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•••• A•••• M•••••••••

Former SEC-registered adviserNew York, New YorkCRD 16944SEC 801-67802IAPD
Legal name N•••••• C•••• S••••••••• I•••
Latest filing Mar 18, 2016
First filing on the tape Mar 30, 2012 · 20 filings
RAUM
$79.0M
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
130
25 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$79.0M as of Mar 18, 2016
Mar 30, 2012$21.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2016
Mar 30, 20120 then
Employees (5.A)130 as of Mar 18, 2016
Apr 12, 2013150 then
Private funds: no history
RAUM +0.0% over the last fiscal year+31% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2016; 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
$141,780derivedRAUM 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
unknownderived17 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%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, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
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
557reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K••••••• K••••••••• C•••••• · Coocontrol
      since 09/2010 · owns less than 5%
    • L••• K•••• C•••• · Chief Compliance Officercontrol
      since 08/2013 · owns less than 5%
    • O•••••• R•••••• E••••• · Finop/Cfocontrol
      since 03/2013 · owns less than 5%
    Entity owners
    • R•••••• F•••••••• I••••••••• · Owner
      direct · owns 75% or more · public reporting company
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list N•••••• C•••• A•••• M••••••••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Boise, ID
    • Denver, CO
    • Easton, MD
    • Gainesville, GA
    • Honolulu, HI
    • Huntington Beach, CA
    • Irvine, CA
    • Leeburg, VA
    • N•••••• Beach, CA
    • San Diego, CA
    • Torrance, CA
    • Tustin, CA
    • W•••Lake Village, CA
    • ,
    What changed
    consecutive filings, newest first
    • Accounts · 490 to 557
      Mar 2, 2015 to Mar 31, 2015
    • Advisory employees · 35 to 25
      Mar 2, 2015 to Mar 31, 2015
    • Insurance-licensed employees · 35 to 25
      Mar 2, 2015 to Mar 31, 2015
    • State-registered IARs · 2 to 0
      Mar 2, 2015 to Mar 31, 2015
    • Discretionary RAUM · $81.4M to $79.0M
      Mar 2, 2015 to Mar 31, 2015
    • RAUM · $81.4M to $79.0M
      Mar 2, 2015 to Mar 31, 2015
    • Accounts · 500 to 490
      Dec 5, 2013 to Mar 26, 2014
    • Advisory employees · 30 to 35
      Dec 5, 2013 to Mar 26, 2014
    • BD registered reps · 148 to 128
      Dec 5, 2013 to Mar 26, 2014
    • Employees · 150 to 130
      Dec 5, 2013 to Mar 26, 2014
    • Insurance-licensed employees · 30 to 35
      Dec 5, 2013 to Mar 26, 2014
    • Discretionary RAUM · $35.0M to $81.4M
      Dec 5, 2013 to Mar 26, 2014
    • RAUM · $35.0M to $81.4M
      Dec 5, 2013 to Mar 26, 2014
    • Accounts · 403 to 500
      Mar 8, 2013 to Apr 12, 2013
    • Advisory employees · 25 to 30
      Mar 8, 2013 to Apr 12, 2013
    • BD registered reps · 149 to 148
      Mar 8, 2013 to Apr 12, 2013
    • Insurance-licensed employees · 25 to 30
      Mar 8, 2013 to Apr 12, 2013
    • State-registered IARs · 1 to 2
      Mar 8, 2013 to Apr 12, 2013
    • Discretionary RAUM · $0 to $35.0M
      Mar 8, 2013 to Apr 12, 2013
    • Non-discretionary RAUM · $21.0M to $0
      Mar 8, 2013 to Apr 12, 2013
    • RAUM · $21.0M to $35.0M
      Mar 8, 2013 to Apr 12, 2013
    • HQ city · IRVINE to NEW YORK
      Feb 15, 2013 to Mar 8, 2013
    • HQ state · CA to NY
      Feb 15, 2013 to Mar 8, 2013
    • Advisory employees · unset to 25.0
      Aug 17, 2012 to Jan 25, 2013
    • BD registered reps · unset to 149.0
      Aug 17, 2012 to Jan 25, 2013
    • Employees · unset to 150.0
      Aug 17, 2012 to Jan 25, 2013
    • State-registered IARs · 0 to 1
      Aug 17, 2012 to Jan 25, 2013
    Signals
    No event on the tape.
    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