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Former SEC-registered adviser

N•• C••• I••••••••• L••

Former SEC-registered adviserCampbell, CaliforniaCRD 171887SEC 801-80016IAPD
Latest filing Mar 1, 2016
First filing on the tape Jun 25, 2014 · 5 filings
RAUM
$119M
reported, Item 5.F
Discretionary
0.0%
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
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$119M as of Mar 1, 2016
Mar 16, 2015$113M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 1, 2016
Mar 16, 20152 then
Employees (5.A)2 as of Mar 1, 2016
Mar 16, 20152 then
Private funds: no history
RAUM +5.5% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 1, 2016; every figure names its basis
RAUM per advisor
$59.5MderivedRAUM 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
$17.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.5%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      • W•••• Y••••• · Managing Member, Chief Compliance Officercontrol
        since 08/2014 · owns 75% or more
      • W•••• M•• · Managing Director
        since 08/2014 · owns less than 5%
      Related persons
      Schedule D 7.A
      • N•• C••• C•••••• L••
        broker-dealern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 7
        Mar 16, 2015 to Mar 1, 2016
      • HQ city · LOS ANGELES to CAMPBELL
        Mar 16, 2015 to Mar 1, 2016
      • Non-discretionary RAUM · $113M to $119M
        Mar 16, 2015 to Mar 1, 2016
      • RAUM · $113M to $119M
        Mar 16, 2015 to Mar 1, 2016
      • Accounts · 4 to 5
        Nov 19, 2014 to Mar 16, 2015
      • Non-discretionary RAUM · $113M to $113M
        Nov 19, 2014 to Mar 16, 2015
      • RAUM · $113M to $113M
        Nov 19, 2014 to Mar 16, 2015
      • Accounts · unset to 4.0
        Aug 18, 2014 to Nov 19, 2014
      • Business name · N•• C••• A••••••• L•• to N•• C••• I••••••••• L••
        Aug 18, 2014 to Nov 19, 2014
      • Legal name · W•••• Y••••• to N•• C••• I••••••••• L••
        Aug 18, 2014 to Nov 19, 2014
      • Discretionary RAUM · unset to 0.0
        Aug 18, 2014 to Nov 19, 2014
      • Non-discretionary RAUM · unset to 113000000.0
        Aug 18, 2014 to Nov 19, 2014
      • RAUM · unset to 113000000.0
        Aug 18, 2014 to Nov 19, 2014
      • Advisory employees · 1 to 2
        Jun 25, 2014 to Aug 18, 2014
      • State-registered IARs · 0 to 2
        Jun 25, 2014 to Aug 18, 2014
      • Related broker-dealer · false to true
        Jun 25, 2014 to Aug 18, 2014
      Signals
      1 dated events
      • N•• C••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 25, 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