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•• L••••• G••••• L••
Latest filing Jun 30, 2026
First filing on the tape Feb 27, 2012 · 32 filings
SEC status approved since Mar 21, 2012
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
11%
$137M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
29
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.3B as of Jun 30, 2026
Apr 1, 2013$65.0M then
HNW client RAUM$137M as of Jun 30, 2026
Mar 29, 2018$122M then
State-registered IARs (5.B.3)0 as of Jun 30, 2026
Apr 1, 20130 then
Employees (5.A)17 as of Jun 30, 2026
Apr 1, 20132 then
Private funds29 as of Jun 30, 2026
Apr 1, 20134 then
RAUM +81% over the last fiscal year+53% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 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
- $19.6MderivedHNW RAUM over HNW clients
- Average account
- $33.8MderivedRAUM 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
- +81%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 individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- 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)
- 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
- Pooled investment vehicles$1.1B89%
- High-net-worth individuals$137M11%
- Individual clients
- n/areported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 38reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.11 fund_share=0.89 institutional_share=0.0 related_bd=false related_bank=true bd_reps=1.0derived
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
32 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•• L••••• M••••• N•••• S••••••••• L•• | Other Private Fund | $81.7M | 91 | Jul 13, 2012 |
| N•• L••••• S••••••• L•• | Other Private Fund | $80.8M | 44 | Mar 31, 2022 |
| N•• L••••• O••••••••• F•••• L• | Venture Capital Fund | $44.8M | 50 | Mar 30, 2023 |
| N•• L••••• R••••• L•• | Other Private Fund | $20.6M | 2 | Mar 31, 2022 |
| S••• V••••••• M••••• F•••• L• | Venture Capital Fund | $16.0M | 6 | Mar 26, 2015 |
| N•• L••••• F•••••• L•• | Other Private Fund | $14.0M | 14 | Mar 30, 2023 |
| I••••• O•• V•••••••• L• | Venture Capital Fund | $11.0M | 2 | Mar 29, 2019 |
| N•• L••••• H•••• L•• | Other Private Fund | $10.3M | 30 | Mar 28, 2024 |
| N•• L••••• A••••• L•• | Other Private Fund | $10.1M | 33 | Mar 31, 2022 |
| N•• L••••• I••• I•• L•• | Other Private Fund | $7.8M | 23 | Mar 31, 2022 |
| A••• 3••• S•••••• L•• | Other Private Fund | $5.7M | 10 | Mar 31, 2014 |
| N•• L••••• I••• I••• L•• | Other Private Fund | $5.3M | 22 | Mar 30, 2023 |
| S••• H•••••• I••••••••• T••• L••no longer reported | Other Private Fund | $4.6M | 4 | Mar 29, 2019 |
| S••• H•• S••• L•• | Other Private Fund | $4.4M | 10 | Mar 30, 2017 |
| N•• L••••• F•••• L• | Other Private Fund | $4.1M | 7 | Jul 13, 2012 |
| N•• L••••• I•••• L•• | Other Private Fund | $3.2M | 13 | Mar 31, 2021 |
| N•• L••••• L•••• I••••••••• L•• | Other Private Fund | $2.0M | 11 | Apr 1, 2013 |
| N•• L••••• A••••• L•• | Other Private Fund | $1.5M | 5 | Mar 31, 2014 |
| N• R••••• S••• L••no longer reported | Other Private Fund | $1.2M | 59 | Jul 2, 2020 |
| N• R••••• I•• L••no longer reported | Other Private Fund | $512,000 | 49 | Mar 31, 2021 |
| P•• T•• S••• L•• | Other Private Fund | $450,000 | 1 | Aug 23, 2023 |
| N•• L••••• S•••• L••no longer reported | Other Private Fund | $212,000 | 4 | Mar 31, 2014 |
| N••• O••••••••• F•••• L••no longer reported | Other Private Fund | $177,000 | 4 | Mar 26, 2015 |
| N•• L••••• E••••••• M•••••• F•••• L•no longer reported | Other Private Fund | $78,000 | 6 | Jul 13, 2012 |
| N•• L••••• M••••• L••••••••• L••no longer reported | Other Private Fund | $43,072 | 6 | Mar 31, 2014 |
| N• R••••• I•• L••no longer reported | Other Private Fund | $25,000 | 60 | Mar 31, 2022 |
| N•• L••••• P••• L••no longer reported | Other Private Fund | $23,000 | 23 | Mar 31, 2021 |
| P•••••• 2•••••• L••no longer reported | Other Private Fund | $21,000 | 2 | Mar 26, 2015 |
| N•• L••••• Z• S••• L••no longer reported | Other Private Fund | $1,000 | 27 | Mar 30, 2017 |
| N• R••••• I••• L••no longer reported | Other Private Fund | $0 | 35 | Mar 31, 2022 |
| N•• L••••• F•••• L••no longer reported | Other Private Fund | $0 | 3 | Mar 29, 2019 |
| N•• L••••• P•• I•• L••no longer reported | Other Private Fund | $0 | 15 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- E••••• B•••••• M•••• · Director Of Operations / Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- G•••••• A•••• L•• · President & Chief Investment Officercontrolsince 11/2009 · owns 50% to 75%
- W••••••• J•••••• M•••••• · Chief Executive Officercontrolsince 11/2009 · owns less than 5%
- W••••••• J•••••• M•••••• · Sole Ownercontrolsince 08/2012 · owns 75% or more of 2••• W•••••• F••••• D••••••• T••••
Entity owners
- 2••• W•••••• F••••• D••••••• T•••• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- F••• S••• L••pooled vehicle sponsorn
- N•• L••••• M••••••••• L••pooled vehicle sponsorn
- N•• L••••• O••••••••• F••• G•• L••pooled vehicle sponsorn
- S••• P•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 8 to 6Mar 27, 2026 to Jun 30, 2026
- Employees · 15 to 17Mar 27, 2026 to Jun 30, 2026
- Accounts · 41 to 38Jan 29, 2026 to Mar 27, 2026
- Advisory employees · 9 to 8Jan 29, 2026 to Mar 27, 2026
- HNW clients · 9 to 7Jan 29, 2026 to Mar 27, 2026
- Pooled vehicle clients · 32 to 31Jan 29, 2026 to Mar 27, 2026
- Employees · 13 to 15Jan 29, 2026 to Mar 27, 2026
- Private funds · 25 to 29Jan 29, 2026 to Mar 27, 2026
- Discretionary RAUM · $694M to $1.3BJan 29, 2026 to Mar 27, 2026
- HNW RAUM · $139M to $137MJan 29, 2026 to Mar 27, 2026
- Non-discretionary RAUM · $13.7M to $0Jan 29, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $569M to $1.1BJan 29, 2026 to Mar 27, 2026
- RAUM · $708M to $1.3BJan 29, 2026 to Mar 27, 2026
- Accounts · 29 to 41Feb 12, 2025 to Mar 31, 2025
- Advisory employees · 10 to 9Feb 12, 2025 to Mar 31, 2025
- Pooled vehicle clients · 20 to 32Feb 12, 2025 to Mar 31, 2025
- Employees · 14 to 13Feb 12, 2025 to Mar 31, 2025
- Financial planning clients · unset to Feb 12, 2025 to Mar 31, 2025
- Private funds · 18 to 25Feb 12, 2025 to Mar 31, 2025
- Discretionary RAUM · $434M to $694MFeb 12, 2025 to Mar 31, 2025
- HNW RAUM · $125M to $139MFeb 12, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $10.9M to $13.7MFeb 12, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $320M to $569MFeb 12, 2025 to Mar 31, 2025
- RAUM · $445M to $708MFeb 12, 2025 to Mar 31, 2025
- Accounts · 38 to 29Aug 23, 2023 to Mar 28, 2024
- Advisory employees · 11 to 10Aug 23, 2023 to Mar 28, 2024
- HNW clients · 12 to 9Aug 23, 2023 to Mar 28, 2024
- Pooled vehicle clients · 26 to 20Aug 23, 2023 to Mar 28, 2024
- Private funds · 23 to 18Aug 23, 2023 to Mar 28, 2024
- Discretionary RAUM · $349M to $434MAug 23, 2023 to Mar 28, 2024
- HNW RAUM · $111M to $125MAug 23, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $8.3M to $10.9MAug 23, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $247M to $320MAug 23, 2023 to Mar 28, 2024
- RAUM · $357M to $445MAug 23, 2023 to Mar 28, 2024
- Accounts · 39 to 38Apr 7, 2023 to Aug 23, 2023
- Pooled vehicle clients · 27 to 26Apr 7, 2023 to Aug 23, 2023
- Private funds · 24 to 23Apr 7, 2023 to Aug 23, 2023
- Discretionary RAUM · $348M to $349MApr 7, 2023 to Aug 23, 2023
- Pooled vehicle RAUM · $246M to $247MApr 7, 2023 to Aug 23, 2023
- RAUM · $357M to $357MApr 7, 2023 to Aug 23, 2023
Signals
6 dated events
- N•• L••••• G••••• L•• reported RAUM $1.3B, up 81% from $707.9M (2026-01-29 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- N•• L••••• G••••• L•• reported RAUM $707.9M, up 59% from $444.6M (2025-02-12 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Marie Bailey Ezell (Director Of Operations / Chief Compliance Officer) appeared on Schedule A of N•• L••••• G••••• L••Aug 23, 2023 · Control person joined · fact
- N•• L••••• G••••• L•• reported RAUM $356.8M, down 56% from $816.2M (2023-01-10 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- N•• L••••• G••••• L•• reported RAUM $816.2M, up 104% from $400.5M (2021-07-23 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- N•• L••••• G••••• L•• reported RAUM $400.5M, up 87% from $214.5M (2020-07-02 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- N•• L••••• G••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- NEWL•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (212) 616-8020reportedpublic record, Form ADV, Jun 30, 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
- Other 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