DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
N•••• C•••••• A•••••••• L•
Latest filing Aug 20, 2017
First filing on the tape Jun 30, 2016 · 5 filings
RAUM
$56.3M
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$15.1M gross assets
History
5 filings and snapshots on the tape
RAUM$56.3M as of Aug 20, 2017
Nov 16, 2016$41.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 20, 2017
Jun 30, 20160 then
Employees (5.A)5 as of Aug 20, 2017
Jun 30, 20164 then
Private funds1 as of Aug 20, 2017
Nov 16, 20161 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 20, 2017; 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
- $28.2MderivedRAUM 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
- 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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $56.3M, 2 clientsreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
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
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $56.3M for 2 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•••• C•••••• G••••• M••••• F•••• L••• | Hedge Fund | $15.1M | 1 | Nov 16, 2016 |
Owners and control persons
Schedule A and B, latest filing
- N••••• G•••••• L••••• · Chief Investment Officer, Chief Compliance Officer And Ownercontrolsince 05/2016 · owns 75% or more
- N••••• G•••••• L••••• · Sole Owner Of General Partnercontrolsince 05/2016 · owns 75% or more of N•••• C•••••• A•••••••• L••
Entity owners
- N•••• C•••••• A•••••••• L•• · General Partner Of The Investment Manager, N•••• C•••••• A•••••••• L•direct · owns less than 5%
Related persons
Schedule D 7.A
- N•••• C•••••• G••••• 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 · 2 to 3Nov 16, 2016 to Mar 27, 2017
- Assets in custody · $41.6M to $56.3MNov 16, 2016 to Mar 27, 2017
- Employees · 4 to 5Nov 16, 2016 to Mar 27, 2017
- Discretionary RAUM · $41.6M to $56.3MNov 16, 2016 to Mar 27, 2017
- RAUM · $41.6M to $56.3MNov 16, 2016 to Mar 27, 2017
- Accounts · unset to 2.0Aug 4, 2016 to Nov 16, 2016
- Advisory employees · 3 to 2Aug 4, 2016 to Nov 16, 2016
- Advisory activities · 2 to 3Aug 4, 2016 to Nov 16, 2016
- Assets in custody · unset to 41630588.0Aug 4, 2016 to Nov 16, 2016
- Custody of client assets · false to trueAug 4, 2016 to Nov 16, 2016
- Private funds · unset to 1Aug 4, 2016 to Nov 16, 2016
- Discretionary RAUM · unset to 41630588.0Aug 4, 2016 to Nov 16, 2016
- Non-discretionary RAUM · unset to 0.0Aug 4, 2016 to Nov 16, 2016
- RAUM · unset to 41630588.0Aug 4, 2016 to Nov 16, 2016
Signals
1 dated events
- N•••• C•••••• A•••••••• L• filed its initial SEC registration (Form ADV)Jun 30, 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