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••••••• L••
Latest filing May 6, 2024
First filing on the tape May 24, 2017 · 35 filings
RAUM
$11.9M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$11.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$11.9M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$11.9M as of Feb 16, 2024
Feb 2, 2018$33.0M then
HNW client RAUM$4.7M as of Feb 16, 2024
Feb 2, 2018$13.2M then
State-registered IARs (5.B.3)1 as of Feb 16, 2024
Feb 2, 20181 then
Employees (5.A)2 as of Feb 16, 2024
Feb 2, 20182 then
Private funds: no history
RAUM -4.9% over the last fiscal year-23% a year over threeIARs 1 to 0
Practice profile
derived from the filing of May 6, 2024; every figure names its basis
- RAUM per advisor
- $11.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $146,833derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$6.7M56%
- High-net-worth individuals$4.7M40%
- Pension and profit-sharing plans$459,4263.9%
- Individual clients
- 32reported
- HNW clients
- 3reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 81reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• R•••••• M••••• | Pittsford, Ny | Apr 13, 2021 | 17 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- D••••• N••••• M••••• to Q••••••••• C••••••• L••Dec 31, 2022 · RIA to a newly registered adviser
- D•••• J•••• P•••• to P•••• W••••• M•••••••••Apr 5, 2022 · RIA to RIA
Joined, latest
- D•••• J•••• P•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 1, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• D•••••••• N•• · Director Of Operationscontrolsince 02/2019 · owns less than 5%
- M•••••• M••••••• R•••••• · Chief Compliance Officercontrolsince 01/2024 · owns 10% to 25%
- M•••••• T•••••••• J•••• · Membercontrolsince 05/2017 · owns 75% or more of M•• H•••••••• L••
Entity owners
- M•• H•••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- M•• I•••••••• A••••• L••real estatey
Advisers that list N•••• C••••••• L•• as a related person
- 308176 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- State-registered IARs · 1 to 0Apr 11, 2024 to Apr 15, 2024
- Accounts · 43 to 81Jun 14, 2023 to Feb 16, 2024
- HNW clients · 1 to 3Jun 14, 2023 to Feb 16, 2024
- Individual clients · 40 to 32Jun 14, 2023 to Feb 16, 2024
- Pension plan clients · 2 to 1Jun 14, 2023 to Feb 16, 2024
- Discretionary RAUM · $11.6M to $11.4MJun 14, 2023 to Feb 16, 2024
- HNW RAUM · $3.0M to $4.7MJun 14, 2023 to Feb 16, 2024
- Individual RAUM · $8.6M to $6.7MJun 14, 2023 to Feb 16, 2024
- Non-discretionary RAUM · $873,371 to $459,426Jun 14, 2023 to Feb 16, 2024
- Pension RAUM · $873,371 to $459,426Jun 14, 2023 to Feb 16, 2024
- RAUM · $12.5M to $11.9MJun 14, 2023 to Feb 16, 2024
- Accounts · 65 to 43Apr 5, 2022 to Dec 21, 2022
- Advisory employees · 2 to 1Apr 5, 2022 to Dec 21, 2022
- HNW clients · 2 to 1Apr 5, 2022 to Dec 21, 2022
- Individual clients · 57 to 40Apr 5, 2022 to Dec 21, 2022
- Pension plan clients · 6 to 2Apr 5, 2022 to Dec 21, 2022
- Employees · 3 to 2Apr 5, 2022 to Dec 21, 2022
- State-registered IARs · 2 to 1Apr 5, 2022 to Dec 21, 2022
- Discretionary RAUM · $22.9M to $11.6MApr 5, 2022 to Dec 21, 2022
- HNW RAUM · $6.5M to $3.0MApr 5, 2022 to Dec 21, 2022
- Individual RAUM · $18.0M to $8.6MApr 5, 2022 to Dec 21, 2022
- Non-discretionary RAUM · $3.6M to $873,371Apr 5, 2022 to Dec 21, 2022
- Pension RAUM · $2.0M to $873,371Apr 5, 2022 to Dec 21, 2022
- RAUM · $26.5M to $12.5MApr 5, 2022 to Dec 21, 2022
- Advisory employees · 3 to 2Feb 28, 2022 to Apr 5, 2022
- Employees · 5 to 3Feb 28, 2022 to Apr 5, 2022
- State-registered IARs · 3 to 2Feb 28, 2022 to Apr 5, 2022
- Accounts · 80 to 65Oct 8, 2021 to Feb 28, 2022
- Individual clients · 72 to 57Oct 8, 2021 to Feb 28, 2022
- Discretionary RAUM · $24.0M to $22.9MOct 8, 2021 to Feb 28, 2022
- HNW RAUM · $6.3M to $6.5MOct 8, 2021 to Feb 28, 2022
- Individual RAUM · $19.0M to $18.0MOct 8, 2021 to Feb 28, 2022
- Non-discretionary RAUM · $3.2M to $3.6MOct 8, 2021 to Feb 28, 2022
- Pension RAUM · $1.9M to $2.0MOct 8, 2021 to Feb 28, 2022
- RAUM · $27.2M to $26.5MOct 8, 2021 to Feb 28, 2022
- Accounts · 79 to 80Jan 29, 2021 to Aug 16, 2021
- Advisory employees · 4 to 3Jan 29, 2021 to Aug 16, 2021
- Individual clients · 71 to 72Jan 29, 2021 to Aug 16, 2021
- Employees · 6 to 5Jan 29, 2021 to Aug 16, 2021
- State-registered IARs · 4 to 3Jan 29, 2021 to Aug 16, 2021
Signals
8 dated events
- D••••• N••••• M••••• left N•••• C••••••• L•• for Q••••••••• C••••••• L•• (registered 2022-12-07)Dec 31, 2022 · Advisor changed firm · fact
- Rowland Matthew Marino (Director Of Investments) appeared on Schedule A of N•••• C••••••• L••Dec 21, 2022 · Control person joined · fact
- D•••• J•••• P•••• left N•••• C••••••• L•• for P•••• W••••• M••••••••• (registered 2022-03-17)Apr 5, 2022 · Advisor changed firm · fact
- N••••• D••••• M••••• (Chief Operating Officer) no longer on Schedule A of N•••• C••••••• L•• (listed 2022-02-28, absent 2022-04-05)Apr 5, 2022 · Control person left · inference
- N••••• D••••• M••••• (Chief Operating Officer) appeared on Schedule A of N•••• C••••••• L••Aug 16, 2021 · Control person joined · fact
- Nmn Domenica Marino (Chief Compliance Officer) appeared on Schedule A of N•••• C••••••• L••Aug 16, 2021 · Control person joined · fact
- Rowland Matthew Marino (Member) no longer on Schedule A of N•••• C••••••• L•• (listed 2020-06-18, absent 2020-09-11)Sep 11, 2020 · Control person left · inference
- N•••• C••••••• L•• filed its initial SEC registration (Form ADV)May 24, 2017 · 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
- Firm profile
- linkedin.com/company/ncapcoreportedpublic record, Form ADV, Sep 18, 2026
- Website
- nexuscapitalco.comreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $11.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026