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.
Former SEC-registered adviser
Nsam US-Recf, LLC
Latest filing Jun 28, 2016
First filing on the tape Jan 29, 2016 · 2 filings
RAUM
$2.3M
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
93
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM: $2.3M
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 28, 2016
Jan 29, 20160 then
Employees (5.A)93 as of Jun 28, 2016
Jan 29, 201690 then
Private funds: no history
Practice profile
derived from the filing of Jun 28, 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
- $766,667derivedRAUM 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
- unknownderived4 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- 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)
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
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
- Takashi David Hamamoto · Executive Chairmancontrolsince 12/2015 · owns less than 5%
- Ann Debra Hess · Chief Financial Officercontrolsince 12/2015 · owns less than 5%
- Jay Ronald Lieberman · Executive Vice President And General Counselcontrolsince 12/2015 · owns less than 5%
- Albert Tylis · Chief Executive Officer And Presidentcontrolsince 12/2015 · owns less than 5%
- Ann Kristen Whealon · Chief Compliance Officercontrolsince 12/2015 · owns less than 5%
Entity owners
- Nsam US LLC · Sole Member Of Registrantdirect · owns 75% or more
- Northstar Asset Management Group Inc. · General Partnerindirect · owns 75% or more of Nsam LP · public reporting company
- Northstar Asset Management Group, LLC · Sole Memberindirect · owns 75% or more of Nsam US LLC
- Nsam LP · Sole Memberindirect · owns 75% or more of Northstar Asset Management Group, LLC
Related persons
Schedule D 7.A
- Cfssg Real Estate Partners I, LLCbankpooled vehicle sponsorn
- Cfssg Real Estate Partners II, LLCbankpooled vehicle sponsorn
- Cif-H Gp, LLCbankpooled vehicle sponsorn
- Cif-V Gp, LLCbankpooled vehicle sponsorn
- Healthcare Opportunity Jv, LPinvestment advisern
- Jdpt Manager, LLCbankpooled vehicle sponsorn
- Lake Erie Real Estate General Partner Limitedbankpooled vehicle sponsorn
- Lake Tahoe Gp, LLCbankpooled vehicle sponsorn
- Lake Tahoe II Gp, LLCbankpooled vehicle sponsorn
- Lake Tahoe III Gp, LLCbankpooled vehicle sponsorn
- Northstar Asset Management Group Inc.pooled vehicle sponsory
- Northstar Asset Management Uk, Ltd.investment advisern
- Northstar Securities, LLCbroker-dealern
- Nsam B-Cef Ltdinvestment advisern
- Nsam B-Recf Ltd.investment advisern
- Nsam J-Nre Ltdinvestment advisern
- Nsam J-Nrf Ltdinvestment advisern
- Nsam J-Ns/Rxr Ltdinvestment advisern
- Nsam J-Nshc Ltdinvestment advisern
- Nsam J-Nsi Ltdinvestment advisern
- Nsam J-Nsii Ltdinvestment advisern
- Nsam Luxembourg S.A R.L.investment advisern
- Northstar, Northstar Asset Management Groupinvestment advisernRAUM $24B
- Penn Square Manager I, LLCbankpooled vehicle sponsorn
- Penn Square Manager II, LLCbankpooled vehicle sponsorn
- Pgof Manager I, LLCbankpooled vehicle sponsorn
- Sa Special Situations General Partner, LLCbankpooled vehicle sponsorn
- Silver Mountain Management A/Q, LLCbankpooled vehicle sponsorn
- Silver Mountain Management T, LLCbankpooled vehicle sponsorn
- Sinclair Group Incinvestment advisernRAUM $127M
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom
- Pembroke, Bermuda
- Senningerberg, Luxembourg
What changed
consecutive filings, newest first
- Accounts · unset to 3.0Jan 29, 2016 to Jun 28, 2016
- Advisory employees · 7 to 5Jan 29, 2016 to Jun 28, 2016
- BD registered reps · 5 to 6Jan 29, 2016 to Jun 28, 2016
- Business name · NSAM D-NRECF LLC to NSAM US-RECF, LLCJan 29, 2016 to Jun 28, 2016
- Employees · 90 to 93Jan 29, 2016 to Jun 28, 2016
- Legal name · NSAM D-NRECF LLC to NSAM US-RECF, LLCJan 29, 2016 to Jun 28, 2016
- Discretionary RAUM · unset to 2300000.0Jan 29, 2016 to Jun 28, 2016
- Non-discretionary RAUM · unset to 0.0Jan 29, 2016 to Jun 28, 2016
- RAUM · unset to 2300000.0Jan 29, 2016 to Jun 28, 2016
- Related bank · false to trueJan 29, 2016 to Jun 28, 2016
Signals
1 dated events
- Nsam D-Nrecf Llc filed its initial SEC registration (Form ADV)Jan 29, 2016 · 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