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•••• C•••••• M••••••••• L•

Former SEC-registered adviserStamford, ConnecticutCRD 161398SEC 801-73538IAPD
Latest filing May 2, 2022
First filing on the tape Feb 13, 2012 · 18 filings
RAUM
$636M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$578M gross assets
History
18 filings and snapshots on the tape
RAUM$636M as of Mar 25, 2022
Mar 28, 2013$821M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2022
Mar 28, 20130 then
Employees (5.A)4 as of Mar 25, 2022
Mar 28, 20134 then
Private funds4 as of Mar 25, 2022
Mar 28, 20132 then
RAUM +19% over the last fiscal year+4.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 2, 2022; 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
$159MderivedRAUM 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
+19%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 pooled vehiclesreportedItem 5.G
Custody
$525M, 3 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$636M100%
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
$525M for 3 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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••• C•••••• H••••••• I•• L•••Private Equity Fund$131M93Feb 13, 2012
      C••••• C•••••• H•••••••• L•••Private Equity Fund$1.6M64Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • E••• A••••• H• · Controllercontrol
        since 01/2011 · owns less than 5%
      • S•••••••• R•••••• J•••• · Chief Compliance Officercontrol
        since 10/2018 · owns less than 5%
      • W•••••••• P•••• S••••• · Limited Partner, Chairmancontrol
        since 12/2008 · owns 25% to 50%
      • S••••••• S•••••• D••••• · Trustee And Beneficiarycontrol
        since 11/2020 · owns 75% or more of S• D••••• S•••••• 2••• R•••••••• T••••
      • W•••••••• P•••• S••••• · Sole Membercontrol
        since 12/2008 · owns 75% or more of N•••• L••
      Entity owners
      • N•••• L•• · General Partner
        direct · owns less than 5%
      • T•• C••••• L•• · General Partner
        direct · owns less than 5%
      • T•••• C••••• M••••••••• L•• · Limited Partner
        direct · owns 25% to 50%
      • S• D••••• S•••••• 2••• R•••••••• T•••• · Sole Member
        indirect · owns 75% or more of T•••• C••••• M••••••••• L••
      • T•••• C••••• M••••••••• L•• · Sole Member
        indirect · owns 75% or more of T•• C••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list N•• C•••• C•••••• M••••••••• L• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 4
        Apr 28, 2021 to Mar 25, 2022
      • Pooled vehicle clients · 3 to 4
        Apr 28, 2021 to Mar 25, 2022
      • Private funds · 3 to 4
        Apr 28, 2021 to Mar 25, 2022
      • Discretionary RAUM · $533M to $636M
        Apr 28, 2021 to Mar 25, 2022
      • Pooled vehicle RAUM · $533M to $636M
        Apr 28, 2021 to Mar 25, 2022
      • RAUM · $533M to $636M
        Apr 28, 2021 to Mar 25, 2022
      • Advisory employees · 3 to 4
        Mar 9, 2020 to Mar 31, 2021
      • Assets in custody · $454M to $525M
        Mar 9, 2020 to Mar 31, 2021
      • Discretionary RAUM · $522M to $533M
        Mar 9, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $522M to $533M
        Mar 9, 2020 to Mar 31, 2021
      • RAUM · $522M to $533M
        Mar 9, 2020 to Mar 31, 2021
      • Assets in custody · $467M to $454M
        Apr 23, 2019 to Mar 9, 2020
      • Discretionary RAUM · $552M to $522M
        Apr 23, 2019 to Mar 9, 2020
      • Pooled vehicle RAUM · $552M to $522M
        Apr 23, 2019 to Mar 9, 2020
      • RAUM · $552M to $522M
        Apr 23, 2019 to Mar 9, 2020
      • Assets in custody · $471M to $467M
        Jan 25, 2019 to Mar 29, 2019
      • Discretionary RAUM · $589M to $552M
        Jan 25, 2019 to Mar 29, 2019
      • Pooled vehicle RAUM · $589M to $552M
        Jan 25, 2019 to Mar 29, 2019
      • RAUM · $589M to $552M
        Jan 25, 2019 to Mar 29, 2019
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $528M to $471M
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $671M to $589M
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 589249000.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $671M to $589M
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $576M to $528M
        Mar 28, 2016 to Mar 31, 2017
      • Discretionary RAUM · $776M to $671M
        Mar 28, 2016 to Mar 31, 2017
      • RAUM · $776M to $671M
        Mar 28, 2016 to Mar 31, 2017
      • Assets in custody · $662M to $576M
        May 20, 2015 to Mar 28, 2016
      • Discretionary RAUM · $862M to $776M
        May 20, 2015 to Mar 28, 2016
      • RAUM · $862M to $776M
        May 20, 2015 to Mar 28, 2016
      • Assets in custody · $645M to $662M
        Mar 27, 2014 to Mar 26, 2015
      • Discretionary RAUM · $820M to $862M
        Mar 27, 2014 to Mar 26, 2015
      • RAUM · $820M to $862M
        Mar 27, 2014 to Mar 26, 2015
      • Assets in custody · $607M to $645M
        Nov 8, 2013 to Mar 27, 2014
      • Discretionary RAUM · $783M to $820M
        Nov 8, 2013 to Mar 27, 2014
      • RAUM · $783M to $820M
        Nov 8, 2013 to Mar 27, 2014
      • Accounts · 2 to 3
        Jun 5, 2013 to Nov 8, 2013
      • Assets in custody · $516M to $607M
        Jun 5, 2013 to Nov 8, 2013
      • Private funds · 2 to 3
        Jun 5, 2013 to Nov 8, 2013
      Signals
      2 dated events
      • James Robert Stillman (Chief Compliance Officer) appeared on Schedule A of N•• C•••• C•••••• M••••••••• L•
        Mar 29, 2019 · Control person joined · fact
      • Zarko Ognjen Radic (Chief Compliance Officer) no longer on Schedule A of N•• C•••• C•••••• M••••••••• L• (listed 2019-01-25, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      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