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••••••• P•••••• G••••• I••••••••• A•••••••• L••
Latest filing May 27, 2026
First filing on the tape Jun 26, 2019 · 9 filings
SEC status approved since Jul 26, 2019
RAUM
$58.6M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$58.6M as of May 27, 2026
Mar 29, 2020$148M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 27, 2026
Mar 29, 20200 then
Employees (5.A)4 as of May 27, 2026
Mar 29, 20208 then
Private funds3 as of May 27, 2026
Mar 29, 20203 then
RAUM -61% over the last fiscal year-25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 27, 2026; 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
- $19.5MderivedRAUM 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
- -61%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 pooled vehiclesreportedItem 5.G
- Custody
- $151M, 3 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$58.6M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $151M for 3 clientsreported
- 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
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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••••••• P•••••• G••••• I••••••••• P•••••••• L••• | Private Equity Fund | $51.5M | 99 | Oct 29, 2014 |
| N••••••• P•••••• G••••• F••••••••• P•••••••• L••• | Private Equity Fund | $44.4M | 3 | Mar 29, 2016 |
| N••••••• P•••••• I••••••••• P•••••••• L••• | Private Equity Fund | $15.2M | 10 | Mar 29, 2016 |
Owners and control persons
Schedule A and B, latest filing
- G••••••• J••••••• P•••• · Managing Member, President, Secretary And Treasurercontrolsince 06/2014 · owns 25% to 50%
- O••••••••• P••••• R•••••• · Membercontrolsince 06/2014 · owns 10% to 25%
- H•••••• S••••• M•••••• · Membercontrolsince 03/2012 · owns 75% or more of F••••• C••••••• L••
- H•••••••• M••••• A••• · Chief Compliance Officersince 10/2023 · owns less than 5%
Entity owners
- F••••• C••••••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- N••••••• P•••••• G•••• G• I• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 4Mar 31, 2025 to Mar 31, 2026
- Employees · 5 to 4Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $151M to $58.6MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $151M to $58.6MMar 31, 2025 to Mar 31, 2026
- RAUM · $151M to $58.6MMar 31, 2025 to Mar 31, 2026
- Assets in custody · $161M to $151MMar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $163M to $151MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $163M to $151MMar 29, 2024 to Mar 31, 2025
- RAUM · $163M to $151MMar 29, 2024 to Mar 31, 2025
- Advisory employees · 6 to 5Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $141M to $161MMar 31, 2023 to Mar 29, 2024
- Employees · 6 to 5Mar 31, 2023 to Mar 29, 2024
- HQ city · WAYZATA to MINNEAPOLISMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $141M to $163MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $141M to $163MMar 31, 2023 to Mar 29, 2024
- RAUM · $141M to $163MMar 31, 2023 to Mar 29, 2024
- Assets in custody · $203M to $141MMar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $203M to $141MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $203M to $141MMar 30, 2022 to Mar 31, 2023
- RAUM · $203M to $141MMar 30, 2022 to Mar 31, 2023
- Advisory employees · 5 to 6Mar 31, 2021 to Mar 30, 2022
- Assets in custody · $163M to $203MMar 31, 2021 to Mar 30, 2022
- Employees · 7 to 6Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $163M to $203MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $163M to $203MMar 31, 2021 to Mar 30, 2022
- RAUM · $163M to $203MMar 31, 2021 to Mar 30, 2022
- Advisory employees · 7 to 5Mar 29, 2020 to Mar 31, 2021
- Assets in custody · $148M to $163MMar 29, 2020 to Mar 31, 2021
- Employees · 8 to 7Mar 29, 2020 to Mar 31, 2021
- Discretionary RAUM · $148M to $163MMar 29, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $148M to $163MMar 29, 2020 to Mar 31, 2021
- RAUM · $148M to $163MMar 29, 2020 to Mar 31, 2021
- Assets in custody · $159M to $148MJun 26, 2019 to Mar 29, 2020
- Private funds · 6 to 3Jun 26, 2019 to Mar 29, 2020
- Discretionary RAUM · $159M to $148MJun 26, 2019 to Mar 29, 2020
- Pooled vehicle RAUM · $159M to $148MJun 26, 2019 to Mar 29, 2020
- RAUM · $159M to $148MJun 26, 2019 to Mar 29, 2020
Signals
2 dated events
- Michael Corey Campbell (Chief Financial Officer / Chief Compliance Officer) no longer on Schedule A of N••••••• P•••••• G••••• I••••••••• A•••••••• L•• (listed 2023-03-31, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- N••••••• P•••••• G••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 26, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- N••••••• P•••••• G••••• I••••••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- N••••••• P•••••• G••••• I••••••••• A•••••••• L•• · Private Equityshared crd · organization
- N••••••• P•••••• G••••• I••••••••• A•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 952-456-5300reportedpublic record, Form ADV, May 27, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026