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••••••• F•••••• L••
Latest filing May 12, 2026
First filing on the tape Sep 18, 2017 · 15 filings
SEC status approved since Nov 24, 2017
RAUM
$1.7B
reported, Item 5.F
Discretionary
62%
of RAUM
Private clients
90%
$1.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
27
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$1.7B as of May 12, 2026
Mar 29, 2018$990M then
HNW client RAUM$1.5B as of May 12, 2026
Mar 29, 2018$863M then
State-registered IARs (5.B.3)0 as of May 12, 2026
Mar 29, 20180 then
Employees (5.A)27 as of May 12, 2026
Mar 29, 201816 then
Private funds2 as of Feb 14, 2020
Mar 29, 20182 then
RAUM +19% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 12, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $15.0MderivedHNW RAUM over HNW clients
- Average account
- $14.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 62%derivedof RAUM
- Institutional
- 10%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
- +19%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 individuals, portfolio management for businesses and institutionsreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.5B90%
- Insurance companies$169M10%
- Individual clients
- n/areported
- HNW clients
- 101reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 120reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false 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
2 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- M•••••• J••••• C•••••• · Directorcontrolsince 02/2026 · owns less than 5%
- R•••••• S••••••••• J••• · Ceo And Founding Partnercontrolsince 09/2003 · owns less than 5%
- R•••••• O•••••• · Founding Partner / Chief Compliance Officercontrolsince 09/2003 · owns less than 5%
- R•••••• I•••••• C•••••• · Shareholdercontrolsince 09/2003 · owns 25% to 50% of R•••••
- R•••••• S••••••••• J••• · Shareholdercontrolsince 09/2003 · owns 25% to 50% of R•••••
- R•••••• O•••••• · Shareholdercontrolsince 09/2003 · owns 25% to 50% of R•••••
Entity owners
- R••••• · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- N••••••• F•••••• S••••••••• S•investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing May 12, 2026R•••••• I•••••• C•••••• (SHAREHOLDER) left Schedule A between the filings of 2018-03-29 and 2026-05-12peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing May 12, 2026M•••••• J••••• C•••••• (DIRECTOR) appeared on Schedule A between the filings of 2018-03-29 and 2026-05-12peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing May 12, 2026R•••••• S••••••••• J••• (CEO AND FOUNDING PARTNER) left Schedule A between the filings of 2018-03-29 and 2026-05-12peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 108 to 120Apr 30, 2025 to Mar 24, 2026
- Advisory employees · 14 to 13Apr 30, 2025 to Mar 24, 2026
- HNW clients · 89 to 101Apr 30, 2025 to Mar 24, 2026
- Discretionary RAUM · $816M to $1.0BApr 30, 2025 to Mar 24, 2026
- HNW RAUM · $1.3B to $1.5BApr 30, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $596M to $645MApr 30, 2025 to Mar 24, 2026
- RAUM · $1.4B to $1.7BApr 30, 2025 to Mar 24, 2026
- Accounts · 144 to 108Oct 21, 2024 to Apr 30, 2025
- HNW clients · 130 to 89Oct 21, 2024 to Apr 30, 2025
- Employees · 26 to 27Oct 21, 2024 to Apr 30, 2025
- Financial planning clients · unset to Oct 21, 2024 to Apr 30, 2025
- HQ state · unset to Oct 21, 2024 to Apr 30, 2025
- Discretionary RAUM · $821M to $816MOct 21, 2024 to Apr 30, 2025
- HNW RAUM · $1.1B to $1.3BOct 21, 2024 to Apr 30, 2025
- Non-discretionary RAUM · $413M to $596MOct 21, 2024 to Apr 30, 2025
- RAUM · $1.2B to $1.4BOct 21, 2024 to Apr 30, 2025
- Accounts · 160 to 144Feb 27, 2023 to Mar 22, 2024
- Corporate clients · 1.0 to unsetFeb 27, 2023 to Mar 22, 2024
- HNW clients · 148 to 130Feb 27, 2023 to Mar 22, 2024
- Other offices · 1 to 0Feb 27, 2023 to Mar 22, 2024
- Discretionary RAUM · $712M to $821MFeb 27, 2023 to Mar 22, 2024
- HNW RAUM · $1.1B to $1.1BFeb 27, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $441M to $413MFeb 27, 2023 to Mar 22, 2024
- RAUM · $1.2B to $1.2BFeb 27, 2023 to Mar 22, 2024
- Related adviser · false to trueFeb 27, 2023 to Mar 22, 2024
- Accounts · 138 to 160Mar 30, 2022 to Feb 27, 2023
- HNW clients · 137 to 148Mar 30, 2022 to Feb 27, 2023
- Employees · 22 to 26Mar 30, 2022 to Feb 27, 2023
- Discretionary RAUM · $1.2B to $712MMar 30, 2022 to Feb 27, 2023
- HNW RAUM · $1.6B to $1.1BMar 30, 2022 to Feb 27, 2023
- Non-discretionary RAUM · $489M to $441MMar 30, 2022 to Feb 27, 2023
- RAUM · $1.6B to $1.2BMar 30, 2022 to Feb 27, 2023
- Accounts · 109 to 138Aug 18, 2021 to Mar 30, 2022
- Advisory employees · 11 to 14Aug 18, 2021 to Mar 30, 2022
- Advisory activities · 3 to 2Aug 18, 2021 to Mar 30, 2022
- HNW clients · 108 to 137Aug 18, 2021 to Mar 30, 2022
- Employees · 17 to 22Aug 18, 2021 to Mar 30, 2022
- Discretionary RAUM · $570M to $1.2BAug 18, 2021 to Mar 30, 2022
- HNW RAUM · $971M to $1.6BAug 18, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $423M to $489MAug 18, 2021 to Mar 30, 2022
Signals
3 dated events
- N••••••• F•••••• L•• reported RAUM $1.2B, down 30% from $1.6B (2022-03-30 to 2023-02-27)Feb 27, 2023 · RAUM change · derived
- N••••••• F•••••• L•• reported RAUM $1.6B, up 65% from $993.3M (2021-08-18 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- N••••••• F•••••• L•• filed its initial SEC registration (Form ADV)Sep 18, 2017 · 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
- Business phone
- 207-290-3210reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- N•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 0207-290-3210reportedpublic record, Form ADV, May 12, 2026
- Contact form
- nevastar.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- Independent wealth managerderiveda 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