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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SEC-registered adviser
N••••• O•• N•••• A••••••• I•••
Latest filing Jun 26, 2026
First filing on the tape Jul 28, 2014 · 26 filings
SEC status approved since Aug 5, 2014
RAUM
$41B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.2%
$486M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
68
39 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$41B as of Jun 26, 2026
Jun 29, 2015$2.9B then
HNW client RAUM$486M as of Jun 26, 2026
Jun 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 26, 2026
Jun 29, 20150 then
Employees (5.A)68 as of Jun 26, 2026
Jun 29, 201540 then
Private funds9 as of Jun 26, 2026
Jun 29, 20156 then
RAUM +31% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 26, 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
- $220,471derivedHNW RAUM over HNW clients
- Average account
- $18.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 16%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
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +94%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $5.1B, 9 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)
- 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
- Pooled investment vehicles$22B60%
- Other investment advisers$6.3B17%
- Pension and profit-sharing plans$5.3B14%
- Investment companies$1.4B3.7%
- State and municipal entities$1.2B3.2%
- High-net-worth individuals$486M1.3%
- Insurance companies$252M0.7%
- Charitable organizations$91.2M0.2%
- Corporations and businesses$10.7M0.0%
- Individual clients
- 0reported
- HNW clients
- 2,204reported
- Pension plan clients
- 23reported
- Charitable clients
- 2reported
- Accounts
- 2,290reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.1B for 9 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.72 institutional_share=0.16 related_bd=false related_bank=true bd_reps=20.0derived
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
14 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- G•••••• B••••••• J••• · Directorcontrolsince 09/2015 · owns less than 5%
- G••••• J•••• C••••• · Directorcontrolsince 03/2020 · owns less than 5%
- M••••• J•••• T•••••• · Directorcontrolsince 03/2020 · owns less than 5%
- R•••••• A•••• · Secretarycontrolsince 09/2021 · owns less than 5%
- S••••••• S••••••• · Ceo; Directorcontrolsince 09/2024 · owns less than 5%
- T••••••• D•••• A••••• · Chief Compliance Officer; Head Of Legal; Directorcontrolsince 02/2013 · owns less than 5%
Entity owners
- N••••• O•• I••••••••• L••• · Shareholderdirect · owns 75% or more
- F•••• T•• P•••• T•• · Shareholderindirect · owns 25% to 50% of N••••• O•• P••
- I•• T••••••• L•••••• · Trusteeindirect · owns F of M••••••• T••••
- M••••••• T•••• · Shareholderindirect · owns 75% or more of F•••• T•• P•••• T••
- N••••• O•• G••••• L••• · Shareholderindirect · owns 75% or more of N••••• O•• I••••••••• L•••
- N••••• O•• P•• · Shareholderindirect · owns 75% or more of N••••• O•• G••••• L•••
Related persons
Schedule D 7.A
- N••••• O•• A••••• C••••• O••••••••• F••• 2• G• S••••••pooled vehicle sponsorn
- N••••• O•• A••••• F••••••• P•••••• E••••• F••• G• L••pooled vehicle sponsorn
- N••••• O•• A••••• P•••••• E••••• F••• 2• G• L••pooled vehicle sponsorn
- N••••• O•• A••••••••• I••••••••• G• •••• L••pooled vehicle sponsorn
- N••••• O•• A•••••••• P•• L••investment adviserpooled vehicle sponsorn
- N••••• O•• F••• M••••••• U• L••pooled vehicle sponsorn
- N••••• O•• G••••••• L••investment adviserbankpooled vehicle sponsorn
- N••••• O•• H••• K••• L••investment advisern
- N••••• O•• L••••••••• S•••investment adviserpooled vehicle sponsorn
- N••••• O•• S• •••• L••investment advisern
- N••••• O•• S•••••••• P••• L••investment advisern
- N••••• O•• U• L••••••investment adviserbanknRAUM $130B
Advisers that list N••••• O•• N•••• A••••••• I••• as a related person
- 158310 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,024 to 2,290Jun 26, 2025 to Jun 26, 2026
- Advisory employees · 37 to 39Jun 26, 2025 to Jun 26, 2026
- HNW clients · 1,942 to 2,204Jun 26, 2025 to Jun 26, 2026
- Pension plan clients · 15 to 23Jun 26, 2025 to Jun 26, 2026
- Pooled vehicle clients · 36 to 40Jun 26, 2025 to Jun 26, 2026
- Assets in custody · $4.7B to $5.1BJun 26, 2025 to Jun 26, 2026
- Employees · 67 to 68Jun 26, 2025 to Jun 26, 2026
- Discretionary RAUM · $39B to $41BJun 26, 2025 to Jun 26, 2026
- HNW RAUM · $318M to $486MJun 26, 2025 to Jun 26, 2026
- Pension RAUM · $4.0B to $5.3BJun 26, 2025 to Jun 26, 2026
- Pooled vehicle RAUM · $21B to $22BJun 26, 2025 to Jun 26, 2026
- RAUM · $39B to $41BJun 26, 2025 to Jun 26, 2026
- Accounts · 1,567 to 2,024Sep 30, 2024 to Jun 26, 2025
- Advisory employees · 29 to 37Sep 30, 2024 to Jun 26, 2025
- BD registered reps · 23 to 20Sep 30, 2024 to Jun 26, 2025
- Charity clients · 0 to 2Sep 30, 2024 to Jun 26, 2025
- HNW clients · 1,490 to 1,942Sep 30, 2024 to Jun 26, 2025
- Pension plan clients · 14 to 15Sep 30, 2024 to Jun 26, 2025
- Pooled vehicle clients · 40 to 36Sep 30, 2024 to Jun 26, 2025
- Assets in custody · $5.3B to $4.7BSep 30, 2024 to Jun 26, 2025
- Employees · 68 to 67Sep 30, 2024 to Jun 26, 2025
- Financial planning clients · unset to Sep 30, 2024 to Jun 26, 2025
- Discretionary RAUM · $40B to $39BSep 30, 2024 to Jun 26, 2025
- HNW RAUM · $255M to $318MSep 30, 2024 to Jun 26, 2025
- Pension RAUM · $3.9B to $4.0BSep 30, 2024 to Jun 26, 2025
- Pooled vehicle RAUM · $26B to $21BSep 30, 2024 to Jun 26, 2025
- RAUM · $40B to $39BSep 30, 2024 to Jun 26, 2025
- Accounts · 847 to 1,567Jun 27, 2023 to Jun 26, 2024
- Advisory employees · 44 to 29Jun 27, 2023 to Jun 26, 2024
- BD registered reps · 26 to 23Jun 27, 2023 to Jun 26, 2024
- HNW clients · 768 to 1,490Jun 27, 2023 to Jun 26, 2024
- Pooled vehicle clients · 47 to 40Jun 27, 2023 to Jun 26, 2024
- Assets in custody · $5.1B to $5.3BJun 27, 2023 to Jun 26, 2024
- Employees · 84 to 68Jun 27, 2023 to Jun 26, 2024
- Private funds · 11 to 9Jun 27, 2023 to Jun 26, 2024
- Discretionary RAUM · $32B to $40BJun 27, 2023 to Jun 26, 2024
- HNW RAUM · $114M to $255MJun 27, 2023 to Jun 26, 2024
- Pension RAUM · $1.9B to $3.9BJun 27, 2023 to Jun 26, 2024
- Pooled vehicle RAUM · $24B to $26BJun 27, 2023 to Jun 26, 2024
- RAUM · $32B to $40BJun 27, 2023 to Jun 26, 2024
Signals
20 dated events
- Sangeeth Sewnath (Ceo; Director) appeared on Schedule A of N••••• O•• N•••• A••••••• I•••Sep 30, 2024 · Control person joined · fact
- Alexander Philip Anker (Ceo; Director) no longer on Schedule A of N••••• O•• N•••• A••••••• I••• (listed 2024-08-01, absent 2024-09-30)Sep 30, 2024 · Control person left · inference
- Johne Adam Fletcher (General Counsel Of Ninety One) no longer on Schedule A of N••••• O•• N•••• A••••••• I••• (listed 2022-06-29, absent 2023-06-27)Jun 27, 2023 · Control person left · inference
- Domenico Ferrini (Executive Committee Member Of Ninety One/Co-Chief Investment Officer Of Ninety One) no longer on Schedule A of N••••• O•• N•••• A••••••• I••• (listed 2022-06-29, absent 2023-06-27)Jun 27, 2023 · Control person left · inference
- Jacobus Hendrik Du Toit (Ceo Of N••••• O•• P••/Executive Committee Member Of Ninety One) no longer on Schedule A of N••••• O•• N•••• A••••••• I••• (listed 2022-06-29, absent 2023-06-27)Jun 27, 2023 · Control person left · inference
- Mary Kim Mcfarland (Finance Director Of N••••• O•• P••/Executive Committee Member Of Ninety One) no longer on Schedule A of N••••• O•• N•••• A••••••• I••• (listed 2022-06-29, absent 2023-06-27)Jun 27, 2023 · Control person left · inference
- Khadeeja Bassier (Executive Committee Member Of Ninety One) no longer on Schedule A of N••••• O•• N•••• A••••••• I••• (listed 2022-06-29, absent 2023-06-27)Jun 27, 2023 · Control person left · inference
- A•••• R••••• (Secretary) appeared on Schedule A of N••••• O•• N•••• A••••••• I•••Jun 27, 2023 · Control person joined · fact
- N••••• O•• N•••• A••••••• I••• reported RAUM $31.1B, up 52% from $20.4B (2021-04-28 to 2021-06-23)Jun 23, 2021 · RAUM change · derived
- Thabo Khojane (Director Of Iaml/Executive Committee Member Of Iaml) no longer on Schedule A of N••••• O•• N•••• A••••••• I••• (listed 2019-06-27, absent 2020-04-24)Apr 24, 2020 · Control person left · inference
- David Duncan Coombe (Director Of Iaml/Executive Committee Member Of Iaml) no longer on Schedule A of N••••• O•• N•••• A••••••• I••• (listed 2019-06-27, absent 2020-04-24)Apr 24, 2020 · Control person left · inference
- Jacobus Hendrik Du Toit (Director Of Iaml) appeared on Schedule A of N••••• O•• N•••• A••••••• I•••Jun 27, 2019 · Control person joined · fact
- Mary Kim Mcfarland (Director Of Iaml/Executive Committee Member Of Iaml) appeared on Schedule A of N••••• O•• N•••• A••••••• I•••Jun 27, 2019 · Control person joined · fact
- Khadeeja Bassier (Director Of Iaml/Executive Committee Member Of Iaml) appeared on Schedule A of N••••• O•• N•••• A••••••• I•••Jun 27, 2019 · Control person joined · fact
- Thabo Khojane (Director Of Iaml/Executive Committee Member Of Iaml) appeared on Schedule A of N••••• O•• N•••• A••••••• I•••Jun 27, 2019 · Control person joined · fact
- David Duncan Coombe (Director Of Iaml/Executive Committee Member Of Iaml) appeared on Schedule A of N••••• O•• N•••• A••••••• I•••Jun 27, 2019 · Control person joined · fact
- S••••• C•••• R•••••• (Director Of Iam Na) no longer on Schedule A of N••••• O•• N•••• A••••••• I••• (listed 2019-01-31, absent 2019-06-27)Jun 27, 2019 · Control person left · inference
- N••••• O•• N•••• A••••••• I••• reported RAUM $15.7B, up 66% from $9.4B (2017-06-29 to 2018-06-29)Jun 29, 2018 · RAUM change · derived
- I••••••• M••••••••• N•••• A••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 28, 2014 · Succession (Item 4) · fact
- I••••••• M••••••••• N•••• A••••••• I••• filed its initial SEC registration (Form ADV)Jul 28, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/ninetyonereportedpublic record, Form ADV, Sep 18, 2026
- Website
- N•••••ONE.COM/UNITED-STATESreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 1 917 206 5175reportedpublic record, Form ADV, Jun 26, 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