DFX Intelligence
RIA Intelligence
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SEC-registered adviser
N••• C•••••• M••••••••• U• L••••••
Latest filing Sep 16, 2026
First filing on the tape Jul 4, 2016 · 14 filings
SEC status approved since Mar 5, 2021
RAUM
$6.9B
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
24
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$6.9B as of Mar 30, 2026
Mar 31, 2022$5.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 31, 20220 then
Employees (5.A)24 as of Mar 30, 2026
Mar 31, 202219 then
Private funds4 as of Mar 30, 2026
Mar 31, 20224 then
RAUM +22% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 16, 2026; 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
- $626MderivedRAUM 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
- +22%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-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.8B, 2 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$6.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.8B for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.9 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••• M••••• F••• L• | Hedge Fund | $2.8B | 130 | Dec 10, 2012 |
| N••• C•••••••• F••• M••••• L•••••• | Hedge Fund | $910M | 15 | Mar 5, 2021 |
| N••••••• L• | Hedge Fund | $571M | 3 | Mar 5, 2021 |
| N••• 1••• F••• L•• | Hedge Fund | $403M | 2 | Jul 4, 2016 |
| N••• L•••••• P••• M••••• F••• L••no longer reported | Hedge Fund | $0 | 17 | Nov 4, 2013 |
Owners and control persons
Schedule A and B, latest filing
- S•••••••• M••••••• T•••• · Chief Executive Officercontrolsince 05/2012 · owns less than 5%
- S•••••••• M••••••• T•••• · Shareholder/Ownercontrolsince 03/2012 · owns 75% or more of N••• C•••••• M••••••••• L••••••
- J•••••• H•••••• S•••• · Chief Operating Officer/Chief Compliance Officersince 03/2023 · owns less than 5%
Entity owners
- N••• C•••••• M••••••••• L•••••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- N••• ••• L••••••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 30, 2026 to Sep 16, 2026
- HQ state · to unsetMar 30, 2026 to Sep 16, 2026
- Private funds · 4 to unsetMar 30, 2026 to Sep 16, 2026
- Succession · false to unsetMar 30, 2026 to Sep 16, 2026
- Assets in custody · $1.3B to $1.8BMar 31, 2025 to Mar 30, 2026
- Employees · 23 to 24Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $5.6B to $6.9BMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $5.2B to $6.2BMar 31, 2025 to Mar 30, 2026
- RAUM · $5.6B to $6.9BMar 31, 2025 to Mar 30, 2026
- Related adviser · false to trueMar 31, 2025 to Mar 30, 2026
- Accounts · 10 to 11Mar 27, 2024 to Mar 31, 2025
- Advisory employees · 13 to 15Mar 27, 2024 to Mar 31, 2025
- Pooled vehicle clients · 7 to 8Mar 27, 2024 to Mar 31, 2025
- Assets in custody · $1.2B to $1.3BMar 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 31, 2025
- HQ state · unset to Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $5.2B to $5.6BMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $4.7B to $5.2BMar 27, 2024 to Mar 31, 2025
- RAUM · $5.2B to $5.6BMar 27, 2024 to Mar 31, 2025
- Advisory employees · 9 to 13Mar 31, 2023 to Mar 27, 2024
- Assets in custody · $759M to $1.2BMar 31, 2023 to Mar 27, 2024
- Employees · 21 to 23Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $4.2B to $5.2BMar 31, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $3.6B to $4.7BMar 31, 2023 to Mar 27, 2024
- RAUM · $4.2B to $5.2BMar 31, 2023 to Mar 27, 2024
- Advisory employees · 10 to 9Apr 6, 2022 to Mar 31, 2023
- Assets in custody · $0 to $759MApr 6, 2022 to Mar 31, 2023
- Employees · 19 to 21Apr 6, 2022 to Mar 31, 2023
- Discretionary RAUM · $5.1B to $4.2BApr 6, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $4.5B to $3.6BApr 6, 2022 to Mar 31, 2023
- RAUM · $5.1B to $4.2BApr 6, 2022 to Mar 31, 2023
- Accounts · 8 to 10Oct 14, 2021 to Mar 31, 2022
- Advisory employees · 7 to 10Oct 14, 2021 to Mar 31, 2022
- Employees · 15 to 19Oct 14, 2021 to Mar 31, 2022
- Discretionary RAUM · $3.9B to $5.1BOct 14, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $3.6B to $4.5BOct 14, 2021 to Mar 31, 2022
- RAUM · $3.9B to $5.1BOct 14, 2021 to Mar 31, 2022
- Accounts · 5 to 8Sep 5, 2018 to Mar 5, 2021
- Advisory employees · 6 to 7Sep 5, 2018 to Mar 5, 2021
- Pooled vehicle clients · 5 to 7Sep 5, 2018 to Mar 5, 2021
Signals
4 dated events
- N••• C•••••• M••••••••• U• L•••••• reported RAUM $5.1B, up 30% from $3.9B (2021-10-14 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- N••• C•••••• M••••••••• U• L•••••• reported RAUM $3.9B, up 116% from $1.8B (2018-09-05 to 2021-03-05)Mar 5, 2021 · RAUM change · derived
- N••• C•••••• M••••••••• U• L•••••• reported RAUM $1.8B, up 38% from $1.3B (2016-07-04 to 2018-07-19)Jul 19, 2018 · RAUM change · derived
- N••• C•••••• M••••••••• U• L•••••• filed its initial SEC registration (Form ADV)Jul 4, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- N••• C•••••• M••••••••• U• L•••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- N•••CAPITAL.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- +44-207-535-5160reportedpublic record, Form ADV, Sep 16, 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
- Asset manager (funds and pooled vehicles)deriveda 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