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••• T•• C•••••• M•••••••••
Legal name N••• T•• C•••••• M••••••••• L••
Latest filing Sep 15, 2026
First filing on the tape May 6, 2014 · 20 filings
SEC status approved since May 21, 2014
RAUM
$481M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$240M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$481M as of Mar 27, 2026
Mar 26, 2015$360M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 26, 20151 then
Employees (5.A)4 as of Mar 27, 2026
Mar 26, 20156 then
Private funds1 as of Mar 27, 2026
Mar 26, 20151 then
RAUM +7.9% over the last fiscal year-11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 15, 2026; every figure names its basis
- RAUM per advisor
- $240MderivedRAUM 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
- $481MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$481M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• C••• M•••••Chartered Financial Analyst | Chicago, Il | May 14, 2020 | 16 y | 1 |
| B••••••• A••••• S••••••Chartered Financial Analyst | Chicago, Il | Jul 12, 2021 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R•••••• C••• M••••• from B•••• C•••••• M••••••••• I•••May 14, 2020 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••• T•• P••••••• L• | Hedge Fund | $472M | 38 | Jul 3, 2014 |
Owners and control persons
Schedule A and B, latest filing
- B••••• B••••• T•••••• · Membercontrolsince 03/2014 · owns 25% to 50%
- K••••••••• M•••••••• J•• · Chief Compliance Officer, Chief Operating Officercontrolsince 01/2021 · owns less than 5%
- M•••••• R••••••• C••• · President, Member, And Portfolio Managercontrolsince 01/2021 · owns 25% to 50%
- B•••••••• J••••• S••• · Membersince 03/2014 · owns 10% to 25%
- S••••••• B•••••••• A••••• · Member, Research Analystsince 01/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
- B•••• C•••••• M••••••••• I•••investment adviserpooled vehicle sponsornRAUM $1.3B
- N••• T•• G• L•pooled vehicle sponsorn
Advisers that list N••• T•• C•••••• M••••••••• as a related person
- 114428 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Mar 27, 2026 to Sep 15, 2026
- Employees · 4 to 3Mar 27, 2026 to Sep 15, 2026
- Financial planning clients · to unsetMar 27, 2026 to Sep 15, 2026
- Private funds · 1 to unsetMar 27, 2026 to Sep 15, 2026
- Succession · false to unsetMar 27, 2026 to Sep 15, 2026
- Discretionary RAUM · $445M to $481MMar 20, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $445M to $481MMar 20, 2025 to Mar 27, 2026
- RAUM · $445M to $481MMar 20, 2025 to Mar 27, 2026
- Related adviser · true to falseMar 20, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 4, 2024 to Mar 20, 2025
- Discretionary RAUM · $472M to $445MMar 4, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $472M to $445MMar 4, 2024 to Mar 20, 2025
- RAUM · $472M to $445MMar 4, 2024 to Mar 20, 2025
- Advisory employees · 4 to 3Oct 3, 2023 to Mar 4, 2024
- Employees · 5 to 4Oct 3, 2023 to Mar 4, 2024
- Discretionary RAUM · $687M to $472MOct 3, 2023 to Mar 4, 2024
- Pooled vehicle RAUM · $687M to $472MOct 3, 2023 to Mar 4, 2024
- RAUM · $687M to $472MOct 3, 2023 to Mar 4, 2024
- HQ city · EVANSTON to CHICAGOMar 22, 2023 to Oct 3, 2023
- Advisory employees · 3 to 4Mar 9, 2022 to Mar 22, 2023
- Employees · 4 to 5Mar 9, 2022 to Mar 22, 2023
- Discretionary RAUM · $1.1B to $687MMar 9, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $1.1B to $687MMar 9, 2022 to Mar 22, 2023
- RAUM · $1.1B to $687MMar 9, 2022 to Mar 22, 2023
- State-registered IARs · 1 to 2Apr 12, 2021 to Mar 9, 2022
- Discretionary RAUM · $952M to $1.1BApr 12, 2021 to Mar 9, 2022
- Pooled vehicle RAUM · $952M to $1.1BApr 12, 2021 to Mar 9, 2022
- RAUM · $952M to $1.1BApr 12, 2021 to Mar 9, 2022
- Advisory employees · 5 to 3Jun 26, 2020 to Jan 29, 2021
- Employees · 5 to 4Jun 26, 2020 to Jan 29, 2021
- Insurance-licensed employees · 4 to 0Jun 26, 2020 to Jan 29, 2021
- HQ city · AUSTIN to EVANSTONJun 26, 2020 to Jan 29, 2021
- HQ state · TX to ILJun 26, 2020 to Jan 29, 2021
- Other offices · 1 to 0Jun 26, 2020 to Jan 29, 2021
- Discretionary RAUM · $556M to $952MJun 26, 2020 to Jan 29, 2021
- Pooled vehicle RAUM · $556M to $952MJun 26, 2020 to Jan 29, 2021
- RAUM · $556M to $952MJun 26, 2020 to Jan 29, 2021
- Other offices · 0 to 1May 31, 2019 to Mar 30, 2020
- Discretionary RAUM · $432M to $556MMay 31, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $432M to $556MMay 31, 2019 to Mar 30, 2020
Signals
6 dated events
- N••• T•• C•••••• M••••••••• reported RAUM $471.8M, down 31% from $687.4M (2023-10-03 to 2024-03-04)Mar 4, 2024 · RAUM change · derived
- N••• T•• C•••••• M••••••••• reported RAUM $687.4M, down 36% from $1.1B (2022-03-09 to 2023-03-22)Mar 22, 2023 · RAUM change · derived
- N••• T•• C•••••• M••••••••• reported RAUM $952.3M, up 71% from $556.0M (2020-06-26 to 2021-01-29)Jan 29, 2021 · RAUM change · derived
- Joy Michelle Katauskas (Chief Compliance Officer, Chief Operating Officer) appeared on Schedule A of N••• T•• C•••••• M•••••••••Jan 29, 2021 · Control person joined · fact
- N••• T•• C•••••• M••••••••• reported RAUM $556.0M, up 29% from $432.1M (2019-05-31 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- N••• T•• C•••••• M••••••••• filed its initial SEC registration (Form ADV)May 6, 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
- Website
- N•••TENCAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 847-868-0893reportedpublic record, Form ADV, Sep 15, 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
- $240Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026