••• S•••••••• E••••• F••• I•• | Private Equity Fund | $40.4M | 2 | Apr 1, 2013 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• A•••••• T••• · Director Of Finance, N••••••••• M••••• C•••••• G• I•• L••controlsince 11/2010 · owns less than 5%
- H•••••• G•••• M•••••• · Treasurer, N••••••••• M••••• C•••••• G• I•• L••controlsince 11/2010 · owns less than 5%
- J••••••• R•••••• P•••• · President And Chief Operating Officer, N••••••••• M••••• C•••••• G• I•• L••controlsince 06/2012 · owns less than 5%
- L••••••• E••••••••• J••• · Chief Compliance Officer, N••••••••• M••••• C••••••• L••controlsince 10/2011 · owns less than 5%
- L••••• H•••••• T•••••• · Director, N••••••••• M••••• C•••••• L••••••controlsince 05/2012 · owns less than 5%
- L•••••• J••••••• J•••• · Director, N••••••••• M••••• C••••••• L••controlsince 07/2011 · owns less than 5%
- M•••••• K••••• A••• · Treasurer, N••••••••• M••••• C•••••• L••••••controlsince 04/2012 · owns less than 5%
Entity owners
- G• A•••••• C•••••• C•••• · Member, Q•••••• R••• M••••••••• L••direct · owns 50% to 75%
- N• G• H•••••••• L•• · Sole Member/Parent, N••••••••• M••••• C•••••• G•• L••direct · owns 75% or more
- N••••••••• M••••• C••••••• L•• · Member And Manager, Q•••••• R••• M••••••••• L••direct · owns 50% to 75%
- T•• N••••••••• M••••• L••• I•••••••• C•••••• · Sole Member/Parent, N••••••••• M••••• C••••••• L••direct · owns 75% or more
- G•••••• E••••••• C•••••• · Indirect Parent, G• A•••••• C•••••• C••••indirect · owns 75% or more of G• A•••••• C•••••• C•••• · public reporting company
- T•• N••••••••• M••••• L••• I•••••••• C•••••• · Sole Member/Parent, N• G• H•••••••• L••indirect · owns 75% or more of N• G• H•••••••• L••
Related persons
Schedule D 7.A
- M•••• S••••• A•••••••• L••investment adviserbanknRAUM $39B
- N••••••••• L••• T••• C••• I•••••••• C••••••real estaten
- N••••••••• M••••• C•••••• G• I•• L••investment adviserpooled vehicle sponsorn
- N••••••••• M••••• C•••••• G• I••• L•investment adviserpooled vehicle sponsorn
- N••••••••• M••••• C•••••• G•• L••investment adviserpooled vehicle sponsorn
- N••••••••• M••••• C•••••• L••••••investment advisern
- N••••••••• M••••• I••••••••• S•••••••••broker-dealerinvestment adviserreal estaten
- N••••••••• M••••• W••••• M••••••••• C••••••investment advisern
- Q•••••• R••• M••••••••• L••investment adviserpooled vehicle sponsory
- T•• N••••••••• M••••• L••• I•••••••• C••••••real estatey
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom
What changed
consecutive filings, newest first
- Accounts · 10 to 12Sep 18, 2012 to Apr 1, 2013
- Advisory employees · unset to 28.0Sep 18, 2012 to Apr 1, 2013
- BD registered reps · unset to 0.0Sep 18, 2012 to Apr 1, 2013
- Assets in custody · $438M to $456MSep 18, 2012 to Apr 1, 2013
- Employees · unset to 33.0Sep 18, 2012 to Apr 1, 2013
- State-registered IARs · unset to 0.0Sep 18, 2012 to Apr 1, 2013
- Private funds · 6 to 8Sep 18, 2012 to Apr 1, 2013
- Discretionary RAUM · $33B to $36BSep 18, 2012 to Apr 1, 2013
- RAUM · $33B to $36BSep 18, 2012 to Apr 1, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- N••••••••• M••••• C••••••• L•• · Private Equityshared crd · organization
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