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Former SEC-registered adviser

N••••••••• I•••••••••

Former SEC-registered adviserNew Yok, New YorkCRD 290141SEC 801-112811IAPD
Legal name N••••••••• I••••••••• L••
Latest filing Feb 26, 2019
First filing on the tape Oct 6, 2017 · 6 filings
RAUM
$74.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
65%
$48.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$74.0M as of Feb 26, 2019
Aug 1, 2018$33.9M then
HNW client RAUM: $252,807
State-registered IARs (5.B.3)0 as of Feb 26, 2019
Oct 6, 20170 then
Employees (5.A)6 as of Feb 26, 2019
Oct 6, 20175 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 26, 2019; 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
$252,807derivedHNW RAUM over HNW clients
Average account
$12.3MderivedRAUM 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
unknownderived2 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 individuals, portfolio management for businesses and institutionsreportedItem 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)
  • 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$48.0M65%
  • Corporations and businesses$25.7M35%
  • High-net-worth individuals$252,8070.3%
Individual clients
4reported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
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
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• M••••••• A••••• · Presidentcontrol
        since 01/2018 · owns less than 5%
      • D•••••••• M••••••• A••••• · Portfolio Manager & Trader
        since 10/2018 · owns less than 5%
      • M•••••• D••••••••• R•••••• · Chief Compliance Officer
        since 02/2018 · owns less than 5%
      • R•••••• H•••••• J••••••••• · Portfolio Manager
        since 02/2018 · owns less than 5%
      Entity owners
      • N••••••••• C••••••••• · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Boston, MA2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 6
        Aug 1, 2018 to Feb 26, 2019
      • Advisory employees · 2 to 3
        Aug 1, 2018 to Feb 26, 2019
      • BD registered reps · 0 to 1
        Aug 1, 2018 to Feb 26, 2019
      • Corporate clients · unset to 1.0
        Aug 1, 2018 to Feb 26, 2019
      • HNW clients · unset to 1.0
        Aug 1, 2018 to Feb 26, 2019
      • Individual clients · unset to 4.0
        Aug 1, 2018 to Feb 26, 2019
      • Employees · 8 to 6
        Aug 1, 2018 to Feb 26, 2019
      • HQ city · BOSTON to NEW YOK
        Aug 1, 2018 to Feb 26, 2019
      • HQ state · MA to NY
        Aug 1, 2018 to Feb 26, 2019
      • State-registered IARs · 1 to 0
        Aug 1, 2018 to Feb 26, 2019
      • Other offices · 0 to 1
        Aug 1, 2018 to Feb 26, 2019
      • Discretionary RAUM · $33.9M to $74.0M
        Aug 1, 2018 to Feb 26, 2019
      • HNW RAUM · unset to 252807.0
        Aug 1, 2018 to Feb 26, 2019
      • Individual RAUM · unset to 48002283.0
        Aug 1, 2018 to Feb 26, 2019
      • RAUM · $33.9M to $74.0M
        Aug 1, 2018 to Feb 26, 2019
      • Accounts · unset to 5.0
        Jun 27, 2018 to Aug 1, 2018
      • Advisory employees · 3 to 2
        Jun 27, 2018 to Aug 1, 2018
      • Employees · 5 to 8
        Jun 27, 2018 to Aug 1, 2018
      • Discretionary RAUM · unset to 33879939.0
        Jun 27, 2018 to Aug 1, 2018
      • Non-discretionary RAUM · unset to 0.0
        Jun 27, 2018 to Aug 1, 2018
      • RAUM · unset to 33879939.0
        Jun 27, 2018 to Aug 1, 2018
      • State-registered IARs · 0 to 1
        Mar 19, 2018 to Jun 27, 2018
      • Advisory employees · 5 to 3
        Oct 6, 2017 to Mar 9, 2018
      • BD registered reps · 2 to 0
        Oct 6, 2017 to Mar 9, 2018
      • HQ city · NEW YORK to BOSTON
        Oct 6, 2017 to Mar 9, 2018
      • HQ state · NY to MA
        Oct 6, 2017 to Mar 9, 2018
      • Other offices · 1 to 0
        Oct 6, 2017 to Mar 9, 2018
      Signals
      2 dated events
      • Hegenbart Lee Christine Todd (President/Portfolio Manager) no longer on Schedule A of N••••••••• I••••••••• (listed 2018-08-01, absent 2019-02-26)
        Feb 26, 2019 · Control person left · inference
      • N••••••••• I••••••••• filed its initial SEC registration (Form ADV)
        Oct 6, 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