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••••••• C••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Nov 5, 2015 · 17 filings
SEC status approved since Nov 19, 2015
RAUM
$2.1B
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
31
26 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$2.1B as of Mar 27, 2026
Mar 17, 2016$1.2B then
HNW client RAUM$0 as of Mar 27, 2026
Mar 27, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 17, 20160 then
Employees (5.A)31 as of Mar 27, 2026
Mar 17, 201616 then
Private funds9 as of Mar 27, 2026
Mar 17, 20163 then
RAUM -3.8% over the last fiscal year+5.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 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
- $134MderivedRAUM 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
- -3.8%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
- yesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.1B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 16reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••••••• C•••••• F••• V• L• | Private Equity Fund | $478M | 45 | Mar 30, 2023 |
| N••••••• C•••••• F••• I•• L• | Private Equity Fund | $456M | 28 | Mar 30, 2020 |
| N••••••• C•••••• F••• I••• L• | Private Equity Fund | $288M | 22 | Mar 17, 2016 |
| N••••••• C•••••• F••• I•••• L• | Private Equity Fund | $253M | 20 | Mar 30, 2020 |
| N••••••• C•••••• F••• V••• L• | Private Equity Fund | $229M | 28 | Mar 30, 2023 |
| N••••••• C•••••• F••• I••••• L• | Private Equity Fund | $173M | 11 | Mar 17, 2016 |
| N••••••• C•••••• F••• I•••• L• | Private Equity Fund | $70.1M | 61 | Mar 30, 2020 |
| N••••••• C•••••• F••• V••• L• | Private Equity Fund | $66.6M | 70 | Mar 30, 2023 |
| N••••••• C•••••• F••• I••••• L• | Private Equity Fund | $40.1M | 30 | Mar 17, 2016 |
Owners and control persons
Schedule A and B, latest filing
- G•••••••• A•••••• B•••• · Chief Compliance Officer / Chief Financial Officercontrolsince 10/2015 · owns 5% to 10%
- K••••••• J••••• C•••••••• · Partnercontrolsince 01/2022 · owns 10% to 25%
- K••••••• A•••••• K••• · Partnercontrolsince 01/2022 · owns 10% to 25%
- K••••••• J•••• G••••• · Partnercontrolsince 01/2022 · owns 10% to 25%
- L•••••• K•••• B• •••• · Limited Partnercontrolsince 01/2016 · owns 10% to 25%
- L••••••• N•••••••• L•• · Partnercontrolsince 01/2022 · owns 10% to 25%
- Y••• E•••••• D••••• · Limited Partnercontrolsince 01/2016 · owns 25% to 50%
- L•••••• K•••• B• •••• · Managing Membercontrolsince 01/2016 · owns 25% to 50% of N••••••• H••••••• L••
- Y••• E•••••• D••••• · Managing Membercontrolsince 01/2016 · owns 50% to 75% of N••••••• H••••••• L••
Entity owners
- N••••••• H••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- N••••••• C•••••• F••• I•• G•• L•pooled vehicle sponsorn
- N••••••• C•••••• F••• I• G•• L•pooled vehicle sponsorn
- N••••••• C•••••• F••• V• G•• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 23 to 26Mar 28, 2025 to Mar 27, 2026
- Employees · 27 to 31Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $2.2B to $2.1BMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $2.2B to $2.1BMar 28, 2025 to Mar 27, 2026
- RAUM · $2.2B to $2.1BMar 28, 2025 to Mar 27, 2026
- Accounts · 18 to 16Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 18 to 16Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.3B to $2.2BMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $2.3B to $2.2BMar 28, 2024 to Mar 28, 2025
- RAUM · $2.3B to $2.2BMar 28, 2024 to Mar 28, 2025
- Advisory employees · 19 to 23Mar 30, 2023 to Mar 28, 2024
- Employees · 23 to 27Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.8B to $2.3BMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.8B to $2.3BMar 30, 2023 to Mar 28, 2024
- RAUM · $1.8B to $2.3BMar 30, 2023 to Mar 28, 2024
- Accounts · 15 to 18Aug 9, 2022 to Mar 30, 2023
- Advisory employees · 18 to 19Aug 9, 2022 to Mar 30, 2023
- Pooled vehicle clients · 15 to 18Aug 9, 2022 to Mar 30, 2023
- Employees · 22 to 23Aug 9, 2022 to Mar 30, 2023
- Other offices · 1 to 0Aug 9, 2022 to Mar 30, 2023
- Private funds · 6 to 9Aug 9, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.8B to $1.8BAug 9, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.8B to $1.8BAug 9, 2022 to Mar 30, 2023
- RAUM · $1.8B to $1.8BAug 9, 2022 to Mar 30, 2023
- Advisory employees · 17 to 18Mar 29, 2021 to Mar 28, 2022
- Employees · 20 to 22Mar 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $1.3B to $1.8BMar 29, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $1.3B to $1.8BMar 29, 2021 to Mar 28, 2022
- RAUM · $1.3B to $1.8BMar 29, 2021 to Mar 28, 2022
- Accounts · 16 to 15Mar 30, 2020 to Mar 29, 2021
- Advisory employees · 15 to 17Mar 30, 2020 to Mar 29, 2021
- Pooled vehicle clients · 16 to 15Mar 30, 2020 to Mar 29, 2021
- Employees · 18 to 20Mar 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $1.3B to $1.3BMar 30, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $1.3B to $1.3BMar 30, 2020 to Mar 29, 2021
- RAUM · $1.3B to $1.3BMar 30, 2020 to Mar 29, 2021
- Accounts · 13 to 16Sep 13, 2019 to Mar 30, 2020
- Advisory employees · 14 to 15Sep 13, 2019 to Mar 30, 2020
- Pooled vehicle clients · 13 to 16Sep 13, 2019 to Mar 30, 2020
Signals
9 dated events
- Catherine Jamie Kaufman (Partner) appeared on Schedule A of N••••••• C••••••• L•Mar 30, 2023 · Control person joined · fact
- George Joel Killion (Partner) appeared on Schedule A of N••••••• C••••••• L•Mar 30, 2023 · Control person joined · fact
- Kane Andrew Kieffer (Partner) appeared on Schedule A of N••••••• C••••••• L•Mar 30, 2023 · Control person joined · fact
- Lex Nicholas Leeming (Partner) appeared on Schedule A of N••••••• C••••••• L•Mar 30, 2023 · Control person joined · fact
- N••••••• C••••••• L• reported RAUM $1.8B, up 40% from $1.3B (2021-03-29 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- N••••••• C••••••• L• reported RAUM $1.3B, up 27% from $988.7M (2019-09-13 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- N••••••• C••••••• L• reported RAUM $796.0M, down 31% from $1.2B (2017-12-12 to 2018-03-27)Mar 27, 2018 · RAUM change · derived
- N••••••• C•••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 5, 2016 · Succession (Item 4) · fact
- N••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Nov 5, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- N••••••• C••••••• L• · Independent Sponsorsshared crd · capital_provider
- N••••••• C••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- N•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212 878-6000reportedpublic record, Form ADV, Mar 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