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 adviserLondon, CRD 164451SEC 801-80371IAPD
Latest filing Sep 30, 2020
First filing on the tape Sep 17, 2014 · 14 filings
RAUM
$153M
reported, Item 5.F
Discretionary
0.0%
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
10
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
$153M gross assets
History
14 filings and snapshots on the tape
RAUM$153M as of Sep 30, 2020
Sep 29, 2015$380M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 30, 2020
Sep 29, 20150 then
Employees (5.A)10 as of Sep 30, 2020
Sep 29, 201510 then
Private funds5 as of Sep 30, 2020
Sep 29, 20158 then
RAUM -8.4% over the last fiscal year-8.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 30, 2020; 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
$25.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-8.4%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$153M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
6reported
Financial planning clients
0reported
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N••• W•••••• L•Private Equity Fund$106M6Aug 8, 2014
      N••• A••••• L•Private Equity Fund$44.4M7Aug 8, 2014
      C•• C•••••• P••••••• L•Private Equity Fund$20.0M4Aug 8, 2014
      N••• S•••• L•Private Equity Fund$3.0M2Sep 17, 2014
      N••• B•••• L•Private Equity Fund$123,0004Aug 8, 2014
      N••• C•••••• I••••••••• G••••••• L• I••Private Equity Fund$62,0002Sep 17, 2014
      T••• L•no longer reportedPrivate Equity Fund$49,6004Sep 17, 2014
      N••• C•••• L•• I••no longer reportedPrivate Equity Fund$4,0002Sep 17, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • A•••• N••••• · Directorcontrol
        since 09/2019 · owns less than 5%
      • W••••••••• D••••• S•••• · Chairman/Ceo/Cco/Directorcontrol
        since 10/2002 · owns less than 5%
      Entity owners
      • N••• C•••••• G•••• L•••••• · 100% Shareholder/Parent Company
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 6
        Sep 30, 2019 to Sep 30, 2020
      • Pooled vehicle clients · 0 to 6
        Sep 30, 2019 to Sep 30, 2020
      • Employees · 9 to 10
        Sep 30, 2019 to Sep 30, 2020
      • Private funds · 6 to 5
        Sep 30, 2019 to Sep 30, 2020
      • Non-discretionary RAUM · $167M to $153M
        Sep 30, 2019 to Sep 30, 2020
      • Pooled vehicle RAUM · unset to 153389220.0
        Sep 30, 2019 to Sep 30, 2020
      • RAUM · $167M to $153M
        Sep 30, 2019 to Sep 30, 2020
      • Accounts · 8 to 7
        Sep 27, 2018 to Sep 30, 2019
      • Advisory employees · 2 to 5
        Sep 27, 2018 to Sep 30, 2019
      • Employees · 6 to 9
        Sep 27, 2018 to Sep 30, 2019
      • Private funds · 7 to 6
        Sep 27, 2018 to Sep 30, 2019
      • Non-discretionary RAUM · $190M to $167M
        Sep 27, 2018 to Sep 30, 2019
      • RAUM · $190M to $167M
        Sep 27, 2018 to Sep 30, 2019
      • Charity clients · unset to 0.0
        Sep 27, 2017 to Sep 27, 2018
      • Corporate clients · unset to 0.0
        Sep 27, 2017 to Sep 27, 2018
      • HNW clients · unset to 0.0
        Sep 27, 2017 to Sep 27, 2018
      • Individual clients · unset to 0.0
        Sep 27, 2017 to Sep 27, 2018
      • Pension plan clients · unset to 0.0
        Sep 27, 2017 to Sep 27, 2018
      • Pooled vehicle clients · unset to 0.0
        Sep 27, 2017 to Sep 27, 2018
      • Other offices · unset to 1.0
        Sep 27, 2017 to Sep 27, 2018
      • Non-discretionary RAUM · $200M to $190M
        Sep 27, 2017 to Sep 27, 2018
      • RAUM · $200M to $190M
        Sep 27, 2017 to Sep 27, 2018
      • Accounts · 9 to 8
        Jan 13, 2017 to Sep 27, 2017
      • Advisory employees · 4 to 2
        Jan 13, 2017 to Sep 27, 2017
      • Employees · 8 to 6
        Jan 13, 2017 to Sep 27, 2017
      • Private funds · 8 to 7
        Jan 13, 2017 to Sep 27, 2017
      • Non-discretionary RAUM · $291M to $200M
        Jan 13, 2017 to Sep 27, 2017
      • RAUM · $291M to $200M
        Jan 13, 2017 to Sep 27, 2017
      • Advisory employees · 9 to 4
        May 24, 2016 to Sep 29, 2016
      • Employees · 10 to 8
        May 24, 2016 to Sep 29, 2016
      • Non-discretionary RAUM · $380M to $291M
        May 24, 2016 to Sep 29, 2016
      • RAUM · $380M to $291M
        May 24, 2016 to Sep 29, 2016
      • Advisory employees · 19 to 9
        Jun 8, 2015 to Sep 29, 2015
      • Employees · 21 to 10
        Jun 8, 2015 to Sep 29, 2015
      • Non-discretionary RAUM · $485M to $380M
        Jun 8, 2015 to Sep 29, 2015
      • RAUM · $485M to $380M
        Jun 8, 2015 to Sep 29, 2015
      • Private funds · 16 to 8
        Sep 17, 2014 to Oct 2, 2014
      Signals
      3 dated events
      • Mark Simon Bliss (Director) no longer on Schedule A of N••• C•••••• M••••••••• L•••••• (listed 2019-09-30, absent 2020-09-30)
        Sep 30, 2020 · Control person left · inference
      • Neelam Amin (Director) appeared on Schedule A of N••• C•••••• M••••••••• L••••••
        Sep 30, 2020 · Control person joined · fact
      • N••• C•••••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)
        Sep 17, 2014 · 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