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•••••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 167930SEC 801-78314IAPD
Latest filing Nov 7, 2013
First filing on the tape Jul 1, 2013 · 2 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$0 as of Nov 7, 2013
Jul 1, 2013$100M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Nov 7, 2013
Jul 1, 20130 then
Employees (5.A)7 as of Nov 7, 2013
Jul 1, 20137 then
Private funds: no history
Practice profile
derived from the filing of Nov 7, 2013; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
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
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      • B••••• P•••• G•••••• · Presidentcontrol
        since 07/2013 · owns less than 5%
      • J••••••••• T•••••• M•••••• · Managing Director & Ccocontrol
        since 07/2013 · owns 10% to 25%
      • W•••• B••••••• J• · Ceocontrol
        since 07/2013 · owns less than 5%
      • W•••• E••••• S••••••• · Membercontrol
        since 07/2013 · owns less than 5%
      • B••••• P•••• G•••••• · Membercontrol
        since 07/2013 · owns 25% to 50% of S••••••••• L••
      • H••••••••• B••••• D•••• · Membercontrol
        since 07/2013 · owns 25% to 50% of N•••••• Management Group, LLC
      • W•••• B••••••• J• · Membercontrol
        since 07/2013 · owns 25% to 50% of D••••, LLC
      Entity owners
      • D•••••••• · Member
        direct · owns 25% to 50%
      • N•••••• M••••••••• G•••••••• · Member
        direct · owns 25% to 50%
      • S••••••••• L•• · Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 0
        Jul 1, 2013 to Nov 7, 2013
      • Business name · N•••••• M•••••• A•••••••• L•• to N•••••• A•••••••• L••
        Jul 1, 2013 to Nov 7, 2013
      • Legal name · N•••••• M•••••• A•••••••• L•• to N•••••• A•••••••• L••
        Jul 1, 2013 to Nov 7, 2013
      • Non-discretionary RAUM · $100M to $0
        Jul 1, 2013 to Nov 7, 2013
      • RAUM · $100M to $0
        Jul 1, 2013 to Nov 7, 2013
      Signals
      1 dated events
      • N•••••• M•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 1, 2013 · 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