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•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 284287SEC 801-108099IAPD
Latest filing Mar 29, 2019
First filing on the tape Jun 30, 2016 · 7 filings
RAUM
$149M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
97%
$145M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$149M as of Mar 29, 2019
Mar 30, 2017$135M then
HNW client RAUM$141M as of Mar 29, 2019
Mar 30, 2018$132M then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 30, 20170 then
Employees (5.A)4 as of Mar 29, 2019
Mar 30, 20173 then
Private funds: no history
RAUM +5.9% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$2.6MderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
88%derivedof RAUM
Institutional
2.6%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
+5.9%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+1.4%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$36.7M, 29 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$141M95%
  • Individuals$4.4M2.9%
  • Charitable organizations$3.5M2.3%
  • Pension and profit-sharing plans$363,7460.2%
Individual clients
17reported
HNW clients
54reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
126reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$36.7M for 29 clientsreported
Compensation
% of AUMreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••••• H••••••• A••• D•••••• · Chief Compliance Officer/Vice President/Membercontrol
        since 04/2016 · owns 10% to 25%
      • G•••••••• J•••• E•••••• · Managing Director/Membercontrol
        since 04/2016 · owns 10% to 25%
      • S•••••• D••••• L••• · Managing Member/Managing Directorcontrol
        since 04/2016 · owns 75% or more
      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
      • Accounts · 113 to 126
        Mar 30, 2018 to Mar 29, 2019
      • HNW clients · 53 to 54
        Mar 30, 2018 to Mar 29, 2019
      • Assets in custody · $72.0M to $36.7M
        Mar 30, 2018 to Mar 29, 2019
      • Discretionary RAUM · $125M to $132M
        Mar 30, 2018 to Mar 29, 2019
      • HNW RAUM · $132M to $141M
        Mar 30, 2018 to Mar 29, 2019
      • Individual RAUM · $4.5M to $4.4M
        Mar 30, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $16.4M to $17.4M
        Mar 30, 2018 to Mar 29, 2019
      • Pension RAUM · $1.5M to $363,746
        Mar 30, 2018 to Mar 29, 2019
      • RAUM · $141M to $149M
        Mar 30, 2018 to Mar 29, 2019
      • Accounts · 114 to 113
        Aug 9, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Aug 9, 2017 to Mar 30, 2018
      • HNW clients · unset to 53.0
        Aug 9, 2017 to Mar 30, 2018
      • Individual clients · unset to 17.0
        Aug 9, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 0.0
        Aug 9, 2017 to Mar 30, 2018
      • Assets in custody · unset to 72008010.0
        Aug 9, 2017 to Mar 30, 2018
      • Custody of client assets · false to true
        Aug 9, 2017 to Mar 30, 2018
      • Employees · 3 to 4
        Aug 9, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Aug 9, 2017 to Mar 30, 2018
      • Discretionary RAUM · $129M to $125M
        Aug 9, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 132288861.0
        Aug 9, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 4470014.0
        Aug 9, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $6.1M to $16.4M
        Aug 9, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 1509861.0
        Aug 9, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Aug 9, 2017 to Mar 30, 2018
      • RAUM · $135M to $141M
        Aug 9, 2017 to Mar 30, 2018
      • Accounts · 98 to 114
        Nov 17, 2016 to Mar 30, 2017
      • Advisory employees · 4 to 3
        Nov 17, 2016 to Mar 30, 2017
      • Advisory activities · 2 to 1
        Nov 17, 2016 to Mar 30, 2017
      • BD registered reps · 1 to 0
        Nov 17, 2016 to Mar 30, 2017
      • Employees · 4 to 3
        Nov 17, 2016 to Mar 30, 2017
      • Discretionary RAUM · $94.7M to $129M
        Nov 17, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $15.2M to $6.1M
        Nov 17, 2016 to Mar 30, 2017
      • RAUM · $110M to $135M
        Nov 17, 2016 to Mar 30, 2017
      • Accounts · 0 to 98
        Jul 22, 2016 to Nov 17, 2016
      • Advisory employees · 2 to 4
        Jul 22, 2016 to Nov 17, 2016
      • BD registered reps · 0 to 1
        Jul 22, 2016 to Nov 17, 2016
      • Employees · 3 to 4
        Jul 22, 2016 to Nov 17, 2016
      • Discretionary RAUM · $0 to $94.7M
        Jul 22, 2016 to Nov 17, 2016
      • Non-discretionary RAUM · $0 to $15.2M
        Jul 22, 2016 to Nov 17, 2016
      • RAUM · $0 to $110M
        Jul 22, 2016 to Nov 17, 2016
      Signals
      1 dated events
      • N•••••••• C•••••• M••••••••• 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