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•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 163073SEC 801-80850IAPD
Latest filing Mar 21, 2018
First filing on the tape Jan 6, 2015 · 6 filings
RAUM
$547,988
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
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$547,988 gross assets
History
6 filings and snapshots on the tape
RAUM$547,988 as of Mar 21, 2018
Mar 29, 2016$10.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 21, 2018
Mar 29, 20160 then
Employees (5.A)7 as of Mar 21, 2018
Mar 29, 20169 then
Private funds3 as of Mar 21, 2018
Mar 29, 20163 then
RAUM -95% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 21, 2018; 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
$182,663derivedRAUM 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
-95%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, otherreportedItem 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
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$547,988100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N•••••• C•••••• P••••••• I•• L•••Private Equity Fund$234,432107Mar 28, 2012
      N•••••• C•••••• P••••••• I••• L•••Private Equity Fund$178,589215Mar 28, 2012
      N•••••• C•••••• P••••••• I•••• L•••Private Equity Fund$134,96751Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• J••••• M•••••• · Managing Director, Chief Compliance Officercontrol
        since 07/1998 · owns less than 5%
      • G••••••••• J••••• W•••••• · Principal - Chief Financial Officercontrol
        since 01/1998 · owns less than 5%
      • N••••••• G•••••• A••••• · Managing Membercontrol
        since 01/1998 · owns less than 5%
      • P••••• J•••• J••••• · Managing Membercontrol
        since 01/1998 · owns less than 5%
      • N••••••• G•••••• A••••• · Shareholdercontrol
        since 12/2004 · owns 25% to 50% of T•• N•••••• G••••• I•••
      Entity owners
      • N•••••• A•••• M••••••••• L•• · Member
        direct · owns 75% or more
      • N•••••• H•••••••• L•• · Member
        indirect · owns 75% or more of N•••••• A•••• M••••••••• L••
      • T•• N•••••• G••••• I••• · Member
        indirect · owns 75% or more of N•••••• H•••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 9 to 6
        Jan 3, 2018 to Mar 21, 2018
      • Charity clients · unset to 0.0
        Jan 3, 2018 to Mar 21, 2018
      • Corporate clients · unset to 0.0
        Jan 3, 2018 to Mar 21, 2018
      • HNW clients · unset to 0.0
        Jan 3, 2018 to Mar 21, 2018
      • Individual clients · unset to 0.0
        Jan 3, 2018 to Mar 21, 2018
      • Pension plan clients · unset to 0.0
        Jan 3, 2018 to Mar 21, 2018
      • Pooled vehicle clients · unset to 3.0
        Jan 3, 2018 to Mar 21, 2018
      • Assets in custody · $10.0M to $547,988
        Jan 3, 2018 to Mar 21, 2018
      • Employees · 10 to 7
        Jan 3, 2018 to Mar 21, 2018
      • Financial planning clients · unset to 0
        Jan 3, 2018 to Mar 21, 2018
      • Discretionary RAUM · $10.0M to $547,988
        Jan 3, 2018 to Mar 21, 2018
      • Pooled vehicle RAUM · unset to 547988.0
        Jan 3, 2018 to Mar 21, 2018
      • RAUM · $10.0M to $547,988
        Jan 3, 2018 to Mar 21, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Jan 3, 2018
      • Advisory employees · 4 to 2
        Mar 29, 2016 to Mar 30, 2017
      • BD registered reps · 8 to 9
        Mar 29, 2016 to Mar 30, 2017
      • Assets in custody · $10.1M to $10.0M
        Mar 29, 2016 to Mar 30, 2017
      • Employees · 9 to 10
        Mar 29, 2016 to Mar 30, 2017
      • Discretionary RAUM · $10.1M to $10.0M
        Mar 29, 2016 to Mar 30, 2017
      • RAUM · $10.1M to $10.0M
        Mar 29, 2016 to Mar 30, 2017
      • Assets in custody · $10.3M to $10.1M
        Sep 30, 2015 to Mar 29, 2016
      • Discretionary RAUM · $10.3M to $10.1M
        Sep 30, 2015 to Mar 29, 2016
      • RAUM · $10.3M to $10.1M
        Sep 30, 2015 to Mar 29, 2016
      • Private funds · 6 to 3
        Jan 6, 2015 to Sep 30, 2015
      Signals
      1 dated events
      • N•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 6, 2015 · First SEC registration · fact
      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