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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
N•• V••••• W••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jan 30, 2013 · 22 filings
SEC status approved since Jan 1, 2013
RAUM
$781M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$781M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$781M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$781M as of Mar 31, 2026
Mar 31, 2014$431M then
HNW client RAUM$747M as of Mar 31, 2026
Mar 23, 2018$357M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 31, 20142 then
Employees (5.A)8 as of Mar 31, 2026
Mar 31, 201411 then
Private funds: no history
RAUM +24% over the last fiscal year+22% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 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
- $781MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 187derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.7MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$747M96%
- Individuals$33.9M4.3%
- Individual clients
- 90reported
- HNW clients
- 97reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 443reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=6.0 bank_owner=falsederived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• M••• S•••••• | Highland Park, Il | Mar 27, 2013 | 37 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
- P•••• H••••• R•••••• to H•••••••• A•••••••• L••Nov 3, 2015 · Other
Joined, latest
- P•••• H••••• R•••••• from S• I••••••••• A•••••••Mar 27, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••• G•••• A••• · Chief Financial Officer, Chief Compliance Officercontrolsince 01/2013 · owns less than 5%
- S••••••• D•••••• M••• · Member, Manager, Trustee Of D••••• S•••••• G••• T••••controlsince 01/2013 · owns 10% to 25%
- S••••••• S•••••• A••••• · Member, Manager, Chief Investment Officer, Trustee S••••• S•••••• G••• T••••controlsince 01/2013 · owns 10% to 25%
- Z••••••• A•••••• R•••• · Member, Manager, Chairman Of Boardcontrolsince 11/2020 · owns less than 5%
- Z••••••• M••••••• R•••• · Member, Managercontrolsince 01/2013 · owns 25% to 50%
- Z••••••• A•••••• R•••• · Membercontrolsince 01/2013 · owns 25% to 50% of N• C•••••• H••••••• I•• L••
Entity owners
- D••••• S•••••• G••• T•••• · Member - Trustee Is A Control Persondirect · owns 10% to 25%
- N• C•••••• H••••••• I•• L•• · Memberdirect · owns 25% to 50%
- S••••• S•••••• G••• T•••• · Member - Trustee Is A Control Persondirect · owns 10% to 25%
Related persons
Schedule D 7.A
- N•• V••••• C••••••investment advisernRAUM $902M
- N•• V••••• I••••••••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $116M
- N•• V••••• P••••••• L••pooled vehicle sponsorn
- S• I••••••••• A•••••••broker-dealernRAUM $438M
Advisers that list N•• V••••• W••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 5.0% to 96.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 416 to 443Mar 31, 2025 to Mar 31, 2026
- HNW clients · 89 to 97Mar 31, 2025 to Mar 31, 2026
- Individual clients · 92 to 90Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $628M to $781MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $28.4M to $747MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $599M to $33.9MMar 31, 2025 to Mar 31, 2026
- RAUM · $628M to $781MMar 31, 2025 to Mar 31, 2026
- Accounts · 404 to 416Mar 28, 2024 to Mar 31, 2025
- HNW clients · 76 to 89Mar 28, 2024 to Mar 31, 2025
- Individual clients · 96 to 92Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $552M to $628MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $519M to $28.4MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $32.9M to $599MMar 28, 2024 to Mar 31, 2025
- RAUM · $552M to $628MMar 28, 2024 to Mar 31, 2025
- Accounts · 393 to 404Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 6 to 5Mar 31, 2023 to Mar 28, 2024
- Employees · 10 to 8Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $431M to $552MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $399M to $519MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $31.5M to $32.9MMar 31, 2023 to Mar 28, 2024
- RAUM · $431M to $552MMar 31, 2023 to Mar 28, 2024
- Accounts · 398 to 393Mar 30, 2022 to Mar 31, 2023
- HNW clients · 79 to 76Mar 30, 2022 to Mar 31, 2023
- Individual clients · 99 to 96Mar 30, 2022 to Mar 31, 2023
- Employees · 11 to 10Mar 30, 2022 to Mar 31, 2023
- State-registered IARs · 2 to 1Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $489M to $431MMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $457M to $399MMar 30, 2022 to Mar 31, 2023
- Individual RAUM · $31.4M to $31.5MMar 30, 2022 to Mar 31, 2023
- RAUM · $489M to $431MMar 30, 2022 to Mar 31, 2023
- Accounts · 388 to 398Mar 30, 2021 to Mar 30, 2022
- Advisory employees · 5 to 6Mar 30, 2021 to Mar 30, 2022
- HNW clients · 77 to 79Mar 30, 2021 to Mar 30, 2022
- Individual clients · 98 to 99Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $439M to $489MMar 30, 2021 to Mar 30, 2022
- HNW RAUM · $406M to $457MMar 30, 2021 to Mar 30, 2022
- Individual RAUM · $32.9M to $31.4MMar 30, 2021 to Mar 30, 2022
- RAUM · $439M to $489MMar 30, 2021 to Mar 30, 2022
- Accounts · 409 to 388Jun 30, 2020 to Mar 30, 2021
Signals
3 dated events
- N•• V••••• W••••• M••••••••• L•• reported RAUM $551.9M, up 28% from $430.8M (2023-03-31 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- N•• V••••• W••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 30, 2013 · Succession (Item 4) · fact
- N•• V••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 30, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 847-926-5700reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- NEWV•••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847-926-5700reportedpublic record, Form ADV, Mar 31, 2026
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
- $781Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026