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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

N••••••••• A•••••••

Former SEC-registered adviserChicago, IllinoisCRD 173996SEC 801-80705IAPD
Legal name N••••••••• A•••••••• I•••
Latest filing Nov 17, 2022
First filing on the tape Dec 2, 2014 · 21 filings
RAUM
$5.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$5.8B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
20 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$6.0B as of Mar 30, 2022
Mar 30, 2016$0 then
HNW client RAUM$762,425 as of Mar 30, 2022
Mar 29, 2018$3.9M then
State-registered IARs (5.B.3)5 as of Mar 30, 2022
Mar 30, 20161 then
Employees (5.A)22 as of Mar 30, 2022
Mar 30, 20168 then
Private funds: no history
RAUM +46% over the last fiscal year+104% a year over threeIARs 1 to 5
Practice profile
derived from the filing of Nov 17, 2022; every figure names its basis
RAUM per advisor
$1.2BderivedRAUM 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
$108,757derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.4derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+50%derivedbetween the last two annual amendments
Advisor growth, one year
+400%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Financial planning clients
48,500reportedItem 5.H
Wrap fee program
$669,860reportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$5.8B100%
  • High-net-worth individuals$669,8600.0%
Individual clients
48,559reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
53,375reported
Financial planning clients
48,500reported
Wrap fee programs
$0 sponsored, $5.7B managedreported
Custody of client assets
noreported
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C•••••• G•••••• · President/Directorcontrol
      since 08/2022 · owns less than 5%
    • K••••• C•••••••• L• · General Counselcontrol
      since 08/2022 · owns less than 5%
    • M•••••••• B•••••••• M•••••• · Chief Compliance Officercontrol
      since 06/2021 · owns less than 5%
    • Q•••••• D•••• A•••• · Director/Treasurercontrol
      since 11/2014 · owns less than 5%
    • T•••••••• P••••••• N••• · Directorcontrol
      since 08/2022 · owns less than 5%
    Entity owners
    • N••••••• M••••• S•• L•• · Member
      direct · owns 75% or more
    • G•••••• S•••• G•••• I••• · Member
      indirect · owns 75% or more of G••• H••••••• L•• · public reporting company
    • G••• H••••••• L•• · Member
      indirect · owns 75% or more of N••••••• M••••• S•• L••
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Organization form · Corporation to Limited Liability Company
      Sep 26, 2022 to Nov 17, 2022
    • Succession · false to true
      Sep 26, 2022 to Nov 17, 2022
    • Accounts · 48,261 to 53,375
      Mar 30, 2022 to Sep 26, 2022
    • Advisory employees · 18 to 20
      Mar 30, 2022 to Sep 26, 2022
    • Individual clients · 41,549 to 48,559
      Mar 30, 2022 to Sep 26, 2022
    • Discretionary RAUM · $6.0B to $5.8B
      Mar 30, 2022 to Sep 26, 2022
    • HNW RAUM · $762,425 to $669,860
      Mar 30, 2022 to Sep 26, 2022
    • Individual RAUM · $6.0B to $5.8B
      Mar 30, 2022 to Sep 26, 2022
    • RAUM · $6.0B to $5.8B
      Mar 30, 2022 to Sep 26, 2022
    • Wrap assets (manager) · $5.8B to $5.7B
      Mar 30, 2022 to Sep 26, 2022
    • Accounts · 34,355 to 48,261
      Jun 17, 2021 to Mar 30, 2022
    • Advisory employees · 14 to 18
      Jun 17, 2021 to Mar 30, 2022
    • Individual clients · 31,636 to 41,549
      Jun 17, 2021 to Mar 30, 2022
    • Employees · 24 to 22
      Jun 17, 2021 to Mar 30, 2022
    • State-registered IARs · 1 to 5
      Jun 17, 2021 to Mar 30, 2022
    • Discretionary RAUM · $4.0B to $6.0B
      Jun 17, 2021 to Mar 30, 2022
    • HNW RAUM · $654,148 to $762,425
      Jun 17, 2021 to Mar 30, 2022
    • Individual RAUM · $4.0B to $6.0B
      Jun 17, 2021 to Mar 30, 2022
    • RAUM · $4.0B to $6.0B
      Jun 17, 2021 to Mar 30, 2022
    • Wrap assets (manager) · $3.9B to $5.8B
      Jun 17, 2021 to Mar 30, 2022
    • Accounts · 20,527 to 34,355
      Jun 30, 2020 to Mar 30, 2021
    • Individual clients · 18,973 to 31,636
      Jun 30, 2020 to Mar 30, 2021
    • Employees · 25 to 24
      Jun 30, 2020 to Mar 30, 2021
    • Discretionary RAUM · $2.1B to $4.0B
      Jun 30, 2020 to Mar 30, 2021
    • HNW RAUM · $581,447 to $654,148
      Jun 30, 2020 to Mar 30, 2021
    • Individual RAUM · $2.1B to $4.0B
      Jun 30, 2020 to Mar 30, 2021
    • RAUM · $2.1B to $4.0B
      Jun 30, 2020 to Mar 30, 2021
    • Wrap assets (manager) · $2.1B to $3.9B
      Jun 30, 2020 to Mar 30, 2021
    • Accounts · 7,978 to 20,527
      Mar 29, 2019 to Mar 25, 2020
    • Individual clients · 7,406 to 18,973
      Mar 29, 2019 to Mar 25, 2020
    • Employees · 26 to 25
      Mar 29, 2019 to Mar 25, 2020
    • Discretionary RAUM · $687M to $2.1B
      Mar 29, 2019 to Mar 25, 2020
    • HNW RAUM · $471,289 to $581,447
      Mar 29, 2019 to Mar 25, 2020
    • Individual RAUM · $687M to $2.1B
      Mar 29, 2019 to Mar 25, 2020
    • RAUM · $687M to $2.1B
      Mar 29, 2019 to Mar 25, 2020
    • Wrap assets (manager) · $687M to $2.1B
      Mar 29, 2019 to Mar 25, 2020
    • Accounts · 906 to 7,978
      Aug 6, 2018 to Mar 29, 2019
    • Advisory employees · 13 to 14
      Aug 6, 2018 to Mar 29, 2019
    • Individual clients · 814 to 7,406
      Aug 6, 2018 to Mar 29, 2019
    • Employees · 23 to 26
      Aug 6, 2018 to Mar 29, 2019
    Signals
    22 dated events
    • N••••••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Nov 17, 2022 · Succession (Item 4) · fact
    • B•••••• D•••• S•••••••• (Svp, Advisory Operations / Investment Committee) no longer on Schedule A of N••••••••• A••••••• (listed 2022-03-30, absent 2022-09-26)
      Sep 26, 2022 · Control person left · inference
    • Nora P•••••• T••••••• (Director) appeared on Schedule A of N••••••••• A•••••••
      Sep 26, 2022 · Control person joined · fact
    • L Caroline Kraus (General Counsel) appeared on Schedule A of N••••••••• A•••••••
      Sep 26, 2022 · Control person joined · fact
    • Clay John Patterson (Chief Executive Officer) no longer on Schedule A of N••••••••• A••••••• (listed 2022-03-30, absent 2022-09-26)
      Sep 26, 2022 · Control person left · inference
    • D•••• Michael Sebastian (Chief Investment Officer / Investment Committee Chair) no longer on Schedule A of N••••••••• A••••••• (listed 2022-03-30, absent 2022-09-26)
      Sep 26, 2022 · Control person left · inference
    • Tristan Linke (Vp, Advice Finance / Investment Committee) no longer on Schedule A of N••••••••• A••••••• (listed 2022-03-30, absent 2022-09-26)
      Sep 26, 2022 · Control person left · inference
    • Shaughnessy Mary Alfred (General Counsel) no longer on Schedule A of N••••••••• A••••••• (listed 2022-03-30, absent 2022-09-26)
      Sep 26, 2022 · Control person left · inference
    • Rasinee Pongchairerks (Vp, Advice Finance / Investment Committee) no longer on Schedule A of N••••••••• A••••••• (listed 2022-03-30, absent 2022-09-26)
      Sep 26, 2022 · Control person left · inference
    • Gregory Calnon (President/Director) appeared on Schedule A of N••••••••• A•••••••
      Sep 26, 2022 · Control person joined · fact
    • N••••••••• A••••••• reported RAUM $6.0B, up 50% from $4.0B (2021-06-17 to 2022-03-30)
      Mar 30, 2022 · RAUM change · derived
    • Fredrick John Belcaster (General Counsel) no longer on Schedule A of N••••••••• A••••••• (listed 2021-06-17, absent 2022-03-30)
      Mar 30, 2022 · Control person left · inference
    • Shaughnessy Mary Alfred (General Counsel) appeared on Schedule A of N••••••••• A•••••••
      Mar 30, 2022 · Control person joined · fact
    • Rasinee Pongchairerks (Vp, Advice Finance / Investment Committee) appeared on Schedule A of N••••••••• A•••••••
      Mar 30, 2022 · Control person joined · fact
    • Merissa Brittany Mitchell (Chief Compliance Officer) appeared on Schedule A of N••••••••• A•••••••
      Jun 17, 2021 · Control person joined · fact
    • Tristan Linke (Vp, Advice Finance / Investment Committee) appeared on Schedule A of N••••••••• A•••••••
      Jun 17, 2021 · Control person joined · fact
    • T Wayne Kim (Chief Compliance Officer) no longer on Schedule A of N••••••••• A••••••• (listed 2021-03-30, absent 2021-06-17)
      Jun 17, 2021 · Control person left · inference
    • Cornelius Robert Foregger (Executive Vice President/Director) no longer on Schedule A of N••••••••• A••••••• (listed 2021-03-30, absent 2021-06-17)
      Jun 17, 2021 · Control person left · inference
    • N••••••••• A••••••• reported RAUM $4.0B, up 86% from $2.1B (2020-06-30 to 2021-03-30)
      Mar 30, 2021 · RAUM change · derived
    • N••••••••• A••••••• reported RAUM $2.1B, up 210% from $687.5M (2019-03-29 to 2020-03-25)
      Mar 25, 2020 · RAUM change · derived
    • N••••••••• A••••••• reported RAUM $687.5M, up 507% from $113.3M (2018-08-06 to 2019-03-29)
      Mar 29, 2019 · RAUM change · derived
    • N••••••••• A••••••• filed its initial SEC registration (Form ADV)
      Dec 2, 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