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•••• B•• C•••••• M••••••••• L•
Latest filing Mar 28, 2013
First filing on the tape Jul 20, 2012 · 2 filings
RAUM
$213M
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
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$213M gross assets
History
2 filings and snapshots on the tape
RAUM$213M as of Mar 28, 2013
Jul 20, 2012$226M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 5
Private funds3 as of Mar 28, 2013
Jul 20, 20126 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 28, 2013; 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
- $42.6MderivedRAUM 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
- unknownderivedbetween 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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- controlled by a public reporting company (10.A)
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
- 5reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•••• B•• C•••••• F••• 1••• L••• | Hedge Fund | $121M | 24 | Mar 29, 2012 |
| N•••• B•• C•••••• F•••• L••• | Hedge Fund | $89.1M | 58 | Mar 29, 2012 |
| N•••• B•• C•••••• F••• 1••• L••• | Hedge Fund | $3.2M | 21 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L•••• K••••••• W•••••• · Managing Partner Of N•••• Bay Capital Management, L.P.controlsince 03/2007 · owns 25% to 50%
- P••••• A•••••• B•••••••• · Chief Compliance Officercontrolsince 07/2012 · owns less than 5%
- L•••• K••••••• W•••••• · Membercontrolsince 03/2007 · owns 50% to 75% of N•••• B•• C•••••• M••••••••• G•• L••
Entity owners
- T••••••••• B•• A•••••••• L•• · General Partnerindirect · owns F of T••••••••• B••• L•••
- T••••••••• B••• L••• · Memberindirect · owns 50% to 75% of N•••• B•• C•••••• M••••••••• G•• L••
- N•••• B•• C•••••• M••••••••• G•• L•• · General Partner Of N•••• Bay Capital Management, L.P. And N•••• B•• C•••••• F••• G•• L•••direct · owns less than 5%
- T••••••••• B••• L••• · Limited Partner Of N•••• Bay Capital Management, L.P.direct · owns 25% to 50%
Related persons
Schedule D 7.A
- N•••• B•• C•••••• F••• G•• L•••investment adviserpooled vehicle sponsorn
- T•• M••••••• V• L••investment advisern
- T•• M••••••• V•• L••investment advisernRAUM $780M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · unset to 4.0Jul 20, 2012 to Mar 28, 2013
- BD registered reps · unset to 0.0Jul 20, 2012 to Mar 28, 2013
- Employees · unset to 5.0Jul 20, 2012 to Mar 28, 2013
- State-registered IARs · unset to 0.0Jul 20, 2012 to Mar 28, 2013
- Private funds · 6 to 3Jul 20, 2012 to Mar 28, 2013
- Discretionary RAUM · $226M to $213MJul 20, 2012 to Mar 28, 2013
- RAUM · $226M to $213MJul 20, 2012 to Mar 28, 2013
Signals
1 dated events
- N•••• B•• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jul 20, 2012 · 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