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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
N•• I••••• C••••••
Legal name N•• I••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jul 3, 2019 · 33 filings
SEC status approved since Aug 2, 2019
RAUM
$459M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
56%
$256M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$153M
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$459M as of Mar 31, 2026
Mar 30, 2020$120M then
HNW client RAUM$237M as of Mar 31, 2026
Mar 30, 2020$78.5M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 30, 20201 then
Employees (5.A)9 as of Mar 31, 2026
Mar 30, 202012 then
Private funds: no history
RAUM -13% over the last fiscal year+19% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $153MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $65.8M, 19 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$237M52%
- Investment companies$90.4M20%
- Charitable organizations$83.8M18%
- Corporations and businesses$28.6M6.2%
- Individuals$18.7M4.1%
- Individual clients
- 70reported
- HNW clients
- 77reported
- Pension plan clients
- 0reported
- Charitable clients
- 13reported
- Accounts
- 313reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $65.8M for 19 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.56 fund_share=0.2 institutional_share=0.18 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• B•••• H••• | Piedmont, Ca | Apr 23, 2018 | 16 y | 0 |
| J••••• A•••• T•••••••Chartered Financial Analyst | Waltham, Ma | Feb 22, 2024 | 11 y | 1 |
| S••••••• K•••••••• | Berkeley, Ca | Jan 15, 2026 | 10 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount2 left over 36 months
Left, latest
- J•••• J•••••• M•••••• to N•••••••• A•••• M•••••••••Feb 12, 2026 · RIA to RIA
- A••••• N••••• W•••• to S••••• W••••• M•••••••••May 12, 2025 · RIA to RIA
Joined, latest
- J••••• A•••• T••••••• from A••••• C•••••• M•••••••••Feb 22, 2024 · Other
- J•••• J•••••• M•••••• from R•••••••• M•••••• C•••••• M••••••••• L••Dec 6, 2023 · RIA to RIA
- A••••• N••••• W•••• from P•••••••• S••••••••• I•••Oct 16, 2023 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• R••••••• E••••• J••••• · Chief Compliance Officer & I••••• Directorcontrolsince 11/2023 · owns less than 5%
- H•••• K••••••• B•••• · Sole And Managing Member And Chief Executive Officercontrolsince 02/2017 · owns 75% or more
- T•••••••• J•••••• A•••• · Partner And Portfolio Managercontrolsince 01/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Berkeley, Ca | 2 | 1 | 0 | ||
| Weston, Ma | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 31, 2026RAUM per registered advisor of $152,990,262 against a peer median of $55,731,856 (3254 comparable advisers, 99.0th percentile, 3.4 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 99% percentile
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-12-23, yes on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 85.0% to 100.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 344 to 313Dec 23, 2025 to Mar 31, 2026
- Corporate clients · 9 to 10Dec 23, 2025 to Mar 31, 2026
- HNW clients · 92 to 77Dec 23, 2025 to Mar 31, 2026
- Individual clients · 76 to 70Dec 23, 2025 to Mar 31, 2026
- Assets in custody · $67.3M to $65.8MDec 23, 2025 to Mar 31, 2026
- Custody of client assets · false to trueDec 23, 2025 to Mar 31, 2026
- Employees · 10 to 9Dec 23, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 0Dec 23, 2025 to Mar 31, 2026
- State-registered IARs · 4 to 3Dec 23, 2025 to Mar 31, 2026
- Discretionary RAUM · $446M to $459MDec 23, 2025 to Mar 31, 2026
- HNW RAUM · $241M to $237MDec 23, 2025 to Mar 31, 2026
- Individual RAUM · $17.7M to $18.7MDec 23, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $79.2M to $0Dec 23, 2025 to Mar 31, 2026
- RAUM · $526M to $459MDec 23, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 1-10Mar 31, 2025 to Jun 17, 2025
- Accounts · 319 to 344Jan 14, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $79.2MJan 14, 2025 to Mar 31, 2025
- RAUM · $446M to $526MJan 14, 2025 to Mar 31, 2025
- Accounts · 320 to 319Sep 30, 2024 to Jan 14, 2025
- Corporate clients · 10 to 9Sep 30, 2024 to Jan 14, 2025
- HNW clients · 82 to 92Sep 30, 2024 to Jan 14, 2025
- Individual clients · 92 to 76Sep 30, 2024 to Jan 14, 2025
- Assets in custody · unset to 67277699.0Sep 30, 2024 to Jan 14, 2025
- HQ city · unset to Sep 30, 2024 to Jan 14, 2025
- HQ state · unset to Sep 30, 2024 to Jan 14, 2025
- Other offices · 0 to 2Sep 30, 2024 to Jan 14, 2025
- Discretionary RAUM · $433M to $446MSep 30, 2024 to Jan 14, 2025
- HNW RAUM · $223M to $241MSep 30, 2024 to Jan 14, 2025
- Individual RAUM · $30.6M to $17.7MSep 30, 2024 to Jan 14, 2025
- RAUM · $433M to $446MSep 30, 2024 to Jan 14, 2025
- Accounts · 314 to 320Mar 27, 2024 to Aug 26, 2024
- Charity clients · 15 to 13Mar 27, 2024 to Aug 26, 2024
- Corporate clients · 13 to 10Mar 27, 2024 to Aug 26, 2024
- HNW clients · 80 to 82Mar 27, 2024 to Aug 26, 2024
- Individual clients · 89 to 92Mar 27, 2024 to Aug 26, 2024
- Employees · 11 to 10Mar 27, 2024 to Aug 26, 2024
- Discretionary RAUM · $409M to $433MMar 27, 2024 to Aug 26, 2024
- HNW RAUM · $190M to $223MMar 27, 2024 to Aug 26, 2024
- Individual RAUM · $28.6M to $30.6MMar 27, 2024 to Aug 26, 2024
- RAUM · $409M to $433MMar 27, 2024 to Aug 26, 2024
Signals
8 dated events
- J•••• J•••••• M•••••• left N•• I••••• C•••••• for N•••••••• A•••• M••••••••• (registered 2026-02-10)Feb 12, 2026 · Advisor changed firm · fact
- A••••• N••••• W•••• left N•• I••••• C•••••• for S••••• W••••• M••••••••• (registered 2025-07-15)May 12, 2025 · Advisor changed firm · fact
- A•••• J••••• T••••••• (Partner And Portfolio Manager) appeared on Schedule A of N•• I••••• C••••••Feb 29, 2024 · Control person joined · fact
- Jasmin Erika Andraca Ramirez (Chief Compliance Officer & Impact Director) appeared on Schedule A of N•• I••••• C••••••Dec 1, 2023 · Control person joined · fact
- N•• I••••• C•••••• reported RAUM $274.5M, down 34% from $417.4M (2022-11-18 to 2023-03-24)Mar 24, 2023 · RAUM change · derived
- N•• I••••• C•••••• reported RAUM $456.1M, up 51% from $301.9M (2021-05-18 to 2021-11-17)Nov 17, 2021 · RAUM change · derived
- N•• I••••• C•••••• reported RAUM $314.1M, up 161% from $120.2M (2020-09-30 to 2021-01-28)Jan 28, 2021 · RAUM change · derived
- N•• I••••• C•••••• filed its initial SEC registration (Form ADV)Jul 3, 2019 · 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.
How to reach
public business contact points only, each with its source
- Business email
- info@addend.comreportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/nia-impact-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- addend.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 510-319-9221reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- addend.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $153Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026