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•• I•• C•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jun 24, 2019 · 14 filings
SEC status approved since Jul 24, 2019
RAUM
$1.2B
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
12
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.2B as of Mar 30, 2026
Mar 30, 2020$139M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20200 then
Employees (5.A)12 as of Mar 30, 2026
Mar 30, 20206 then
Private funds1 as of Mar 30, 2026
Mar 30, 20201 then
RAUM +22% over the last fiscal year+88% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $249MderivedRAUM 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
- +22%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $45.8M, 3 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$45.8M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $45.8M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.04 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•• I•• C•••••• M••••• F••• L• | Hedge Fund | $51.5M | 12 | Mar 28, 2019 |
Owners and control persons
Schedule A and B, latest filing
- G••••••••• S•••••• L•• · Ccocontrolsince 07/2023 · owns less than 5%
- Y••• R•••••• · Chief Investment Officer, Membercontrolsince 02/2015 · owns 75% or more
Related persons
Schedule D 7.A
- N•• I••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 5Jan 9, 2026 to Mar 30, 2026
- Advisory employees · 7 to 8Jan 9, 2026 to Mar 30, 2026
- Assets in custody · $26.6M to $45.8MJan 9, 2026 to Mar 30, 2026
- Employees · 10 to 12Jan 9, 2026 to Mar 30, 2026
- Discretionary RAUM · $1.0B to $1.2BJan 9, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $26.6M to $45.8MJan 9, 2026 to Mar 30, 2026
- RAUM · $1.0B to $1.2BJan 9, 2026 to Mar 30, 2026
- Accounts · 5 to 6Sep 27, 2024 to Mar 28, 2025
- Assets in custody · $51.5M to $26.6MSep 27, 2024 to Mar 28, 2025
- Financial planning clients · unset to Sep 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $989M to $1.0BSep 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $51.5M to $26.6MSep 27, 2024 to Mar 28, 2025
- RAUM · $989M to $1.0BSep 27, 2024 to Mar 28, 2025
- Accounts · 3 to 5Mar 28, 2024 to Sep 27, 2024
- Advisory activities · 1 to 2Mar 28, 2024 to Sep 27, 2024
- Assets in custody · $79.9M to $51.5MMar 28, 2024 to Sep 27, 2024
- Discretionary RAUM · $79.9M to $989MMar 28, 2024 to Sep 27, 2024
- Pooled vehicle RAUM · $79.9M to $51.5MMar 28, 2024 to Sep 27, 2024
- RAUM · $79.9M to $989MMar 28, 2024 to Sep 27, 2024
- Related bank · true to falseMar 28, 2024 to Sep 27, 2024
- Assets in custody · $187M to $79.9MNov 6, 2023 to Mar 28, 2024
- Discretionary RAUM · $187M to $79.9MNov 6, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $187M to $79.9MNov 6, 2023 to Mar 28, 2024
- RAUM · $187M to $79.9MNov 6, 2023 to Mar 28, 2024
- Assets in custody · $182M to $187MSep 26, 2022 to Mar 29, 2023
- Employees · 9 to 10Sep 26, 2022 to Mar 29, 2023
- Discretionary RAUM · $182M to $187MSep 26, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $182M to $187MSep 26, 2022 to Mar 29, 2023
- RAUM · $182M to $187MSep 26, 2022 to Mar 29, 2023
- Employees · 10 to 9Aug 27, 2021 to Nov 12, 2021
- Accounts · 12 to 3Feb 22, 2021 to Aug 27, 2021
- Pooled vehicle clients · 12 to 3Feb 22, 2021 to Aug 27, 2021
- Employees · 9 to 10Feb 22, 2021 to Aug 27, 2021
- Accounts · 3 to 12Mar 30, 2020 to Feb 22, 2021
- Advisory employees · 6 to 7Mar 30, 2020 to Feb 22, 2021
- Pooled vehicle clients · 3 to 12Mar 30, 2020 to Feb 22, 2021
- Assets in custody · $139M to $182MMar 30, 2020 to Feb 22, 2021
- Employees · 6 to 9Mar 30, 2020 to Feb 22, 2021
- Discretionary RAUM · $139M to $182MMar 30, 2020 to Feb 22, 2021
- Pooled vehicle RAUM · $139M to $182MMar 30, 2020 to Feb 22, 2021
Signals
9 dated events
- N•• I•• C•••••• M••••••••• L•• reported RAUM $989.4M, up 1138% from $79.9M (2024-03-28 to 2024-09-27)Sep 27, 2024 · RAUM change · derived
- Ranting Yao (Chief Investment Officer, Member) appeared on Schedule A of N•• I•• C•••••• M••••••••• L••Sep 27, 2024 · Control person joined · fact
- N•• I•• C•••••• M••••••••• L•• reported RAUM $79.9M, down 57% from $186.9M (2023-11-06 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Lee S••••• G••••••••• (Cco) appeared on Schedule A of N•• I•• C•••••• M••••••••• L••Nov 6, 2023 · Control person joined · fact
- Ranting Yao (Cio Cco And Managing Member) no longer on Schedule A of N•• I•• C•••••• M••••••••• L•• (listed 2023-03-29, absent 2023-11-06)Nov 6, 2023 · Control person left · inference
- Nmn Laura Neish (Chief Compliance Officer) no longer on Schedule A of N•• I•• C•••••• M••••••••• L•• (listed 2021-08-27, absent 2021-11-12)Nov 12, 2021 · Control person left · inference
- Nmn Laura Neish (Chief Compliance Officer) appeared on Schedule A of N•• I•• C•••••• M••••••••• L••Aug 27, 2021 · Control person joined · fact
- N•• I•• C•••••• M••••••••• L•• reported RAUM $139.3M, down 56% from $318.6M (2019-06-24 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- N•• I•• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 24, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- N•• I•• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/neo-ivy-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- w••.n•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-389-9813reportedpublic record, Form ADV, Mar 30, 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
- Other 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