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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Former SEC-registered adviser
N••••••• R••• E••••• A•••••••• L•••
Latest filing Mar 29, 2016
First filing on the tape Nov 6, 2014 · 7 filings
RAUM
$976M
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
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM: $976M
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Mar 30, 20150 then
Employees (5.A)0 as of Mar 29, 2016
Mar 30, 20150 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2016; 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
- $976MderivedRAUM 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
- 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $976M, 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)
- 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)
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
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $976M for 1 clientsreported
- Compensation
- % of AUMreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• J••••• D•••• · Presidentcontrolsince 09/2014 · owns less than 5%
- E••••••••• S••••• B•••• · G•••••• Counsel And Secretarycontrolsince 09/2014 · owns less than 5%
- M•••••••• M••••••• R••• · Chief Operating Officer And Executive Vp Investmentscontrolsince 09/2014 · owns less than 5%
- M••••• B••••• D••• · Chief Financial Officer And Executive Vp Financecontrolsince 09/2014 · owns less than 5%
- D••••••• J••••• D•••• · Membercontrolsince 03/2012 · owns 75% or more of N••••••• A••••••• G•• L••
- D••••••• N••••• M•••• · Trustee For T•• D•••••• I••••••••• T••••controlsince 10/2015 · owns F of T•• D•••••• I••••••••• T••••
- S••••••• T•••••• J••••• · Chief Compliance Officersince 09/2014 · owns less than 5%
Entity owners
- N••••••• A•••••••• L••• · Limited Partnerdirect · owns 75% or more
- N••••••• R••• E••••• A••••••• G•• L•• · G•••••• Partnerdirect · owns less than 5%
- N••••••• A••••••• G•• L•• · G•••••• Partnerindirect · owns F of N••••••• A•••••••• L•••
- N••••••• A•••••••• L••• · Memberindirect · owns 75% or more of N••••••• R••• E••••• A••••••• G•• L••
- T•• D•••••• I••••••••• T•••• · Limited Partnerindirect · owns 75% or more of N••••••• A•••••••• L•••
Related persons
Schedule D 7.A
- A••• C•••••• M••••••••• L•••investment adviserbankpooled vehicle sponsornRAUM $2.8M
- A••• C•• O••••••••• F•••• G•• L••pooled vehicle sponsorn
- A••• C•• V•••• F••• I• G•• L••pooled vehicle sponsorn
- A••• F•••••• G•• L•••pooled vehicle sponsorn
- B•••••• S•••••••• C••••• P••••••• I• G•• L••pooled vehicle sponsorn
- B•••••• S•••••••• C••••• P••••••• I• S•• G•• L••pooled vehicle sponsorn
- F••••• E• • P• O••••••••• G•• L••investment adviserbankpooled vehicle sponsornRAUM $74.1M
- G••••••••• R•• L••real estaten
- G•••••• B•• A•••••••• L•••investment adviserbankpooled vehicle sponsornRAUM $12.1M
- G•••••• B•• L••••••••• C••••• G•• L••pooled vehicle sponsorn
- H••••••• C•••••• F•••• D••••••••• I•••broker-dealern
- H••••••• C•••••• H••••••••• A•••••••• L•••investment adviserbankpooled vehicle sponsornRAUM $26.0M
- H••••••• C•••••• H••••••••• P••••••• G•• L••pooled vehicle sponsorn
- H••••••• C•••••• L••• G•• L••pooled vehicle sponsorn
- N••••••• Asset Management, L.P.investment adviserbanknRAUM $2.8B
- H••••••• C•••••• M••••••••• L•••investment adviserbankpooled vehicle sponsornRAUM $127M
- H••••••• C••••••• F••• G•• L•••pooled vehicle sponsorn
- H••••••• G•••••• P••••••• L•••pooled vehicle sponsorn
- H••••••• M••••• A•••••••• F••• G•• L••pooled vehicle sponsorn
- H••••••• M•••• S••••••• C••••• F••• G•• L•••pooled vehicle sponsorn
- H••••••• R••••••••• C•••••• P••••••• G•• L••pooled vehicle sponsorn
- N•••••• Wealth A••••••Sbroker-dealerinvestment companynRAUM $882,487
- N•••••• S••n
- N•••••• T••••• I•••real estaten
- N••••••• A•••••••• L•••investment adviserbankyRAUM $131M
- N••••••• H••••••••• T••••• I•••n
- N••••••• M•••• F••••• R••••• T••••• I•••n
- N••••••• R• F•••••• A•••••• G•• L••pooled vehicle sponsorn
- N••••••• R••• E••••• A••••••• G•• L••pooled vehicle sponsorn
Advisers that list N••••••• R••• E••••• A•••••••• L••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $892M to $976MOct 19, 2015 to Mar 29, 2016
- Discretionary RAUM · $892M to $976MOct 19, 2015 to Mar 29, 2016
- RAUM · $892M to $976MOct 19, 2015 to Mar 29, 2016
- Accounts · unset to 1.0Mar 30, 2015 to Apr 21, 2015
- Assets in custody · $0 to $892MMar 30, 2015 to Apr 21, 2015
- Custody of client assets · false to trueMar 30, 2015 to Apr 21, 2015
- Discretionary RAUM · unset to 892031235.0Mar 30, 2015 to Apr 21, 2015
- Non-discretionary RAUM · unset to 0.0Mar 30, 2015 to Apr 21, 2015
- RAUM · unset to 892031235.0Mar 30, 2015 to Apr 21, 2015
Signals
1 dated events
- N••••••• R••• E••••• A•••••••• L••• filed its initial SEC registration (Form ADV)Nov 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.
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