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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Former SEC-registered adviser
N••• C•••• V•••••••• L••
Latest filing Mar 31, 2025
First filing on the tape Jun 23, 2022 · 7 filings
SEC status approved since Jul 26, 2022
RAUM
$583M
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
10
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$583M as of Mar 31, 2025
Mar 29, 2023$397M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2025
Mar 29, 20230 then
Employees (5.A)10 as of Mar 31, 2025
Mar 29, 202312 then
Private funds9 as of Mar 31, 2025
Mar 29, 20239 then
RAUM +45% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2025; 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
- $64.8MderivedRAUM 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
- +45%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
- $470M, 9 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$583M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $470M for 9 clientsreported
- 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••• C•••• V••••••• I• L••• | Venture Capital Fund | $162M | 66 | May 26, 2016 |
| N••• C•••• V••••••• I•• L••• | Venture Capital Fund | $106M | 54 | Mar 27, 2020 |
| N••• C•••• V••••••• I••• L••• | Venture Capital Fund | $42.8M | 101 | Mar 29, 2022 |
| N••• C•••• E•• I• L••• | Private Equity Fund | $40.0M | 79 | Mar 25, 2021 |
| N•• S••••• I• L••• | Venture Capital Fund | $28.8M | 48 | Mar 29, 2022 |
| N•• E••••••••• F••• I• L••• | Venture Capital Fund | $8.1M | 56 | May 26, 2016 |
| N•• E••••••••• F••• I••• L••• | Venture Capital Fund | $7.1M | 72 | Jun 23, 2022 |
| N•• E••••••••• F••• I•• L••• | Venture Capital Fund | $6.4M | 86 | Mar 27, 2020 |
| N••• C•••• E•• E••••••••• F••• I• L••• | Private Equity Fund | $1.3M | 13 | Mar 29, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B•••• C••••••• T••••• · Managing Membercontrolsince 02/2016 · owns 50% to 75%
- S••••••• M••••••• A••••• · Managing Membercontrolsince 02/2016 · owns 50% to 75%
- D••••••••• K••••••• N•• · Chief Compliance Officer/ Chief Operating Officersince 05/2024 · owns less than 5%
Related persons
Schedule D 7.A
- N•• E•• G• I• L•••pooled vehicle sponsorn
- N•• E•• U••••••••• G• I• L••pooled vehicle sponsorn
- N•• G• I• L•••pooled vehicle sponsorn
- N•• G• I•• L•••pooled vehicle sponsorn
- N•• G• I••• L•••pooled vehicle sponsorn
- N•• G• S••••• I• L•••pooled vehicle sponsorn
- N•• U••••••••• G• I• L••pooled vehicle sponsorn
- N•• U••••••••• G• I•• L••pooled vehicle sponsorn
- N•• U••••••••• G• I••• L••pooled vehicle sponsorn
- N•• U••••••••• G• S••••• 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 · 9 to 8May 14, 2024 to Mar 31, 2025
- Assets in custody · $403M to $470MMay 14, 2024 to Mar 31, 2025
- Employees · 12 to 10May 14, 2024 to Mar 31, 2025
- Financial planning clients · unset to May 14, 2024 to Mar 31, 2025
- Discretionary RAUM · $586M to $583MMay 14, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $586M to $583MMay 14, 2024 to Mar 31, 2025
- RAUM · $586M to $583MMay 14, 2024 to Mar 31, 2025
- Discretionary RAUM · $403M to $586MMar 26, 2024 to May 8, 2024
- Pooled vehicle RAUM · $403M to $586MMar 26, 2024 to May 8, 2024
- RAUM · $403M to $586MMar 26, 2024 to May 8, 2024
- Assets in custody · $397M to $403MMay 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $397M to $403MMay 30, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $397M to $403MMay 30, 2023 to Mar 26, 2024
- RAUM · $397M to $403MMay 30, 2023 to Mar 26, 2024
- Accounts · 8 to 9Jun 23, 2022 to Mar 29, 2023
- Pooled vehicle clients · 8 to 9Jun 23, 2022 to Mar 29, 2023
- Assets in custody · $629M to $397MJun 23, 2022 to Mar 29, 2023
- Private funds · 16 to 9Jun 23, 2022 to Mar 29, 2023
- Discretionary RAUM · $629M to $397MJun 23, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $629M to $397MJun 23, 2022 to Mar 29, 2023
- RAUM · $629M to $397MJun 23, 2022 to Mar 29, 2023
Signals
5 dated events
- N••• C•••• V•••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $583.0M)Apr 1, 2026 · Left the SEC roster · derived
- N••• C•••• V•••••••• L•• reported RAUM $586.0M, up 45% from $403.1M (2024-03-26 to 2024-05-08)May 8, 2024 · RAUM change · derived
- B. Jonathan Kaplan (Chief Compliance Officer / Chief Operating Officer) no longer on Schedule A of N••• C•••• V•••••••• L•• (listed 2024-03-26, absent 2024-05-08)May 8, 2024 · Control person left · inference
- N••• C•••• V•••••••• L•• reported RAUM $396.8M, down 37% from $629.0M (2022-06-23 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- N••• C•••• V•••••••• L•• filed its initial SEC registration (Form ADV)Jun 23, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- N••• C•••• V•••••••• L•• · Private Equityshared crd · organization
- N••• C•••• V•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/N•••-C••••-VENTURESreportedpublic record, Form ADV, Sep 18, 2026
- Website
- N•••C••••VENTURES.COMreportedpublic record, Form ADV, Sep 18, 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
- 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