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.
Former SEC-registered adviser
New Mountain Finance Corporation
Latest filing Jul 1, 2021
First filing on the tape May 8, 2014 · 15 filings
RAUM
n/a
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
129
20 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$322M as of Mar 30, 2020
Mar 31, 2015$1.9B then
HNW client RAUM$0 as of Mar 30, 2021
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Mar 31, 20150 then
Employees (5.A)129 as of Mar 30, 2021
Mar 31, 201578 then
Private funds1 as of Mar 30, 2020
Mar 31, 20151 then
RAUM n/a over the last fiscal yearIARs 0 to 0offices 2 to 3
Practice profile
derived from the filing of Jul 1, 2021; 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
- unknownderived4 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Nmfc Senior Loan Program I LLC | Private Equity Fund | $322M | 4 | Sep 30, 2014 |
Owners and control persons
Schedule A and B, latest filing
- Alan Robert Hamwee · Chief Executive Officercontrolsince 10/2010 · owns less than 5%
- Younus Shiraz Kajee · Chief Financial Officercontrolsince 12/2015 · owns less than 5%
- Randolph John Kline · President And Chief Operating Officercontrolsince 01/2013 · owns less than 5%
- Bruce Steven Klinsky · Chairman Of The Boardcontrolsince 10/2010 · owns 5% to 10%
- Adam Weinstein · Executive Vice President And Chief Administrative Officercontrolsince 01/2013 · owns less than 5%
- Jean Karrie Jerry · Chief Compliance Officer And Corporate Secretarysince 06/2015 · owns less than 5%
Related persons
Schedule D 7.A
- New Mountain Capital (U.K.) Ltd.investment advisern
- New Mountain Capital Group, L.P.pooled vehicle sponsorn
- New Mountain Capital, LLCinvestment advisernRAUM $46B
- New Mountain Credit Clo Advisers, L.L.C.pooled vehicle sponsorn
- New Mountain Finance Advisers, L.L.C.investment adviserbanknRAUM $11B
- New Mountain Finance Sbic Gp, L.L.C.investment adviserpooled vehicle sponsorn
- New Mountain Finance Sbic II G.P., L.L.C.investment adviserpooled vehicle sponsorn
- New Mountain Guardian II Gp, L.L.C.investment adviserbankpooled vehicle sponsorn
- New Mountain Guardian Master Fund-A Gp, L.L.C.investment adviserbankpooled vehicle sponsorn
- New Mountain Investments II, L.L.C.investment adviserpooled vehicle sponsorn
- New Mountain Investments III, L.L.C.investment adviserpooled vehicle sponsorn
- New Mountain Investments IV, L.L.C.investment adviserpooled vehicle sponsorn
- New Mountain Investments V, L.L.C.investment adviserpooled vehicle sponsorn
- New Mountain Investments Vi Luxembourg, S.A.R.L.investment adviserpooled vehicle sponsory
- New Mountain Investments Vi, L.L.C.investment adviserpooled vehicle sponsorn
- New Mountain Net Lease Gp, L.L.C.investment adviserpooled vehicle sponsorn
- New Mountain Strategic Investments Gp I, LLCinvestment adviserpooled vehicle sponsorn
- New Mountain Vantage Advisers, L.L.C.investment adviserbanknRAUM $170M
- New Mountain Vantage Gp, L.L.C.investment adviserbankpooled vehicle sponsorn
Advisers that list New Mountain Finance Corporation as a related person
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom2 employees
- New York, NY1 employees
- San Francisco, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 1.0 to unsetJan 22, 2021 to Mar 30, 2021
- Advisory employees · 17 to 20Jan 22, 2021 to Mar 30, 2021
- Pooled vehicle clients · 1 to 0Jan 22, 2021 to Mar 30, 2021
- Employees · 121 to 129Jan 22, 2021 to Mar 30, 2021
- Private funds · 1 to unsetJan 22, 2021 to Mar 30, 2021
- Discretionary RAUM · 321798566.0 to unsetJan 22, 2021 to Mar 30, 2021
- Non-discretionary RAUM · 0.0 to unsetJan 22, 2021 to Mar 30, 2021
- Pooled vehicle RAUM · $322M to $0Jan 22, 2021 to Mar 30, 2021
- RAUM · 321798566.0 to unsetJan 22, 2021 to Mar 30, 2021
- Other offices · 2 to 3Mar 30, 2020 to Jan 22, 2021
- Advisory employees · 15 to 17Mar 28, 2019 to Mar 30, 2020
- Assets in custody · $334M to $0Mar 28, 2019 to Mar 30, 2020
- Employees · 108 to 121Mar 28, 2019 to Mar 30, 2020
- Discretionary RAUM · $334M to $322MMar 28, 2019 to Mar 30, 2020
- Pension RAUM · unset to 0.0Mar 28, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $334M to $322MMar 28, 2019 to Mar 30, 2020
- RAUM · $334M to $322MMar 28, 2019 to Mar 30, 2020
- Advisory employees · 14 to 15Mar 29, 2018 to Mar 28, 2019
- Assets in custody · $356M to $334MMar 29, 2018 to Mar 28, 2019
- Employees · 96 to 108Mar 29, 2018 to Mar 28, 2019
- Discretionary RAUM · $356M to $334MMar 29, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $356M to $334MMar 29, 2018 to Mar 28, 2019
- RAUM · $356M to $334MMar 29, 2018 to Mar 28, 2019
- Accounts · 2 to 1Mar 31, 2017 to Mar 29, 2018
- Advisory employees · 10 to 14Mar 31, 2017 to Mar 29, 2018
- Charity clients · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- Corporate clients · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- HNW clients · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- Individual clients · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- Pension plan clients · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 1.0Mar 31, 2017 to Mar 29, 2018
- Assets in custody · $359M to $356MMar 31, 2017 to Mar 29, 2018
- Employees · 91 to 96Mar 31, 2017 to Mar 29, 2018
- Other offices · unset to 2.0Mar 31, 2017 to Mar 29, 2018
- Discretionary RAUM · $2.0B to $356MMar 31, 2017 to Mar 29, 2018
- HNW RAUM · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- Individual RAUM · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 355940792.0Mar 31, 2017 to Mar 29, 2018
- RAUM · $2.0B to $356MMar 31, 2017 to Mar 29, 2018
- Advisory employees · 8 to 10Mar 30, 2016 to Mar 31, 2017
Signals
2 dated events
- New Mountain Finance Corporation reported RAUM $355.9M, down 82% from $2.0B (2017-03-31 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- New Mountain Finance Corporation filed its initial SEC registration (Form ADV)May 8, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- NEW Mountain Finance Corporation · Private Equityshared crd · organization
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