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•••• P••• C•••••• M••••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Mar 28, 2018 · 10 filings
SEC status approved since Apr 27, 2018
RAUM
$1.7B
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
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.7B as of Mar 12, 2026
Mar 20, 2019$198M then
HNW client RAUM$0 as of Mar 12, 2026
Mar 20, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 12, 2026
Mar 20, 20190 then
Employees (5.A)7 as of Mar 12, 2026
Mar 20, 20194 then
Private funds7 as of Mar 12, 2026
Mar 20, 20192 then
RAUM +6.3% over the last fiscal year+5.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 12, 2026; 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
- $189MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 20%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
- +6.3%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
- 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.4B80%
- State and municipal entities$340M20%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.8 institutional_share=0.2 related_bd=false 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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•••• P••• C•••••• P••••••• I•• L• | Hedge Fund | $1.0B | 317 | Mar 20, 2019 |
| N•••• P••• C•••••• A•••• F•••• L• | Hedge Fund | $323M | 2 | Mar 21, 2024 |
| N•••• P••• C•••••• P•••••••• L• | Hedge Fund | $107M | 92 | Mar 28, 2018 |
| N•••• P••• S•••••• O••••••••• P••••••• I•• L•• | Hedge Fund | $43.8M | 23 | Mar 23, 2021 |
| N•••• P••• S•••••• O••••••••• P••••••• I••• L•• | Hedge Fund | $24.2M | 39 | Mar 29, 2022 |
| N•••• P••• C•••••• U•••• F•••• L• | Hedge Fund | $20.0M | 2 | Mar 21, 2024 |
| N•••• P••• S•••••• O••••••••• P••••••• L•• | Hedge Fund | $5.6M | 38 | Mar 25, 2020 |
| N•••• P••• S•••••• O••••••••• P••••••• I•• L••no longer reported | Hedge Fund | $100,000 | 0 | Mar 29, 2022 |
Owners and control persons
Schedule A and B, latest filing
- K••••• J•••••• S••••• · Managing Membercontrolsince 07/2015 · owns 50% to 75%
- K••••• M••••••• K•••• · Managing Membercontrolsince 07/2015 · owns 50% to 75%
- L••••• M•••••• · Chief Financial Officer / Chief Compliance Officercontrolsince 09/2018 · owns less than 5%
Related persons
Schedule D 7.A
- N•••• P••• C•••••• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.6B to $1.7BMar 20, 2025 to Mar 12, 2026
- Pooled vehicle RAUM · $1.3B to $1.4BMar 20, 2025 to Mar 12, 2026
- RAUM · $1.6B to $1.7BMar 20, 2025 to Mar 12, 2026
- Advisory employees · 5 to 4Mar 21, 2024 to Mar 20, 2025
- Employees · 9 to 7Mar 21, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 20, 2025
- Discretionary RAUM · $1.9B to $1.6BMar 21, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $1.6B to $1.3BMar 21, 2024 to Mar 20, 2025
- RAUM · $1.9B to $1.6BMar 21, 2024 to Mar 20, 2025
- Accounts · 7 to 9Mar 23, 2023 to Mar 21, 2024
- Pooled vehicle clients · 6 to 8Mar 23, 2023 to Mar 21, 2024
- Private funds · 5 to 7Mar 23, 2023 to Mar 21, 2024
- Discretionary RAUM · $1.5B to $1.9BMar 23, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $1.3B to $1.6BMar 23, 2023 to Mar 21, 2024
- RAUM · $1.5B to $1.9BMar 23, 2023 to Mar 21, 2024
- Advisory employees · 4 to 5Mar 29, 2022 to Mar 23, 2023
- Advisory activities · 1 to 2Mar 29, 2022 to Mar 23, 2023
- Pooled vehicle clients · 7 to 6Mar 29, 2022 to Mar 23, 2023
- Employees · 7 to 9Mar 29, 2022 to Mar 23, 2023
- Private funds · 6 to 5Mar 29, 2022 to Mar 23, 2023
- Discretionary RAUM · $2.2B to $1.5BMar 29, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $2.2B to $1.3BMar 29, 2022 to Mar 23, 2023
- RAUM · $2.2B to $1.5BMar 29, 2022 to Mar 23, 2023
- Accounts · 5 to 7Sep 3, 2021 to Mar 29, 2022
- Pooled vehicle clients · 5 to 7Sep 3, 2021 to Mar 29, 2022
- Employees · 6 to 7Sep 3, 2021 to Mar 29, 2022
- Private funds · 4 to 6Sep 3, 2021 to Mar 29, 2022
- Discretionary RAUM · $1.3B to $2.2BSep 3, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $1.3B to $2.2BSep 3, 2021 to Mar 29, 2022
- RAUM · $1.3B to $2.2BSep 3, 2021 to Mar 29, 2022
- Accounts · 4 to 5Mar 25, 2020 to Mar 23, 2021
- Advisory employees · 3 to 4Mar 25, 2020 to Mar 23, 2021
- Pooled vehicle clients · 4 to 5Mar 25, 2020 to Mar 23, 2021
- Employees · 5 to 6Mar 25, 2020 to Mar 23, 2021
- Private funds · 3 to 4Mar 25, 2020 to Mar 23, 2021
- Discretionary RAUM · $567M to $1.3BMar 25, 2020 to Mar 23, 2021
- Pooled vehicle RAUM · $567M to $1.3BMar 25, 2020 to Mar 23, 2021
- RAUM · $567M to $1.3BMar 25, 2020 to Mar 23, 2021
- Advisory employees · 2 to 3Mar 20, 2019 to Mar 25, 2020
- Advisory activities · 2 to 1Mar 20, 2019 to Mar 25, 2020
Signals
7 dated events
- N•••• P••• C•••••• M••••••••• L•• reported RAUM $1.9B, up 28% from $1.5B (2023-03-23 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- N•••• P••• C•••••• M••••••••• L•• reported RAUM $1.5B, down 32% from $2.2B (2022-03-29 to 2023-03-23)Mar 23, 2023 · RAUM change · derived
- N•••• P••• C•••••• M••••••••• L•• reported RAUM $2.2B, up 66% from $1.3B (2021-09-03 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- N•••• P••• C•••••• M••••••••• L•• reported RAUM $1.3B, up 130% from $567.2M (2020-03-25 to 2021-03-23)Mar 23, 2021 · RAUM change · derived
- N•••• P••• C•••••• M••••••••• L•• reported RAUM $567.2M, up 186% from $198.2M (2019-03-20 to 2020-03-25)Mar 25, 2020 · RAUM change · derived
- M•••••• Lorch (Chief Financial Officer / Chief Compliance Officer) appeared on Schedule A of N•••• P••• C•••••• M••••••••• L••Mar 20, 2019 · Control person joined · fact
- N•••• P••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 28, 2018 · 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
- Website
- N••••P•••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (212) 209-3904reportedpublic record, Form ADV, Mar 12, 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