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•• S•• C••••••

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 165466SEC 801-77491IAPD
Legal name N•• S•• C•••••• L••
Latest filing Jun 30, 2014
First filing on the tape Dec 17, 2012 · 5 filings
RAUM
$50.5M
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
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$50.5M gross assets
History
5 filings and snapshots on the tape
RAUM$50.5M as of Jun 30, 2014
Dec 17, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 30, 2014
Dec 17, 20120 then
Employees (5.A)3 as of Jun 30, 2014
Dec 17, 20121 then
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 30, 2014; 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
$50.5MderivedRAUM 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, performance-basedreportedItem 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
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
1reported
Financial planning clients
n/areported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N•• M••••• F•••• L•••Hedge Fund$50.5M3Jun 30, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••••• S••••••• · Member And Ceo/Ciocontrol
        since 09/2008 · owns 75% or more
      • P•••••• D••••• J••••• · Cco/Coocontrol
        since 03/2013 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Private funds · unset to 1
        Apr 3, 2014 to Jun 30, 2014
      • Assets in custody · 50480252.0 to unset
        Mar 28, 2014 to Apr 3, 2014
      • Custody of client assets · true to false
        Mar 28, 2014 to Apr 3, 2014
      • Assets in custody · unset to 50480252.0
        Mar 18, 2013 to Mar 28, 2014
      • Custody of client assets · false to true
        Mar 18, 2013 to Mar 28, 2014
      • Employees · 1 to 3
        Mar 18, 2013 to Mar 28, 2014
      • Discretionary RAUM · $45.5M to $50.5M
        Mar 18, 2013 to Mar 28, 2014
      • RAUM · $45.5M to $50.5M
        Mar 18, 2013 to Mar 28, 2014
      • Accounts · 0 to 1
        Dec 17, 2012 to Mar 18, 2013
      • Discretionary RAUM · $0 to $45.5M
        Dec 17, 2012 to Mar 18, 2013
      • RAUM · $0 to $45.5M
        Dec 17, 2012 to Mar 18, 2013
      Signals
      1 dated events
      • N•• S•• C•••••• filed its initial SEC registration (Form ADV)
        Dec 17, 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