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••••• G••••• C••••• L••
Latest filing Jul 21, 2026
First filing on the tape Mar 13, 2017 · 30 filings
SEC status approved since Mar 20, 2017
RAUM
$6.4B
reported, Item 5.F
Discretionary
60%
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
16
16 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
24
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$6.4B as of Jul 21, 2026
Mar 29, 2018$894M then
HNW client RAUM$0 as of Jul 21, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jul 21, 2026
Mar 29, 20180 then
Employees (5.A)16 as of Jul 21, 2026
Mar 29, 20189 then
Private funds24 as of Jul 21, 2026
Mar 29, 20184 then
RAUM -20% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 21, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- $238MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 60%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -20%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
- $887M, 7 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$5.3B83%
- Corporations and businesses$1.1B17%
- Insurance companies$6.3M0.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 27reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $887M for 7 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.83 institutional_share=0.0 related_bd=true related_bank=true 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
20 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••••• 2•••••• L••• | Securitized Asset Fund | $509M | 0 | Mar 27, 2019 |
| N•• E••••••• L••• M••••• F••• L• | Hedge Fund | $459M | 2 | Aug 23, 2012 |
| N••••• E••• C•• I• D•• | Securitized Asset Fund | $429M | 0 | Mar 31, 2023 |
| N••••• E••• C•• I• D•• | Securitized Asset Fund | $425M | 0 | Mar 30, 2024 |
| N•• 2••••• L••• | Securitized Asset Fund | $399M | 0 | Mar 31, 2023 |
| N••••• 2••••• L••• | Securitized Asset Fund | $397M | 0 | Mar 29, 2018 |
| N••••• E••• C•• I•• D•• | Securitized Asset Fund | $397M | 0 | Mar 31, 2023 |
| N••••• 2••••• L••• | Securitized Asset Fund | $391M | 0 | Mar 27, 2019 |
| N••••• 2•••••• L••• | Securitized Asset Fund | $381M | 0 | Mar 27, 2019 |
| N••••• E••• C•• I• D•• | Securitized Asset Fund | $376M | 0 | Apr 29, 2022 |
| N••••• 2••••• L••• | Securitized Asset Fund | $351M | 0 | Mar 29, 2021 |
| N••••• 2••••• L••• | Securitized Asset Fund | $295M | 0 | Mar 27, 2020 |
| N••••• 2••••• L••• | Securitized Asset Fund | $289M | 0 | Mar 31, 2023 |
| N••••• 2•••••• L••• | Securitized Asset Fund | $196M | 0 | Mar 29, 2018 |
| N•• L••• F••• L• | Hedge Fund | $178M | 1 | May 30, 2017 |
| K•••• P•••• 2••••• L••• | Securitized Asset Fund | $151M | 5 | Jun 1, 2023 |
| A•• C••••• O••••••••• P••••••• M••••• F••• I•• L••• | Hedge Fund | $138M | 2 | Jun 13, 2019 |
| N••••• 2••••• L••• | Securitized Asset Fund | $133M | 0 | Aug 30, 2017 |
| N••••• C•• S•••• L•• | Private Equity Fund | $4.0M | 22 | Mar 29, 2018 |
| N••••• C•• S••••• L•• | Private Equity Fund | $3.0M | 22 | Mar 27, 2019 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• J•••••• W•••••• · Chief Financial Officercontrolsince 07/2023 · owns less than 5%
- C••••••••• K••••• · Member Of Board Of Directorscontrolsince 02/2017 · owns less than 5%
- D•••• A••••••••• E••••••• · Chief Executive Officercontrolsince 07/2023 · owns less than 5%
- G•••• P••••••• J••• · Member Of Board Of Directorscontrolsince 02/2017 · owns less than 5%
- I•••••• J•••••••• R••••• · Chief Investment Officercontrolsince 07/2023 · owns less than 5%
- R•••• J•••• H•••••• · Deputy General Counsel, Chief Compliance Officer And Secretarycontrolsince 01/2023 · owns less than 5%
Entity owners
- N••••• N•• H••••••• L•• · Member Of N••••• G••••• C••••• L••direct · owns 75% or more
- G•• O••••••••• F••• M••••••••• L••• · General Partnerindirect · owns F of G••••• G••• C•••••• O••••••••• F•••••• L•••
- G•• O••••••••• F••• M••••••••• L••• · General Partnerindirect · owns F of N••••• N•••• S•••••••• L•••
- G•• O••••••••• F••• M••••••••• L••• · General Partnerindirect · owns F of G••••• G••• C•••••• O••••••••• F•••• L•
- G•••• N••••• I••••••••• L••• · Limited Partnerindirect · owns 75% or more of N••••• F•••••••• G••••• L•••
- G••••• G••• C•••••• O••••••••• F•••••• L••• · Memberindirect · owns 25% to 50% of N••••• N•••• B••••••• L••
- G••••• G••• C•••••• O••••••••• F•••• L• · Limited Partnerindirect · owns 50% to 75% of N••••• N•••• S•••••••• L•••
- N••••• A•••• M••••••••• L•• · Memberindirect · owns 75% or more of N••••• N•• H••••••• L••
- N••••• F•••••••• G•••• G• L••• · General Partnerindirect · owns F of N••••• F•••••••• G••••• L•••
- N••••• F•••••••• G••••• L••• · Memberindirect · owns 75% or more of N••••• A•••• M••••••••• L••
- N••••• N•••• B••••••• L•• · Limited Partnerindirect · owns 25% to 50% of N••••• N•••• S•••••••• L•••
- N••••• N•••• S•••••••• L••• · Limited Partnerindirect · owns 75% or more of G•••• N••••• I••••••••• L•••
Related persons
Schedule D 7.A
- 1••• S••••••••• I••broker-dealern
- C•••••• R•• I•••real estaten
- G•• O••••••••• F••• M••••••••• L•••investment adviserpooled vehicle sponsory
- G••••• G••• C••••••investment adviserpooled vehicle sponsornRAUM $11B
- L••••••• R•• I•••real estaten
- M•••• R• L•••real estaten
- N••••• A••••••••• I••••••••• L••investment adviserpooled vehicle sponsornRAUM $1.4B
- N••••• G••••• C••••• ••• L••investment adviserpooled vehicle sponsory
- N••••• L••• A•• A•••••• C••••••real estaten
- N••••• L••• I•••••••• C••••••real estaten
- N••••• L••• I•••••••• C•••••• O• K•••••real estaten
- N••••• P•••••• C••••• G• L••investment adviserbankpooled vehicle sponsory
- N••••• P•••••• C••••• L••investment adviserbankyRAUM $1.0B
- N••••• R• ••••••• L•••real estaten
- P•• V••••••• I•••••••• C••••••real estaten
- S•••••• R•• I•••real estaten
Advisers that list N••••• G••••• C••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Darien, CT6 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 30, 2026discretionary share of RAUM moved from 77.0% to 60.0% between the annual amendments of 2025-04-10 and 2026-03-30peers: asset managers, $5B to $20B (684)
What changed
consecutive filings, newest first
- Accounts · 25 to 27Apr 10, 2025 to Mar 30, 2026
- Advisory employees · 18 to 16Apr 10, 2025 to Mar 30, 2026
- Corporate clients · 0 to 2Apr 10, 2025 to Mar 30, 2026
- Pooled vehicle clients · 22 to 24Apr 10, 2025 to Mar 30, 2026
- Assets in custody · $1.5B to $887MApr 10, 2025 to Mar 30, 2026
- Employees · 19 to 16Apr 10, 2025 to Mar 30, 2026
- Private funds · 22 to 24Apr 10, 2025 to Mar 30, 2026
- Discretionary RAUM · $6.2B to $3.9BApr 10, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $1.8B to $2.6BApr 10, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $6.5B to $5.3BApr 10, 2025 to Mar 30, 2026
- RAUM · $8.0B to $6.4BApr 10, 2025 to Mar 30, 2026
- Accounts · 23 to 25Sep 25, 2024 to Apr 10, 2025
- Pooled vehicle clients · 20 to 22Sep 25, 2024 to Apr 10, 2025
- Assets in custody · $1.5B to $1.5BSep 25, 2024 to Apr 10, 2025
- Employees · 20 to 19Sep 25, 2024 to Apr 10, 2025
- Financial planning clients · unset to Sep 25, 2024 to Apr 10, 2025
- Private funds · 20 to 22Sep 25, 2024 to Apr 10, 2025
- Discretionary RAUM · $6.8B to $6.2BSep 25, 2024 to Apr 10, 2025
- Non-discretionary RAUM · $1.6B to $1.8BSep 25, 2024 to Apr 10, 2025
- Pooled vehicle RAUM · $6.7B to $6.5BSep 25, 2024 to Apr 10, 2025
- RAUM · $8.4B to $8.0BSep 25, 2024 to Apr 10, 2025
- Accounts · 17 to 23Jun 4, 2024 to Sep 25, 2024
- Advisory employees · 14 to 18Jun 4, 2024 to Sep 25, 2024
- Pooled vehicle clients · 16 to 20Jun 4, 2024 to Sep 25, 2024
- Assets in custody · $7.3M to $1.5BJun 4, 2024 to Sep 25, 2024
- Employees · 16 to 20Jun 4, 2024 to Sep 25, 2024
- Private funds · 16 to 20Jun 4, 2024 to Sep 25, 2024
- Discretionary RAUM · $3.0B to $6.8BJun 4, 2024 to Sep 25, 2024
- Non-discretionary RAUM · $1.6B to $1.6BJun 4, 2024 to Sep 25, 2024
- Pooled vehicle RAUM · $4.6B to $6.7BJun 4, 2024 to Sep 25, 2024
- RAUM · $4.6B to $8.4BJun 4, 2024 to Sep 25, 2024
- Accounts · 18 to 17Jul 28, 2023 to Mar 30, 2024
- Advisory employees · 13 to 14Jul 28, 2023 to Mar 30, 2024
- Business name · N••••• C•••••••• C••••• L•• to N••••• G••••• C••••• L••Jul 28, 2023 to Mar 30, 2024
- Corporate clients · unset to 0.0Jul 28, 2023 to Mar 30, 2024
- Pooled vehicle clients · 15 to 16Jul 28, 2023 to Mar 30, 2024
- Assets in custody · $0 to $7.3MJul 28, 2023 to Mar 30, 2024
- Employees · 14 to 16Jul 28, 2023 to Mar 30, 2024
- HQ city · DARIEN to NEW YORKJul 28, 2023 to Mar 30, 2024
- HQ state · CT to NYJul 28, 2023 to Mar 30, 2024
Signals
18 dated events
- N••••• G••••• C••••• L•• reported RAUM $8.4B, up 81% from $4.6B (2024-06-04 to 2024-09-25)Sep 25, 2024 · RAUM change · derived
- Alexander Jackson (Chief Investment Officer And Member Of The Board Of Directors) no longer on Schedule A of N••••• G••••• C••••• L•• (listed 2023-03-31, absent 2023-07-28)Jul 28, 2023 · Control person left · inference
- Alicia Christine Janofsky (Chief Financial Officer) no longer on Schedule A of N••••• G••••• C••••• L•• (listed 2023-03-31, absent 2023-07-28)Jul 28, 2023 · Control person left · inference
- Robert Jonathan Insull (Chief Investment Officer) appeared on Schedule A of N••••• G••••• C••••• L••Jul 28, 2023 · Control person joined · fact
- Emmanuel Alexander Dias (Chief Executive Officer) appeared on Schedule A of N••••• G••••• C••••• L••Jul 28, 2023 · Control person joined · fact
- William Justin Banulski (Chief Financial Officer) appeared on Schedule A of N••••• G••••• C••••• L••Jul 28, 2023 · Control person joined · fact
- D•••• P••••••• (Chief Financial Officer) no longer on Schedule A of N••••• G••••• C••••• L•• (listed 2023-01-10, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Alicia Christine Janofsky (Chief Financial Officer) appeared on Schedule A of N••••• G••••• C••••• L••Mar 31, 2023 · Control person joined · fact
- Herbert John Roth (Counsel, Chief Compliance Officer And Secretary) appeared on Schedule A of N••••• G••••• C••••• L••Jan 10, 2023 · Control person joined · fact
- Geraldine Alfino (Chief Compliance Officer, Counsel And Secretary) no longer on Schedule A of N••••• G••••• C••••• L•• (listed 2022-05-02, absent 2023-01-10)Jan 10, 2023 · Control person left · inference
- Herbert John Roth (Chief Compliance Officer) no longer on Schedule A of N••••• G••••• C••••• L•• (listed 2021-11-22, absent 2022-02-10)Feb 10, 2022 · Control person left · inference
- Geraldine Alfino (Counsel And Secretary) appeared on Schedule A of N••••• G••••• C••••• L••Nov 22, 2021 · Control person joined · fact
- Arthur Thomas Williams (Chief Financial Officer) no longer on Schedule A of N••••• G••••• C••••• L•• (listed 2020-05-11, absent 2020-09-17)Sep 17, 2020 · Control person left · inference
- D•••• P••••••• (Chief Financial Officer) appeared on Schedule A of N••••• G••••• C••••• L••Sep 17, 2020 · Control person joined · fact
- N••••• G••••• C••••• L•• reported RAUM $3.0B, up 41% from $2.1B (2019-03-27 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- N••••• G••••• C••••• L•• reported RAUM $2.1B, up 135% from $893.6M (2019-02-06 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- N••••• G••••• C••••• L•• reported RAUM $893.6M, up 103% from $439.2M (2017-08-30 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- N••••• C•••••••• C••••• L•• filed its initial SEC registration (Form ADV)Mar 13, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- N••••• G••••• C••••• L•• · Independent Sponsorsshared crd · capital_provider
- N••••• G••••• C••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/nassau-global-credit-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- ngc.nfg.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (646) 630-8376reportedpublic record, Form ADV, Jul 21, 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
- Asset manager (funds and pooled vehicles)deriveda 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