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.

Former SEC-registered adviser

Northern Pines Henderson Capital, LLC

Former SEC-registered adviserBoston, MassachusettsCRD 162260SEC 801-78824IAPD
Latest filing Mar 28, 2016
First filing on the tape Nov 13, 2013 · 4 filings
RAUM
$134M
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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$126M gross assets
History
4 filings and snapshots on the tape
RAUM$134M as of Mar 28, 2016
Mar 26, 2014$175M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2016
Mar 26, 20140 then
Employees (5.A)4 as of Mar 28, 2016
Mar 26, 20145 then
Private funds1 as of Mar 28, 2016
Mar 26, 20141 then
RAUM +0.5% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2016; 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
$44.8MderivedRAUM 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
+0.5%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
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Northern Pines Capital Master Fund, LPHedge Fund$126M17Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Michael Jeremy Corkhill · Managercontrol
        since 12/2012 · owns less than 5%
      • Daniel Patrick Dunn · Member, Managercontrol
        since 12/2012 · owns 25% to 50%
      • James Paul Graham · Managercontrol
        since 12/2012 · owns less than 5%
      • Marie Nicole Lavoie · Chief Compliance Officercontrol
        since 10/2013 · owns less than 5%
      • Jacob Daniel Schiff · Member, Managercontrol
        since 12/2012 · owns 25% to 50%
      Entity owners
      • Henderson Global Investors Npc Holdings, LLC · Member
        direct · owns 50% to 75%
      • Henderson Equity Holdings, LLC · Shareholder
        indirect · owns 75% or more of Henderson Global Investors Npc Holdings, LLC
      • Henderson Global Group Limited · Shareholder
        indirect · owns 75% or more of Henderson Holdings Group Limited
      • Henderson Global Investors · Shareholder
        indirect · owns 75% or more of Henderson Equity Holdings, LLC
      • Henderson Global Investors (Holdings) Plc · Shareholder
        indirect · owns 75% or more of Henderson Holdings Limited
      • Henderson Global Investors (International Holdings) Bv · Shareholder
        indirect · owns 75% or more of Henderson International Inc.
      • Henderson Group Holdings Asset Management Limited · Shareholder
        indirect · owns 75% or more of Hgi Asset Management Group Limited
      • Henderson Group Plc · Shareholder
        indirect · owns 75% or more of Henderson Group Holdings Asset Management
      • Henderson Holdings Group Limited · Shareholder
        indirect · owns 75% or more of Hgi Group Limited
      • Henderson Holdings Limited · Shareholder
        indirect · owns 75% or more of Henderson Global Investors (International Holdings) Bv
      • Henderson International Inc. · Shareholder
        indirect · owns 75% or more of Henderson Global Investors (North America) Inc.
      • Hgi Asset Management Group Limited · Shareholder
        indirect · owns 75% or more of Henderson Global Group Limited
      • Hgi Group Limited · Shareholder
        indirect · owns 75% or more of Henderson Global Investors (Holdings) Plc
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 3
        Mar 26, 2015 to Mar 28, 2016
      • Employees · 5 to 4
        Mar 26, 2015 to Mar 28, 2016
      • Discretionary RAUM · $134M to $134M
        Mar 26, 2015 to Mar 28, 2016
      • RAUM · $134M to $134M
        Mar 26, 2015 to Mar 28, 2016
      • Discretionary RAUM · $175M to $134M
        Mar 26, 2014 to Mar 26, 2015
      • RAUM · $175M to $134M
        Mar 26, 2014 to Mar 26, 2015
      • Accounts · 2 to 3
        Nov 13, 2013 to Mar 26, 2014
      • Private funds · 2 to 1
        Nov 13, 2013 to Mar 26, 2014
      • Discretionary RAUM · $152M to $175M
        Nov 13, 2013 to Mar 26, 2014
      • RAUM · $152M to $175M
        Nov 13, 2013 to Mar 26, 2014
      Signals
      1 dated events
      • Northern Pines Henderson Capital, Llc filed its initial SEC registration (Form ADV)
        Nov 13, 2013 · First SEC registration · fact
      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