DFX Intelligence
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SEC-registered adviser
N••••••• C•••••• L••
Latest filing Mar 25, 2026
First filing on the tape May 1, 2018 · 17 filings
SEC status approved since May 31, 2018
RAUM
$1.3B
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
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.3B as of Mar 25, 2026
Mar 20, 2019$353M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 20, 20190 then
Employees (5.A)8 as of Mar 25, 2026
Mar 20, 20197 then
Private funds2 as of Mar 25, 2026
Mar 20, 20192 then
RAUM +24% over the last fiscal year+21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $91.8MderivedRAUM 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
- unknownderived1 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $79.1M, 1 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Pooled investment vehicles$1.1B89%
- Corporations and businesses$141M11%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $79.1M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.89 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••••••• C•••••• F••• L• | Hedge Fund | $209M | 53 | Feb 4, 2014 |
| P•• M•••••• F•••• S••• • S••••••••• P•••••••• 2•• | Hedge Fund | $59.9M | 4 | Mar 24, 2022 |
| T•••• N•••••••• L•••no longer reported | Hedge Fund | $17.5M | 5 | Mar 20, 2019 |
Owners and control persons
Schedule A and B, latest filing
- M••••• R•••• · Chief Investment Officercontrolsince 02/2013 · owns less than 5%
- S••••••• E•••• P• · Chief Compliance Officer, Chief Operating Officer, & Chief Financial Officercontrolsince 03/2017 · owns less than 5%
- M••••• R•••• · Presidentcontrolsince 02/2023 · owns 75% or more of N••••••• I•••
Entity owners
- N••••••• I••• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- N••••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 11 to 14May 7, 2025 to Mar 25, 2026
- Advisory employees · 6 to 7May 7, 2025 to Mar 25, 2026
- Pooled vehicle clients · 10 to 11May 7, 2025 to Mar 25, 2026
- Assets in custody · $53.8M to $79.1MMay 7, 2025 to Mar 25, 2026
- Employees · 7 to 8May 7, 2025 to Mar 25, 2026
- Discretionary RAUM · $1.0B to $1.3BMay 7, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $1.0B to $1.1BMay 7, 2025 to Mar 25, 2026
- RAUM · $1.0B to $1.3BMay 7, 2025 to Mar 25, 2026
- Financial planning clients · unset to Mar 20, 2025 to May 7, 2025
- Advisory employees · 7 to 6Mar 27, 2024 to Mar 20, 2025
- Assets in custody · $40.4M to $53.8MMar 27, 2024 to Mar 20, 2025
- Employees · 8 to 7Mar 27, 2024 to Mar 20, 2025
- HQ city · unset to Mar 27, 2024 to Mar 20, 2025
- HQ state · unset to Mar 27, 2024 to Mar 20, 2025
- Other offices · 1 to 0Mar 27, 2024 to Mar 20, 2025
- Discretionary RAUM · $846M to $1.0BMar 27, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $825M to $1.0BMar 27, 2024 to Mar 20, 2025
- RAUM · $846M to $1.0BMar 27, 2024 to Mar 20, 2025
- Related adviser · false to trueMar 27, 2024 to Mar 20, 2025
- Accounts · 9 to 11May 12, 2023 to Mar 27, 2024
- Pooled vehicle clients · 8 to 10May 12, 2023 to Mar 27, 2024
- Assets in custody · $28.8M to $40.4MMay 12, 2023 to Mar 27, 2024
- Other offices · 0 to 1May 12, 2023 to Mar 27, 2024
- Discretionary RAUM · $730M to $846MMay 12, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $702M to $825MMay 12, 2023 to Mar 27, 2024
- RAUM · $730M to $846MMay 12, 2023 to Mar 27, 2024
- Advisory employees · 6 to 7Apr 28, 2022 to Mar 23, 2023
- Pooled vehicle clients · 9 to 8Apr 28, 2022 to Mar 23, 2023
- Assets in custody · unset to 28838796.0Apr 28, 2022 to Mar 23, 2023
- Custody of client assets · false to trueApr 28, 2022 to Mar 23, 2023
- Employees · 7 to 8Apr 28, 2022 to Mar 23, 2023
- Discretionary RAUM · $792M to $730MApr 28, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $764M to $702MApr 28, 2022 to Mar 23, 2023
- RAUM · $792M to $730MApr 28, 2022 to Mar 23, 2023
- Accounts · 8 to 9Jun 7, 2021 to Mar 24, 2022
- Corporate clients · 1.0 to unsetJun 7, 2021 to Mar 24, 2022
- Pooled vehicle clients · 7 to 9Jun 7, 2021 to Mar 24, 2022
- Assets in custody · 0.0 to unsetJun 7, 2021 to Mar 24, 2022
- Custody of client assets · true to falseJun 7, 2021 to Mar 24, 2022
- Private funds · 1 to 2Jun 7, 2021 to Mar 24, 2022
Signals
3 dated events
- N••••••• C•••••• L•• reported RAUM $792.1M, up 82% from $435.3M (2021-06-07 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- N••••••• C•••••• L•• reported RAUM $352.8M, up 134% from $150.6M (2018-07-31 to 2019-03-20)Mar 20, 2019 · RAUM change · derived
- N••••••• C•••••• L•• filed its initial SEC registration (Form ADV)May 1, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- N••••••• C•••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- N•••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 6466193629reportedpublic record, Form ADV, Mar 25, 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