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.

Former SEC-registered adviser

Northstar, Northstar Asset Management Group

Former SEC-registered adviserNew York, New YorkCRD 167232SEC 801-79790IAPD
Legal name Nsam US LLC
Latest filing Feb 6, 2017
First filing on the tape May 15, 2014 · 12 filings
RAUM
$24B
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
207
85 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$24B as of Mar 30, 2016
Mar 31, 2015$19B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 31, 20150 then
Employees (5.A)207 as of Mar 30, 2016
Mar 31, 2015160 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 6, 2017; 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
$4.0BderivedRAUM 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
unknownderived7 offices incl. principal (1.F.5)
RAUM growth, one year
+24%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, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$1.5B, 6 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
  • 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)
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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.5B for 6 clientsreported
Compensation
% of AUM, fixed, 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Antonia Burgess · Director Of The Jersey Relying Adviserscontrol
        since 06/2014 · owns less than 5%
      • Francis James Flaherty · Limited Partner Of Healthcare Opportunity Jv, LPcontrol
        since 06/2014 · owns less than 5%
      • Ross Daniel Gilbert · Dir, Colony Northstar Bermuda; Dir, Jersey Relying Advisers; Dir. Colony Northstar Uk Ltdcontrol
        since 06/2014 · owns less than 5%
      • Takashi David Hamamoto · Executive Vice Chairman Of Colony Northstar, Inc.control
        since 01/2017 · owns less than 5%
      • Graeme Macarthur · Director Of The Jersey Relying Adviserscontrol
        since 06/2014 · owns less than 5%
      • Leon Schwartzman · Chief Compliance Officer Of Colony Capital Investment Advisors, LLCcontrol
        since 04/2015 · owns less than 5%
      Entity owners
      • Cni Advisor Holdings, LLC · Shareholder Of Jersey Realying Advisors
        direct · owns 75% or more
      • Colony Capital Investment Advisors, LLC · Member
        direct · owns 75% or more
      • Colony Capital Op Subsidiary, LLC · Member, Colony Capital Investment Holdco, LLC
        direct · owns 75% or more
      • Colony Capital Operating Company, LLC · Sole Member, Nsam P-Holdings, LLC
        direct · owns 75% or more
      • Healthcare Jv Gp, LLC · General Partner Of Healthcare Opportunity Jv, LP
        direct · owns less than 5%
      • Nsam P-Holdings, LLC · Limited Partner Of Healthcare Opportunity Jv, LP
        direct · owns 25% to 50%
      • Colony Capital Investment Advisors, LLC · Member
        indirect · owns 75% or more of Colony Northstar US, LLC
      • Colony Capital Investment Holdco, LLC · Member
        indirect · owns 75% or more of Colony Capital Investment Advisors, LLC
      • Colony Capital Op Subsidiary, LLC · Member
        indirect · owns 75% or more of Colony Capital Investment Holdco, LLC
      • Colony Capital Operating Company, LLC · Member
        indirect · owns 75% or more of Colony Capital Op Subsidiary, LLC
      • Colony Northstar, Inc. · Member
        indirect · owns 75% or more of Colony Capital Operating Company, LLC
      Related persons
      Schedule D 7.A
      • Cfssg Real Estate Partners I, LLC
        pooled vehicle sponsorn
      • Cfssg Real Estate Partners II, LLC
        bankpooled vehicle sponsorn
      • Cif-H Gp, LLC
        bankpooled vehicle sponsorn
      • Cif-V Gp, LLC
        bankpooled vehicle sponsorn
      • Cni Ccef Advisors, LLC
        investment advisernRAUM $2.0M
      • Healthcare Opportunity Jv, LP
        investment advisern
      • Jdpt Manager, LLC
        bankpooled vehicle sponsorn
      • Lake Erie Real Estate General Partner Limited
        bankpooled vehicle sponsorn
      • Lake Tahoe Gp, LLC
        bankpooled vehicle sponsorn
      • Lake Tahoe II Gp, LLC
        bankpooled vehicle sponsorn
      • Lake Tahoe III Gp, LLC
        bankpooled vehicle sponsorn
      • Northstar Asset Management Group Inc.
        pooled vehicle sponsory
      • Northstar Asset Management Uk, Ltd. (Relying Adviser)
        investment advisern
      • Northstar Securities, LLC
        broker-dealern
      • Nsam B-Recf Ltd
        investment advisern
      • Nsam Bermuda, Ltd. (Relying Adviser)
        investment advisern
      • Nsam D-Fcvp LLC (Relying Adviser)
        investment advisern
      • Nsam J-Nre Ltd (Relying Adviser)
        investment advisern
      • Nsam J-Nrf Ltd (Relying Adviser)
        investment advisern
      • Nsam J-Ns/Rxr Ltd (Relying Adviser)
        investment advisern
      • Nsam J-Nshc Ltd (Relying Adviser)
        investment advisern
      • Nsam J-Nsi Ltd (Relying Adviser)
        investment advisern
      • Nsam J-Nsii Ltd. (Relying Adviser)
        investment advisern
      • Nsam Luxembourg S.Ar.L. (Relying Adviser)
        investment advisern
      • Nsam US-Recf, LLC
        investment advisern
      • Penn Square Manager I, LLC
        bankpooled vehicle sponsorn
      • Penn Square Manager II, LLC
        bankpooled vehicle sponsorn
      • Pgof Manager I, LLC
        bankpooled vehicle sponsorn
      • Sa Special Situations General Partner, LLC
        bankpooled vehicle sponsorn
      • Silver Mountain Management A/Q, LLC
        bankpooled vehicle sponsorn
      Advisers that list Northstar, Northstar Asset Management Group as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Bethesda, MD
      • Greenwood Village, CO
      • L-2633 Senningerberg, Luxembourg
      • London, United Kingdom
      • Los Angeles, CA
      • St. Helier, Jersey
      What changed
      consecutive filings, newest first
      • Advisory employees · 88 to 85
        Oct 30, 2015 to Mar 30, 2016
      • Assets in custody · $878M to $1.5B
        Oct 30, 2015 to Mar 30, 2016
      • Employees · 177 to 207
        Oct 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $25B to $24B
        Oct 30, 2015 to Mar 30, 2016
      • RAUM · $25B to $24B
        Oct 30, 2015 to Mar 30, 2016
      • Related bank · false to true
        Oct 30, 2015 to Mar 30, 2016
      • Accounts · 5 to 6
        May 5, 2015 to Oct 30, 2015
      • Advisory employees · 80 to 88
        May 5, 2015 to Oct 30, 2015
      • BD registered reps · 4 to 5
        May 5, 2015 to Oct 30, 2015
      • Assets in custody · $840M to $878M
        May 5, 2015 to Oct 30, 2015
      • Employees · 160 to 177
        May 5, 2015 to Oct 30, 2015
      • Discretionary RAUM · $19B to $25B
        May 5, 2015 to Oct 30, 2015
      • RAUM · $19B to $25B
        May 5, 2015 to Oct 30, 2015
      • Accounts · 4 to 5
        Feb 9, 2015 to Mar 31, 2015
      • Advisory employees · 65 to 80
        Feb 9, 2015 to Mar 31, 2015
      • BD registered reps · 5 to 4
        Feb 9, 2015 to Mar 31, 2015
      • Assets in custody · $485M to $840M
        Feb 9, 2015 to Mar 31, 2015
      • Employees · 143 to 160
        Feb 9, 2015 to Mar 31, 2015
      • Discretionary RAUM · $14B to $19B
        Feb 9, 2015 to Mar 31, 2015
      • RAUM · $14B to $19B
        Feb 9, 2015 to Mar 31, 2015
      • Accounts · unset to 4.0
        Jul 1, 2014 to Oct 28, 2014
      • BD registered reps · 4 to 5
        Jul 1, 2014 to Oct 28, 2014
      • Business name · NSAM US LLC to NORTHSTAR, NORTHSTAR ASSET MANAGEMENT GROUP
        Jul 1, 2014 to Oct 28, 2014
      • Discretionary RAUM · unset to 14230563000.0
        Jul 1, 2014 to Oct 28, 2014
      • Non-discretionary RAUM · unset to 0.0
        Jul 1, 2014 to Oct 28, 2014
      • RAUM · unset to 14230563000.0
        Jul 1, 2014 to Oct 28, 2014
      • Assets in custody · unset to 485000000.0
        Jun 24, 2014 to Jul 1, 2014
      • Custody of client assets · false to true
        Jun 24, 2014 to Jul 1, 2014
      • Business name · NORTHSTAR REALTY INVESTMENT ADVISOR, LLC to NSAM US LLC
        May 15, 2014 to Jun 24, 2014
      • Legal name · NORTHSTAR REALTY INVESTMENT ADVISOR, LLC to NSAM US LLC
        May 15, 2014 to Jun 24, 2014
      Signals
      1 dated events
      • Northstar Realty Investment Advisor, Llc filed its initial SEC registration (Form ADV)
        May 15, 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