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••• A••• C•••••• M••••••••• L••••••
Latest filing Sep 7, 2022
First filing on the tape Feb 25, 2012 · 21 filings
RAUM
$76.4M
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
5
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
$33.2M gross assets
History
21 filings and snapshots on the tape
RAUM$76.4M as of Sep 7, 2022
Sep 28, 2012$778M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 7, 2022
Sep 27, 20130 then
Employees (5.A)5 as of Sep 7, 2022
Sep 27, 201320 then
Private funds1 as of Sep 7, 2022
Sep 28, 20128 then
RAUM -19% over the last fiscal year-20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 7, 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
- $38.2MderivedRAUM 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
- unknownderived3 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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $33.2M, 1 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$33.2M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $33.2M for 1 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
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••• A••• P•••••••• L•••no longer reported | Hedge Fund | $77.8M | 20 | Feb 25, 2012 |
| T•••• N••• P•••••••• L•••no longer reported | Hedge Fund | $59.9M | 2 | Feb 25, 2012 |
| N••• C•••••••• P•••••••• L•no longer reported | Hedge Fund | $55.4M | 9 | Feb 25, 2012 |
| N••• S•••••••• F••• L••• | Hedge Fund | $33.2M | 3 | Sep 27, 2019 |
| N••• M••••• F••• J•••• O••• T•••••• L•••no longer reported | Hedge Fund | $23.5M | 1 | Sep 28, 2017 |
| N••• K• P•••••••• L•no longer reported | Hedge Fund | $20.6M | 5 | Sep 28, 2012 |
| N••• K••• P•••••••• L•••no longer reported | Hedge Fund | $16.6M | 5 | Feb 25, 2012 |
| N••• C•••• F••• L•••no longer reported | Hedge Fund | $15.9M | 1 | Sep 27, 2019 |
| N••• M••••• F•••• L•••no longer reported | Hedge Fund | $11.8M | 6 | Feb 25, 2012 |
| N••• T•• P•••••••• L•••no longer reported | Hedge Fund | $9.6M | 4 | Feb 25, 2012 |
| N••• J•••• F•••• L•••no longer reported | Hedge Fund | $8.0M | 5 | Feb 25, 2012 |
| N••• K••••••• F•••• L•••no longer reported | Hedge Fund | $7.2M | 2 | Sep 28, 2015 |
Owners and control persons
Schedule A and B, latest filing
- L••• S• K••• · Director, Coo And Ccocontrolsince 09/2020 · owns less than 5%
- S•••••• S•••••• D•••• · Chief Executive Officer Of N••• Groupcontrolsince 04/2016 · owns less than 5%
- W••••• D•••••• J••• · Chief Financial Officer And Directorcontrolsince 04/2011 · owns less than 5%
- F•••••••• F••••• · Shareholdercontrolsince 08/2019 · owns 25% to 50% of N••• G•••• G• L•••
- K••••••• R••••••• P•••••• · Investment Advisorcontrolsince 12/2012 · owns F of R•••••• P•••••• K•••••• F••••• T••••
- K••••••• R••••••• P•••••• · Shareholdercontrolsince 08/2019 · owns 25% to 50% of N••• G•••• G• L•••
- S•••••• S•••••• D•••• · L•••••• Partnercontrolsince 12/2015 · owns 25% to 50% of N••• G••••• L•••
- S•••••• S•••••• D•••• · Investment Advisorcontrolsince 12/2012 · owns F of H•••• G•••• I• T••••
- S•••••• S•••••• D•••• · Investment Advisorcontrolsince 12/2012 · owns F of H•••• G•••• I• T••••
- S•••••• S•••••• D•••• · Shareholdercontrolsince 08/2019 · owns 25% to 50% of N••• G•••• G• L•••
- S••••••• V•• · Non-Discretionary Trusteesince 08/2019 · owns F of R•••••• P•••••• K•••••• F••••• T••••
- S••••••• V•• · Non-Discretionary Trusteesince 08/2019 · owns F of H•••• G•••• I• T••••
- S••••••• V•• · Non-Discretionary Trusteesince 08/2019 · owns F of H•••• G•••• I• T••••
Entity owners
- N••• G•••• S••••••• · Shareholderdirect · owns 50% to 75%
- H•••• G•••• I• T•••• · Managing Memberindirect · owns 75% or more of H•••• G•••• I LLC
- H•••• G•••• I• T•••• · Managing Memberindirect · owns 75% or more of H•••• G•••• II LLC
- N••• G•••• G• L••• · General Partnerindirect · owns F of N••• G••••• L•••
- N••• G••••• L••• · Shareholderindirect · owns 75% or more of N••• G•••• S•••••••
- R•••••• P•••••• K•••••• F••••• T•••• · Managing Memberindirect · owns F of H••••• H••••••• L••
- H••••• H••••••• L•• · Shareholderdirect · owns 10% to 25%
- H•••• G•••• I• L•• · Shareholderdirect · owns 5% to 10%
- H•••• G•••• I•• L•• · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- N••• A••• C•••••• L••••••investment advisern
- N••• A••• C•••••• M••••••••• L••investment advisernRAUM $64.7M
Advisers that list N••• A••• C•••••• M••••••••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
- Tokyo, Japan
What changed
consecutive filings, newest first
- Assets in custody · $43.3M to $33.2MSep 16, 2021 to Sep 7, 2022
- Discretionary RAUM · $94.9M to $76.4MSep 16, 2021 to Sep 7, 2022
- Pooled vehicle RAUM · $43.3M to $33.2MSep 16, 2021 to Sep 7, 2022
- RAUM · $94.9M to $76.4MSep 16, 2021 to Sep 7, 2022
- Accounts · 3 to 2Oct 8, 2020 to Sep 16, 2021
- Assets in custody · $49.8M to $43.3MOct 8, 2020 to Sep 16, 2021
- Employees · 6 to 5Oct 8, 2020 to Sep 16, 2021
- Discretionary RAUM · $118M to $94.9MOct 8, 2020 to Sep 16, 2021
- Pooled vehicle RAUM · $49.8M to $43.3MOct 8, 2020 to Sep 16, 2021
- RAUM · $118M to $94.9MOct 8, 2020 to Sep 16, 2021
- Employees · 7 to 6Sep 28, 2020 to Oct 8, 2020
- Advisory employees · 3 to 2Aug 19, 2020 to Sep 28, 2020
- Assets in custody · $49.7M to $49.8MAug 19, 2020 to Sep 28, 2020
- Employees · 13 to 7Aug 19, 2020 to Sep 28, 2020
- Private funds · 3 to 1Aug 19, 2020 to Sep 28, 2020
- Discretionary RAUM · $176M to $118MAug 19, 2020 to Sep 28, 2020
- Pooled vehicle RAUM · $49.7M to $49.8MAug 19, 2020 to Sep 28, 2020
- RAUM · $176M to $118MAug 19, 2020 to Sep 28, 2020
- Accounts · 5 to 3Sep 27, 2019 to Jan 13, 2020
- Pooled vehicle clients · 3 to 1Sep 27, 2019 to Jan 13, 2020
- Assets in custody · $64.6M to $49.7MSep 27, 2019 to Jan 13, 2020
- Discretionary RAUM · $147M to $176MSep 27, 2019 to Jan 13, 2020
- Pooled vehicle RAUM · $64.6M to $49.7MSep 27, 2019 to Jan 13, 2020
- RAUM · $147M to $176MSep 27, 2019 to Jan 13, 2020
- Advisory employees · 5 to 3Jun 13, 2019 to Sep 27, 2019
- Assets in custody · $109M to $64.6MJun 13, 2019 to Sep 27, 2019
- Employees · 25 to 13Jun 13, 2019 to Sep 27, 2019
- Discretionary RAUM · $736M to $147MJun 13, 2019 to Sep 27, 2019
- Pooled vehicle RAUM · $165M to $64.6MJun 13, 2019 to Sep 27, 2019
- RAUM · $736M to $147MJun 13, 2019 to Sep 27, 2019
- Accounts · 12 to 5Sep 28, 2017 to Sep 28, 2018
- Advisory activities · 1 to 2Sep 28, 2017 to Sep 28, 2018
- Pooled vehicle clients · unset to 3.0Sep 28, 2017 to Sep 28, 2018
- Assets in custody · $223M to $109MSep 28, 2017 to Sep 28, 2018
- Custody of client assets · false to trueSep 28, 2017 to Sep 28, 2018
- Employees · 28 to 25Sep 28, 2017 to Sep 28, 2018
- Other offices · unset to 2.0Sep 28, 2017 to Sep 28, 2018
- Private funds · 5 to 3Sep 28, 2017 to Sep 28, 2018
- Discretionary RAUM · $395M to $736MSep 28, 2017 to Sep 28, 2018
- Pooled vehicle RAUM · unset to 165201470.0Sep 28, 2017 to Sep 28, 2018
Signals
10 dated events
- Angela Cristina Maria Tordesillas (General Counsel) no longer on Schedule A of N••• A••• C•••••• M••••••••• L•••••• (listed 2020-09-28, absent 2020-10-08)Oct 8, 2020 · Control person left · inference
- Loretta Shau Ting Lam (Chief Operating Officer) no longer on Schedule A of N••• A••• C•••••• M••••••••• L•••••• (listed 2020-08-19, absent 2020-09-28)Sep 28, 2020 · Control person left · inference
- Su K••• Lee (Director) appeared on Schedule A of N••• A••• C•••••• M••••••••• L••••••Aug 19, 2020 · Control person joined · fact
- Fuyuki Fujiwara (Shareholder) appeared on Schedule A of N••• A••• C•••••• M••••••••• L••••••Jan 20, 2020 · Control person joined · fact
- Nicholas Longcroft (Shareholder) no longer on Schedule A of N••• A••• C•••••• M••••••••• L•••••• (listed 2019-09-27, absent 2020-01-13)Jan 13, 2020 · Control person left · inference
- N••• A••• C•••••• M••••••••• L•••••• reported RAUM $147.4M, down 80% from $735.7M (2019-06-13 to 2019-09-27)Sep 27, 2019 · RAUM change · derived
- Loretta Shau Ting Lam (Chief Operating Officer) appeared on Schedule A of N••• A••• C•••••• M••••••••• L••••••Sep 27, 2019 · Control person joined · fact
- Naoaki Urabe (Management Committee Member) no longer on Schedule A of N••• A••• C•••••• M••••••••• L•••••• (listed 2019-06-13, absent 2019-09-27)Sep 27, 2019 · Control person left · inference
- Fuyuki Fujiwara (Management Committee Member) no longer on Schedule A of N••• A••• C•••••• M••••••••• L•••••• (listed 2019-06-13, absent 2019-09-27)Sep 27, 2019 · Control person left · inference
- N••• A••• C•••••• M••••••••• L•••••• reported RAUM $735.7M, up 86% from $394.7M (2017-09-28 to 2018-09-28)Sep 28, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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