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•• P••• C•••••• P•••••••• L••

Former SEC-registered adviserLondon, CRD 165804SEC 801-112155IAPD
Latest filing Jun 25, 2018
First filing on the tape Nov 13, 2017 · 4 filings
RAUM
$652M
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
13
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$652M gross assets
History
4 filings and snapshots on the tape
RAUM$652M as of Jun 25, 2018
Nov 13, 2017$648M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 25, 2018
Nov 13, 20170 then
Employees (5.A)13 as of Jun 25, 2018
Nov 13, 201714 then
Private funds2 as of Jun 25, 2018
Nov 13, 20174 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 25, 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
$109MderivedRAUM 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • 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$652M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N•• P••• E••••••• M••••• F••• L•••Hedge Fund$554M43Jun 26, 2015
      N•• P••• M••••• F••• L••••••Hedge Fund$97.8M20Oct 31, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• E••••••• E•••••• G•• · Partnercontrol
        since 03/2014 · owns less than 5%
      • B••••••• M•••••• · Managing Partnercontrol
        since 10/2012 · owns less than 5%
      • G••••••• L•••• A••••••• · Partnercontrol
        since 10/2012 · owns less than 5%
      • K••••• R•••• · Partnercontrol
        since 10/2012 · owns less than 5%
      • L• V••••• R••••••• · Partnercontrol
        since 10/2012 · owns less than 5%
      • M•••••••• V•••••••• K••• · Partnercontrol
        since 04/2014 · owns less than 5%
      • S••••• S••••••• A•••••• · Chief Compliance Officer, Managing Partnercontrol
        since 05/2012 · owns less than 5%
      • B••••••• M•••••• · Shareholdercontrol
        since 10/2012 · owns 75% or more of N•• P••• C•••••• C••••• G• L••••••
      Entity owners
      • M••• C•••••• S••••••• L•• · Corporate Partner
        direct · owns 75% or more
      • M••• C•••••• S••••••• L•••••• · Corporate Partner
        indirect · owns 75% or more of New P••• Capital Partners Llp
      • M••• C••••• L•••••• · Sole Shareholder
        indirect · owns 75% or more of M••• C•••••• S••••••• L••••••
      • N•• P••• C•••••• C••••• G• L•••••• · General Partner
        indirect · owns F of N•• P••• C•••••• C••••• L•
      • N•• P••• C•••••• C••••• L• · Sole Shareholder
        indirect · owns 75% or more of M••• C••••• L••••••
      Related persons
      Schedule D 7.A
      • N•• P••• C•••••• C••••• L•
        investment adviserpooled vehicle sponsorn
      • N•• P••• F••• G• L••••••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $537M to $652M
        Jun 13, 2018 to Jun 25, 2018
      • Pooled vehicle RAUM · $537M to $652M
        Jun 13, 2018 to Jun 25, 2018
      • RAUM · $537M to $652M
        Jun 13, 2018 to Jun 25, 2018
      • Advisory employees · 9 to 8
        Dec 3, 2017 to Jun 13, 2018
      • Employees · 14 to 13
        Dec 3, 2017 to Jun 13, 2018
      • Discretionary RAUM · $648M to $537M
        Dec 3, 2017 to Jun 13, 2018
      • Pooled vehicle RAUM · $648M to $537M
        Dec 3, 2017 to Jun 13, 2018
      • RAUM · $648M to $537M
        Dec 3, 2017 to Jun 13, 2018
      • Private funds · 4 to 2
        Nov 13, 2017 to Dec 3, 2017
      Signals
      1 dated events
      • N•• P••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 13, 2017 · 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