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•• F••• G••••• L••

Former SEC-registered adviserNapa, CaliforniaCRD 169928SEC 801-79128IAPD
Latest filing Mar 18, 2019
First filing on the tape Jan 20, 2014 · 7 filings
RAUM
$58.8M
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
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$58.8M as of Mar 18, 2019
Mar 27, 2015$36.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2019
Mar 27, 20152 then
Employees (5.A)2 as of Mar 18, 2019
Mar 27, 20154 then
Private funds: no history
RAUM -33% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2019; 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
$58.8MderivedRAUM 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
-33%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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)
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$58.8M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • A••••• T••••••• L•• · Ownercontrol
        since 01/2014 · owns 50% to 75%
      • M•••••• G•••••• P••• · President & Chief Compliance Officercontrol
        since 12/2013 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Mar 3, 2018 to Mar 18, 2019
      • Discretionary RAUM · $87.4M to $58.8M
        Mar 3, 2018 to Mar 18, 2019
      • RAUM · $87.4M to $58.8M
        Mar 3, 2018 to Mar 18, 2019
      • Accounts · 1 to 2
        Mar 23, 2017 to Mar 3, 2018
      • Other offices · unset to 1.0
        Mar 23, 2017 to Mar 3, 2018
      • Discretionary RAUM · $50.1M to $87.4M
        Mar 23, 2017 to Mar 3, 2018
      • RAUM · $50.1M to $87.4M
        Mar 23, 2017 to Mar 3, 2018
      • Financial planning clients · 0 to unset
        Feb 12, 2016 to Mar 23, 2017
      • Discretionary RAUM · $37.4M to $50.1M
        Feb 12, 2016 to Mar 23, 2017
      • RAUM · $37.4M to $50.1M
        Feb 12, 2016 to Mar 23, 2017
      • Accounts · 93 to 1
        Mar 27, 2015 to Feb 12, 2016
      • Employees · 4 to 2
        Mar 27, 2015 to Feb 12, 2016
      • Insurance-licensed employees · 0 to 2
        Mar 27, 2015 to Feb 12, 2016
      • State-registered IARs · 2 to 0
        Mar 27, 2015 to Feb 12, 2016
      • Discretionary RAUM · $36.7M to $37.4M
        Mar 27, 2015 to Feb 12, 2016
      • RAUM · $36.7M to $37.4M
        Mar 27, 2015 to Feb 12, 2016
      • Accounts · 0 to 93
        Feb 25, 2014 to Mar 27, 2015
      • Discretionary RAUM · $0 to $36.7M
        Feb 25, 2014 to Mar 27, 2015
      • RAUM · $0 to $36.7M
        Feb 25, 2014 to Mar 27, 2015
      Signals
      1 dated events
      • N•• F••• G••••• L•• filed its initial SEC registration (Form ADV)
        Jan 20, 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