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•• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 167163SEC 801-79545IAPD
Latest filing Jun 4, 2024
First filing on the tape Mar 31, 2014 · 32 filings
RAUM
$2.2B
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
11
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
$947M gross assets
History
32 filings and snapshots on the tape
RAUM$2.3B as of Apr 1, 2024
Mar 31, 2015$2.9B then
HNW client RAUM$0 as of Apr 1, 2024
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Apr 1, 2024
Mar 31, 20150 then
Employees (5.A)11 as of Apr 1, 2024
Mar 31, 201514 then
Private funds4 as of Apr 1, 2024
Mar 31, 20151 then
RAUM -21% over the last fiscal year-6.5% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Jun 4, 2024; 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
$373MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-17%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
$714M, 3 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$1.2B54%
  • Pooled investment vehicles$1.0B46%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$714M for 3 clientsreported
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
      A•• C••••• O••••••••• L••Hedge Fund$2.0B1Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• J•••••• W•••••• · Chief Financial Officercontrol
        since 07/2023 · owns less than 5%
      • C••••••••• K••••• · Member Of The Board Of M••••••Scontrol
        since 01/2023 · owns less than 5%
      • D•••• A••••••••• E••••••• · Member Of Board Of M••••••S, Chief Executive Officer And Presidentcontrol
        since 01/2021 · owns less than 5%
      • G•••• P••••••• J••• · Member Of The Board Of M••••••Scontrol
        since 01/2023 · owns less than 5%
      • R•••• J•••• H•••••• · Deputy General Counsel, Chief Compliance Officer And Secretarycontrol
        since 05/2023 · owns less than 5%
      Entity owners
      • N••••• N•• H••••••• L•• · Member Of N•• C•••••• M••••••••• L••
        direct · owns 75% or more
      • G•• O••••••••• F••• M••••••••• L••• · General Partner
        indirect · owns F of G••••• G••• C•••••• O••••••••• F•••••• L•••
      • G•• O••••••••• F••• M••••••••• L••• · General Partner
        indirect · owns F of N••••• N•••• S•••••••• L•••
      • G•• O••••••••• F••• M••••••••• L••• · General Partner
        indirect · owns F of G••••• G••• C•••••• O••••••••• F•••• L•••
      • G•••• N••••• I••••••••• L••• · Limited Partner
        indirect · owns 75% or more of N••••• F•••••••• G••••• L•••
      • G••••• G••• C•••••• O••••••••• F•••••• L••• · Member
        indirect · owns 25% to 50% of N••••• N•••• B••••••• L••
      • G••••• G••• C•••••• O••••••••• F•••• L••• · Limited Partner
        indirect · owns 50% to 75% of N••••• N•••• S•••••••• L•••
      • N••••• A•••• M••••••••• L•• · Member
        indirect · owns 75% or more of N••••• N•• H••••••• L••
      • N••••• F•••••••• G•••• G• L••• · General Partner
        indirect · owns F of N••••• F•••••••• G••••• L•••
      • N••••• F•••••••• G••••• L••• · Member
        indirect · owns 75% or more of N••••• A•••• M••••••••• L••
      • N••••• N•••• B••••••• L•• · Limited Partner
        indirect · owns 25% to 50% of N••••• N•••• S•••••••• L•••
      • N••••• N•••• S•••••••• L••• · Limited Partner
        indirect · owns 75% or more of G•••• N••••• I••••••••• L•••
      Related persons
      Schedule D 7.A
      • 1••• S••••••••• I••
        broker-dealern
      • A•• C••••• O••••••••• P••••••• F••• I• G•• L•••
        pooled vehicle sponsorn
      • C•••••• R•• I•••
        real estaten
      • G•• O••••••••• F••• M••••••••• L•••
        investment adviserpooled vehicle sponsory
      • G••••• G••• C••••••
        investment adviserpooled vehicle sponsornRAUM $11B
      • L••••••• R•• I•••
        real estaten
      • M•••• R• L•••
        real estaten
      • N••••• A••••••••• I••••••••• L••
        investment adviserpooled vehicle sponsorn
      • N••••• G••••• C••••• ••• L••
        investment adviserpooled vehicle sponsorn
      • N••••• G••••• C••••• L••
        investment adviserpooled vehicle sponsornRAUM $6.4B
      • N••••• L••• A•• A•••••• C••••••
        real estaten
      • N••••• L••• I•••••••• C••••••
        real estaten
      • N••••• L••• I•••••••• C•••••• O• K•••••
        real estaten
      • N••••• P•••••• C••••• G• L••
        investment adviserpooled vehicle sponsorn
      • N••••• P•••••• C••••• L••
        investment advisern
      • N••••• R• ••••••• L•••
        real estaten
      • N•• C•• M•••••• L••
        investment adviserpooled vehicle sponsorn
      • P•• V••••••• I•••••••• C••••••
        real estaten
      • S•••••• R•• I•••
        real estaten
      Advisers that list N•• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Darien, CT2 employees
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $2.3B to $2.2B
        Apr 17, 2024 to May 24, 2024
      • Pooled vehicle RAUM · $1.0B to $1.0B
        Apr 17, 2024 to May 24, 2024
      • RAUM · $2.3B to $2.2B
        Apr 17, 2024 to May 24, 2024
      • Accounts · 9 to 6
        Jan 4, 2024 to Apr 1, 2024
      • Advisory employees · 7 to 8
        Jan 4, 2024 to Apr 1, 2024
      • Pooled vehicle clients · 9 to 4
        Jan 4, 2024 to Apr 1, 2024
      • Assets in custody · $0 to $714M
        Jan 4, 2024 to Apr 1, 2024
      • Employees · 22 to 11
        Jan 4, 2024 to Apr 1, 2024
      • Private funds · 5 to 4
        Jan 4, 2024 to Apr 1, 2024
      • Discretionary RAUM · $2.8B to $2.3B
        Jan 4, 2024 to Apr 1, 2024
      • Pooled vehicle RAUM · $2.8B to $1.0B
        Jan 4, 2024 to Apr 1, 2024
      • RAUM · $2.8B to $2.3B
        Jan 4, 2024 to Apr 1, 2024
      • Related bank · false to true
        Jan 4, 2024 to Apr 1, 2024
      • Business name · A•••• I••••• C•••••• M••••••••• L•• to N•• C•••••• M••••••••• L••
        Jul 28, 2023 to Jan 4, 2024
      • HQ city · SAN FRANCISCO to NEW YORK
        Jul 28, 2023 to Jan 4, 2024
      • HQ state · CA to NY
        Jul 28, 2023 to Jan 4, 2024
      • Legal name · A•••• I••••• C•••••• M••••••••• L•• to N•• C•••••• M••••••••• L••
        Jul 28, 2023 to Jan 4, 2024
      • Other offices · 0 to 1
        Jun 1, 2023 to Jul 28, 2023
      • Private funds · 4 to 5
        Apr 25, 2023 to Jun 1, 2023
      • Related broker-dealer · false to true
        Apr 25, 2023 to Jun 1, 2023
      • Accounts · 10 to 9
        Jan 12, 2023 to Mar 30, 2023
      • Advisory employees · 11 to 7
        Jan 12, 2023 to Mar 30, 2023
      • BD registered reps · 7 to 0
        Jan 12, 2023 to Mar 30, 2023
      • Pooled vehicle clients · 10 to 9
        Jan 12, 2023 to Mar 30, 2023
      • Employees · 28 to 22
        Jan 12, 2023 to Mar 30, 2023
      • Discretionary RAUM · $3.3B to $2.8B
        Jan 12, 2023 to Mar 30, 2023
      • Pooled vehicle RAUM · $3.3B to $2.8B
        Jan 12, 2023 to Mar 30, 2023
      • RAUM · $3.3B to $2.8B
        Jan 12, 2023 to Mar 30, 2023
      • Related broker-dealer · true to false
        Apr 4, 2022 to Jan 12, 2023
      • Accounts · 5 to 10
        Apr 30, 2021 to Mar 30, 2022
      • Advisory employees · 14 to 11
        Apr 30, 2021 to Mar 30, 2022
      • BD registered reps · 10 to 7
        Apr 30, 2021 to Mar 30, 2022
      • Pooled vehicle clients · 5 to 10
        Apr 30, 2021 to Mar 30, 2022
      • Employees · 32 to 28
        Apr 30, 2021 to Mar 30, 2022
      • Discretionary RAUM · $2.7B to $3.3B
        Apr 30, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $2.7B to $3.3B
        Apr 30, 2021 to Mar 30, 2022
      • RAUM · $2.7B to $3.3B
        Apr 30, 2021 to Mar 30, 2022
      • Related bank · true to false
        Apr 30, 2021 to Mar 30, 2022
      • Advisory employees · 19 to 14
        Jan 28, 2021 to Mar 31, 2021
      • Employees · 37 to 32
        Jan 28, 2021 to Mar 31, 2021
      Signals
      20 dated events
      • Alicia Christine Janofsky (Chief Financial Officer) no longer on Schedule A of N•• C•••••• M••••••••• L•• (listed 2023-06-01, absent 2023-07-28)
        Jul 28, 2023 · Control person left · inference
      • William Justin Banulski (Chief Financial Officer) appeared on Schedule A of N•• C•••••• M••••••••• L••
        Jul 28, 2023 · Control person joined · fact
      • Herbert John Roth (Deputy General Counsel, Chief Compliance Officer And Secretary) appeared on Schedule A of N•• C•••••• M••••••••• L••
        Jun 1, 2023 · Control person joined · fact
      • Alicia Christine Janofsky (Chief Financial Officer) appeared on Schedule A of N•• C•••••• M••••••••• L••
        Jun 1, 2023 · Control person joined · fact
      • Michael Robert Ryan (Chief Financial Officer And Treasurer) no longer on Schedule A of N•• C•••••• M••••••••• L•• (listed 2023-04-25, absent 2023-06-01)
        Jun 1, 2023 · Control person left · inference
      • Nmn Natasha Salins (Chief Compliance Officer) no longer on Schedule A of N•• C•••••• M••••••••• L•• (listed 2023-04-25, absent 2023-06-01)
        Jun 1, 2023 · Control person left · inference
      • John Phillip Gass (Member Of The Board Of Managers) appeared on Schedule A of N•• C•••••• M••••••••• L••
        Jan 12, 2023 · Control person joined · fact
      • Nmn Kostas Cheliotis (Member Of The Board Of Managers) appeared on Schedule A of N•• C•••••• M••••••••• L••
        Jan 12, 2023 · Control person joined · fact
      • Caldwell David Dominik (Manager) no longer on Schedule A of N•• C•••••• M••••••••• L•• (listed 2022-04-04, absent 2023-01-12)
        Jan 12, 2023 · Control person left · inference
      • Jane Nicole Macarchuk (Chief Operating Officer, General Counsel, And Secretary) no longer on Schedule A of N•• C•••••• M••••••••• L•• (listed 2022-03-30, absent 2022-04-04)
        Apr 4, 2022 · Control person left · inference
      • Emmanuel Alexander Dias (Manager, Chief Executive Officer, And President) appeared on Schedule A of N•• C•••••• M••••••••• L••
        Jan 28, 2021 · Control person joined · fact
      • Dev Gopalan (Manager And Chief Executive Officer) no longer on Schedule A of N•• C•••••• M••••••••• L•• (listed 2020-04-21, absent 2021-01-28)
        Jan 28, 2021 · Control person left · inference
      • N•• C•••••• M••••••••• L•• reported RAUM $2.5B, up 45% from $1.7B (2020-02-04 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • Natasha Salins (Chief Compliance Officer) appeared on Schedule A of N•• C•••••• M••••••••• L••
        Feb 4, 2020 · Control person joined · fact
      • N•• C•••••• M••••••••• L•• reported RAUM $1.7B, up 43% from $1.2B (2019-03-29 to 2019-06-13)
        Jun 13, 2019 · RAUM change · derived
      • Robert James O'Connor (Chief Compliance Officer) no longer on Schedule A of N•• C•••••• M••••••••• L•• (listed 2019-03-29, absent 2019-06-13)
        Jun 13, 2019 · Control person left · inference
      • Jane Nicole Macarchuk (Chief Operating Officer And General Counsel) appeared on Schedule A of N•• C•••••• M••••••••• L••
        Mar 29, 2019 · Control person joined · fact
      • Michael Robert Ryan (Chief Financial Officer) appeared on Schedule A of N•• C•••••• M••••••••• L••
        Mar 29, 2019 · Control person joined · fact
      • Hillary Prescott Ashe (Manager) no longer on Schedule A of N•• C•••••• M••••••••• L•• (listed 2019-02-26, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • A•••• I••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 31, 2014 · 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