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•••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Jan 9, 2015 · 16 filings
SEC status approved since Jan 30, 2015
RAUM
$1.5B
reported, Item 5.F
Discretionary
80%
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
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$1.5B as of Mar 11, 2026
Mar 23, 2016$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 11, 2026
Mar 23, 20160 then
Employees (5.A)5 as of Mar 11, 2026
Mar 23, 20166 then
Private funds: no history
RAUM -0.3% over the last fiscal year+5.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- 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
- $740MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 100%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
- -0.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$1.2B80%
- Pension and profit-sharing plans$297M20%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• E•••• R••••• · Membercontrolsince 11/2014 · owns 25% to 50%
- D••••• R•••••• W•••••• · Managing Membercontrolsince 11/2014 · owns 25% to 50%
- G•••••• J••••• F•••••• · Chief Compliance Officer / Senior Vice Presidentcontrolsince 02/2017 · owns less than 5%
- V•••••••• A••••• J••••••• · Managing Membercontrolsince 11/2014 · owns 25% to 50%
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
- Discretionary RAUM · $1.1B to $1.2BMar 14, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $338M to $297MMar 14, 2025 to Mar 11, 2026
- Pension RAUM · $338M to $297MMar 14, 2025 to Mar 11, 2026
- RAUM · $1.5B to $1.5BMar 14, 2025 to Mar 11, 2026
- Financial planning clients · unset to Mar 21, 2024 to Mar 14, 2025
- Discretionary RAUM · $1.1B to $1.1BMar 21, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $389M to $338MMar 21, 2024 to Mar 14, 2025
- Pension RAUM · $389M to $338MMar 21, 2024 to Mar 14, 2025
- RAUM · $1.5B to $1.5BMar 21, 2024 to Mar 14, 2025
- Discretionary RAUM · $875M to $1.1BMar 28, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $384M to $389MMar 28, 2023 to Mar 21, 2024
- Pension RAUM · $384M to $389MMar 28, 2023 to Mar 21, 2024
- RAUM · $1.3B to $1.5BMar 28, 2023 to Mar 21, 2024
- Discretionary RAUM · $811M to $875MMar 23, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $375M to $384MMar 23, 2022 to Mar 28, 2023
- Pension RAUM · $375M to $384MMar 23, 2022 to Mar 28, 2023
- RAUM · $1.2B to $1.3BMar 23, 2022 to Mar 28, 2023
- Discretionary RAUM · $768M to $811MMar 12, 2021 to Mar 23, 2022
- Non-discretionary RAUM · $372M to $375MMar 12, 2021 to Mar 23, 2022
- Pension RAUM · $372M to $375MMar 12, 2021 to Mar 23, 2022
- RAUM · $1.1B to $1.2BMar 12, 2021 to Mar 23, 2022
- Discretionary RAUM · $720M to $768MMar 18, 2020 to Mar 12, 2021
- Non-discretionary RAUM · $337M to $372MMar 18, 2020 to Mar 12, 2021
- Pension RAUM · $337M to $372MMar 18, 2020 to Mar 12, 2021
- RAUM · $1.1B to $1.1BMar 18, 2020 to Mar 12, 2021
- Employees · 7 to 5Mar 11, 2019 to Mar 18, 2020
- Discretionary RAUM · $801M to $720MMar 11, 2019 to Mar 18, 2020
- Non-discretionary RAUM · $322M to $337MMar 11, 2019 to Mar 18, 2020
- Pension RAUM · $322M to $337MMar 11, 2019 to Mar 18, 2020
- RAUM · $1.1B to $1.1BMar 11, 2019 to Mar 18, 2020
- Discretionary RAUM · $756M to $801MNov 21, 2018 to Mar 11, 2019
- Non-discretionary RAUM · $323M to $322MNov 21, 2018 to Mar 11, 2019
- Pension RAUM · $323M to $322MNov 21, 2018 to Mar 11, 2019
- RAUM · $1.1B to $1.1BNov 21, 2018 to Mar 11, 2019
- Pension plan clients · unset to 1.0Mar 1, 2017 to Mar 14, 2018
- Other offices · unset to 0.0Mar 1, 2017 to Mar 14, 2018
- Discretionary RAUM · $834M to $756MMar 1, 2017 to Mar 14, 2018
- Non-discretionary RAUM · $298M to $323MMar 1, 2017 to Mar 14, 2018
- Pension RAUM · unset to 323000000.0Mar 1, 2017 to Mar 14, 2018
- RAUM · $1.1B to $1.1BMar 1, 2017 to Mar 14, 2018
Signals
2 dated events
- Macallister David Clarke (Managing Member) no longer on Schedule A of N•••••• P•••••••• L•• (listed 2019-03-11, absent 2020-03-18)Mar 18, 2020 · Control person left · inference
- N•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jan 9, 2015 · 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
- Website
- N••••••PARTNERS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 860-259-4300reportedpublic record, Form ADV, Mar 11, 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
- Institutional 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