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••••••• R••• E••••• A••••••• I•• L•••
Latest filing Mar 29, 2018
First filing on the tape Sep 13, 2017 · 2 filings
RAUM
$47.0M
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$47.0M as of Mar 29, 2018
Sep 13, 2017$46.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Sep 13, 20170 then
Employees (5.A)0 as of Mar 29, 2018
Sep 13, 20170 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 29, 2018; 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
- $47.0MderivedRAUM 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $47.0M, 1 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)
- 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)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$47.0M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $47.0M for 1 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
- J•••• D•••• D•••••• to N••••••• R••• E••••• A••••••• V••• L•••Sep 18, 2018 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• J••••• D•••• · Presidentcontrolsince 10/2014 · owns less than 5%
- E••••••••• S••••• B•••• · G•••••• Counsel And Secretarycontrolsince 10/2014 · owns less than 5%
- M•••••••• M••••••• R••• · Executive Vpcontrolsince 10/2014 · owns less than 5%
- M••••• B••••• D••• · Executive Vpcontrolsince 10/2014 · owns less than 5%
- N•••••• D•••••• D•••• · Assistant Treasurercontrolsince 10/2014 · owns less than 5%
- W••••••••• F••••• G••••• · Treasurercontrolsince 10/2014 · owns less than 5%
- D••••••• J••••• D•••• · Membercontrolsince 03/2012 · owns 75% or more of N••••••• A••••••• G•• L••
- D••••••• N••••• M•••• · Trustee For T•• D•••••• I••••••••• T••••controlsince 10/2015 · owns F of T•• D•••••• I••••••••• T••••
- S••••••• T•••••• J••••• · Chief Compliance Officersince 10/2014 · owns less than 5%
Entity owners
- N••••••• A•••••••• L••• · L•••••• Partnerdirect · owns 75% or more
- N••••••• R••• E••••• A••••••• G•• L•• · G•••••• Partnerdirect · owns less than 5%
- N••••••• A••••••• G•• L•• · G•••••• Partnerindirect · owns F of N••••••• A•••••••• L•••
- N••••••• A•••••••• L••• · Memberindirect · owns 75% or more of N••••••• R••• E••••• A••••••• G•• L••
- T•• D•••••• I••••••••• T•••• · L•••••• Partnerindirect · owns 75% or more of N••••••• A•••••••• L•••
Related persons
Schedule D 7.A
- A••• C•••••• M••••••••• L•••investment adviserbankpooled vehicle sponsornRAUM $2.8M
- A••• C•• M••••••••• G•• L••pooled vehicle sponsorn
- A••• F•••••• G•• L•••pooled vehicle sponsorn
- B•••••• S•••••••• C••••• P••••••• I• G•• L••pooled vehicle sponsorn
- B•••••• S•••••••• C••••• P••••••• I• S•• G•• L••pooled vehicle sponsorn
- F••••• E• • P• O••••••••• G•• L••investment adviserbankpooled vehicle sponsornRAUM $74.1M
- G••••••••• R•• L••real estaten
- G•••••• B•• A•••••••• L•••investment adviserbankpooled vehicle sponsornRAUM $12.1M
- G•••••• B•• L••••••••• C••••• G•• L••pooled vehicle sponsorn
- H••••••• C•••••• F•••• D••••••••• I•••broker-dealern
- H••••••• C•••••• H••••••••• A•••••••• L•••investment adviserbankpooled vehicle sponsornRAUM $26.0M
- H••••••• C•••••• L••• G•• L••pooled vehicle sponsorn
- N••••••• Asset Management, L.P.investment adviserbanknRAUM $2.8B
- H••••••• C•••••• M••••••••• K•••• L••••••pooled vehicle sponsorn
- H••••••• C•••••• M••••••••• L•••investment adviserbankpooled vehicle sponsornRAUM $127M
- H••••••• G•••••• P••••••• L•••pooled vehicle sponsorn
- H••••••• M•••• S••••••• C••••• F••• G•• L•••pooled vehicle sponsorn
- H••••••• R••••••••• C•••••• P••••••• G•• L••pooled vehicle sponsorn
- N•••••• W••••• A•••••••broker-dealerinvestment adviserinvestment companynRAUM $882,487
- N•••••• S••custodiann
- N•••••• T••••• I•••real estaten
- N••••••• A•••••••• L•••investment adviserbanknRAUM $131M
- N••••••• H••••••••• T••••• I•••n
- N••••••• M•••• F••••• C•••••• T••••• I•••n
- N••••••• R• F•••••• A•••••• G•• L••pooled vehicle sponsorn
- N••••••• R••• E••••• A••••••• G•• L••pooled vehicle sponsorn
- N••••••• R••• E••••• A•••••••• L•••investment advisernRAUM $976M
- S•••••••• G•• L••pooled vehicle sponsorn
Advisers that list N••••••• R••• E••••• A••••••• I•• L••• as a related person
- 154706 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $46.9M to $47.0MSep 13, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Sep 13, 2017 to Mar 29, 2018
- Discretionary RAUM · $46.9M to $47.0MSep 13, 2017 to Mar 29, 2018
- RAUM · $46.9M to $47.0MSep 13, 2017 to Mar 29, 2018
Signals
1 dated events
- N••••••• R••• E••••• A••••••• I•• L••• filed its initial SEC registration (Form ADV)Sep 13, 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.
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