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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SEC-registered adviser
N•••
Legal name N••• A••••••• C••••
Latest filing Feb 19, 2026
First filing on the tape Jul 30, 2012 · 26 filings
SEC status approved since Aug 10, 2012
RAUM
$193M
reported, Item 5.F
Discretionary
61%
of RAUM
Private clients
100%
$193M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$193M
derived; firm RAUM over IAPD count
Employees
10
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$193M as of Feb 19, 2026
Mar 12, 2013$208M then
HNW client RAUM$184M as of Feb 19, 2026
Oct 31, 2017$111M then
State-registered IARs (5.B.3)0 as of Feb 19, 2026
Mar 12, 20132 then
Employees (5.A)10 as of Feb 19, 2026
Mar 12, 20134 then
Private funds: no history
RAUM +3.4% over the last fiscal year-5.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $193MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.7MderivedHNW RAUM over HNW clients
- Average account
- $988,244derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 61%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -10%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$184M96%
- Individuals$8.6M4.5%
- Individual clients
- 36reported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 195reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• I••• Q•••••• A••••••• | Miami, Fl | Jul 9, 2024 | 25 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Z••••• L•••• R•••••• I•••••• · Ceo/Directorcontrolsince 10/2015 · owns 75% or more
- Z••••• L•••• R•••••• I•••••• · Ownercontrolsince 09/1997 · owns 75% or more of N•••••• Oaks Corp
Entity owners
- N•••••• O•• C••••••••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- N••• A•••• M••••••••• L••investment adviserpooled vehicle sponsory
- N•• S•••••• S••investment advisern
Offices
Schedule D 1.F, the 25 largest
- Lima, Peru6 employees
- New York, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 204 to 195Aug 27, 2025 to Feb 19, 2026
- Advisory employees · 3 to 1Aug 27, 2025 to Feb 19, 2026
- HNW clients · 25 to 24Aug 27, 2025 to Feb 19, 2026
- Individual clients · 42 to 36Aug 27, 2025 to Feb 19, 2026
- Discretionary RAUM · $116M to $117MAug 27, 2025 to Feb 19, 2026
- HNW RAUM · $178M to $184MAug 27, 2025 to Feb 19, 2026
- Individual RAUM · $8.4M to $8.6MAug 27, 2025 to Feb 19, 2026
- Non-discretionary RAUM · $70.7M to $75.9MAug 27, 2025 to Feb 19, 2026
- RAUM · $186M to $193MAug 27, 2025 to Feb 19, 2026
- Accounts · 229 to 204Mar 5, 2024 to Feb 13, 2025
- HNW clients · 26 to 25Mar 5, 2024 to Feb 13, 2025
- Individual clients · 35 to 42Mar 5, 2024 to Feb 13, 2025
- Employees · 8 to 10Mar 5, 2024 to Feb 13, 2025
- Financial planning clients · unset to Mar 5, 2024 to Feb 13, 2025
- Discretionary RAUM · $125M to $116MMar 5, 2024 to Feb 13, 2025
- HNW RAUM · $222M to $178MMar 5, 2024 to Feb 13, 2025
- Individual RAUM · $8.0M to $8.4MMar 5, 2024 to Feb 13, 2025
- Non-discretionary RAUM · $105M to $70.7MMar 5, 2024 to Feb 13, 2025
- RAUM · $230M to $186MMar 5, 2024 to Feb 13, 2025
- Accounts · 225 to 229Feb 14, 2023 to Mar 5, 2024
- HNW clients · 25 to 26Feb 14, 2023 to Mar 5, 2024
- Discretionary RAUM · $137M to $125MFeb 14, 2023 to Mar 5, 2024
- HNW RAUM · $219M to $222MFeb 14, 2023 to Mar 5, 2024
- Individual RAUM · $7.4M to $8.0MFeb 14, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $89.5M to $105MFeb 14, 2023 to Mar 5, 2024
- RAUM · $226M to $230MFeb 14, 2023 to Mar 5, 2024
- Accounts · 205 to 225Mar 25, 2022 to Feb 14, 2023
- Individual clients · 33 to 35Mar 25, 2022 to Feb 14, 2023
- Employees · 11 to 8Mar 25, 2022 to Feb 14, 2023
- Discretionary RAUM · $139M to $137MMar 25, 2022 to Feb 14, 2023
- HNW RAUM · $228M to $219MMar 25, 2022 to Feb 14, 2023
- Individual RAUM · $7.8M to $7.4MMar 25, 2022 to Feb 14, 2023
- Non-discretionary RAUM · $97.1M to $89.5MMar 25, 2022 to Feb 14, 2023
- RAUM · $236M to $226MMar 25, 2022 to Feb 14, 2023
- Accounts · 116 to 205Mar 31, 2021 to Mar 25, 2022
- Advisory employees · 2 to 3Mar 31, 2021 to Mar 25, 2022
- HNW clients · 24 to 25Mar 31, 2021 to Mar 25, 2022
- Individual clients · unset to 33.0Mar 31, 2021 to Mar 25, 2022
- Employees · 3 to 11Mar 31, 2021 to Mar 25, 2022
- Discretionary RAUM · $48.6M to $139MMar 31, 2021 to Mar 25, 2022
Signals
2 dated events
- Numa reported RAUM $145.1M, down 46% from $269.6M (2018-10-31 to 2019-10-29)Oct 29, 2019 · RAUM change · derived
- Numa filed its initial SEC registration (Form ADV)Jul 30, 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.
How to reach
public business contact points only, each with its source
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $193Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026