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••••• C•••••• P•••••••• L••

Former SEC-registered adviserNewtown, PennsylvaniaCRD 161311SEC 801-73606IAPD
Latest filing Feb 7, 2020
First filing on the tape Feb 14, 2012 · 11 filings
RAUM
$63.7M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$94.6M gross assets
History
11 filings and snapshots on the tape
RAUM$63.7M as of Feb 7, 2020
Feb 8, 2013$208M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 7, 2020
Feb 8, 20130 then
Employees (5.A)2 as of Feb 7, 2020
Feb 8, 20132 then
Private funds4 as of Feb 7, 2020
Feb 8, 20134 then
RAUM -33% over the last fiscal year-20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 7, 2020; 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
$15.9MderivedRAUM 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
-33%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
selection of other advisersreportedItem 5.G
Custody
$63.7M, 4 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)
  • 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$63.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$63.7M for 4 clientsreported
Compensation
% of AUM, fixed, 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N••••• E••••• P••••••• I•• L•Private Equity Fund$39.6M23Feb 14, 2012
      N••••• R••••• P••••••• I•• L•Real Estate Fund$27.7M10Feb 14, 2012
      N••••• R••••• P•••••••• L•Real Estate Fund$15.9M11Feb 14, 2012
      N••••• E••••• P•••••••• L•Private Equity Fund$11.4M14Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• B••••••• S•••••• · Limited Partner Of N•• G• I• L•control
        since 10/2005 · owns 25% to 50%
      • R•••••• H•••••••• L•••• · Limited Partner Of N••••• C•••••• P••••••• G• I•• L•control
        since 10/2077 · owns 50% to 75%
      Entity owners
      • N••••• C•••••• P•••••••• L•• · General Partner Of N•• G• I• L•
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • N•• G• I• L•
        pooled vehicle sponsory
      • N••••• C•••••• P••••••• G• I•• L•
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $94.6M to $63.7M
        Feb 4, 2019 to Feb 7, 2020
      • Discretionary RAUM · $94.6M to $63.7M
        Feb 4, 2019 to Feb 7, 2020
      • Pooled vehicle RAUM · $94.6M to $63.7M
        Feb 4, 2019 to Feb 7, 2020
      • RAUM · $94.6M to $63.7M
        Feb 4, 2019 to Feb 7, 2020
      • Assets in custody · $121M to $94.6M
        Feb 9, 2018 to Feb 4, 2019
      • Discretionary RAUM · $121M to $94.6M
        Feb 9, 2018 to Feb 4, 2019
      • Pooled vehicle RAUM · $121M to $94.6M
        Feb 9, 2018 to Feb 4, 2019
      • RAUM · $121M to $94.6M
        Feb 9, 2018 to Feb 4, 2019
      • Pooled vehicle clients · unset to 4.0
        Jan 19, 2017 to Feb 9, 2018
      • Assets in custody · $125M to $121M
        Jan 19, 2017 to Feb 9, 2018
      • Other offices · unset to 0.0
        Jan 19, 2017 to Feb 9, 2018
      • Discretionary RAUM · $125M to $121M
        Jan 19, 2017 to Feb 9, 2018
      • Pooled vehicle RAUM · unset to 120900000.0
        Jan 19, 2017 to Feb 9, 2018
      • RAUM · $125M to $121M
        Jan 19, 2017 to Feb 9, 2018
      • Assets in custody · $138M to $125M
        Jan 6, 2016 to Jan 19, 2017
      • Discretionary RAUM · $138M to $125M
        Jan 6, 2016 to Jan 19, 2017
      • RAUM · $138M to $125M
        Jan 6, 2016 to Jan 19, 2017
      • Assets in custody · $205M to $138M
        Jan 26, 2015 to Jan 6, 2016
      • Discretionary RAUM · $205M to $138M
        Jan 26, 2015 to Jan 6, 2016
      • RAUM · $205M to $138M
        Jan 26, 2015 to Jan 6, 2016
      • Assets in custody · $213M to $205M
        Jan 21, 2014 to Jan 26, 2015
      • Discretionary RAUM · $213M to $205M
        Jan 21, 2014 to Jan 26, 2015
      • RAUM · $213M to $205M
        Jan 21, 2014 to Jan 26, 2015
      • Assets in custody · $193M to $213M
        Feb 8, 2013 to Jan 21, 2014
      • Discretionary RAUM · $208M to $213M
        Feb 8, 2013 to Jan 21, 2014
      • RAUM · $208M to $213M
        Feb 8, 2013 to Jan 21, 2014
      • Advisory employees · unset to 2.0
        Mar 2, 2012 to Feb 8, 2013
      • BD registered reps · unset to 0.0
        Mar 2, 2012 to Feb 8, 2013
      • Employees · unset to 2.0
        Mar 2, 2012 to Feb 8, 2013
      • State-registered IARs · unset to 0.0
        Mar 2, 2012 to Feb 8, 2013
      • Discretionary RAUM · $193M to $208M
        Mar 2, 2012 to Feb 8, 2013
      • RAUM · $193M to $208M
        Mar 2, 2012 to Feb 8, 2013
      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
      Across the graphs

      N••••• C•••••• P•••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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