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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
N••••• P•••••••• L••
Latest filing May 1, 2026
First filing on the tape Oct 29, 2021 · 17 filings
SEC status approved since Nov 29, 2021
RAUM
$510M
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
11
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$510M as of May 1, 2026
Mar 28, 2022$197M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 1, 2026
Mar 28, 20220 then
Employees (5.A)11 as of May 1, 2026
Mar 28, 20227 then
Private funds5 as of May 1, 2026
Mar 28, 202217 then
RAUM +32% over the last fiscal year+23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 1, 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
- $34.0MderivedRAUM 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
- +32%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 pooled vehiclesreportedItem 5.G
- Custody
- $510M, 15 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$510M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 15reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $510M for 15 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
36 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••••• N•••••• R•••••••• C••••• F••• I• L• | Private Equity Fund | $129M | 57 | Mar 31, 2023 |
| N••••• N•••••• R•••••••• C••••• F••• I• L• | Private Equity Fund | $103M | 83 | Mar 18, 2020 |
| N••••• G••• F••• 1• L• | Private Equity Fund | $87.8M | 59 | Oct 29, 2021 |
| N••••• N••••• C•••••••• S••••• L•• • S••••• S••••••• | Private Equity Fund | $10.7M | 1 | Mar 31, 2021 |
| 2••• A•• S•••• L••no longer reported | Private Equity Fund | $6.4M | 11 | Oct 12, 2018 |
| N••••• R•••••• 1• L•no longer reported | Private Equity Fund | $6.3M | 17 | Oct 12, 2018 |
| N••••• 1••• L•• | Private Equity Fund | $5.1M | 6 | Oct 29, 2021 |
| G• C••••••• 2• L•no longer reported | Private Equity Fund | $4.6M | 37 | Oct 12, 2018 |
| N••••• N••••• C•••••••• G• L••no longer reported | Private Equity Fund | $4.0M | 3 | Mar 18, 2020 |
| N••••• G••••• E••••• L•• | Private Equity Fund | $3.6M | 6 | Mar 18, 2020 |
| N••••• B••••••••• C•••••• 1• L•• | Private Equity Fund | $3.3M | 6 | Oct 29, 2021 |
| P•••• C••••••••• 1• L• | Private Equity Fund | $2.7M | 12 | Mar 31, 2021 |
| N••••• N••••• C•••••••• S••••• L•• • S••••• E•••••••• I• | Private Equity Fund | $2.6M | 5 | Mar 31, 2021 |
| N••••• U•••••••• I• L•no longer reported | Private Equity Fund | $2.4M | 5 | Mar 31, 2021 |
| N••••• N•••••• R•••••••• L•••••• F•••••• L••no longer reported | Private Equity Fund | $1.8M | 2 | Mar 18, 2020 |
| N••••• C•••••• S•• • S••••• N••••• N•••••• R•••••••• C••••• F••• I•no longer reported | Private Equity Fund | $1.7M | 3 | Mar 18, 2020 |
| N••••• N••••• C•••••••• S••••• L•• • S••••• E•••••••• I•• | Private Equity Fund | $1.5M | 5 | Mar 31, 2021 |
| N••••• D•••••• L•• | Private Equity Fund | $1.4M | 2 | Mar 31, 2021 |
| S•••• C••••••••• 1• L••no longer reported | Private Equity Fund | $1.3M | 5 | Oct 29, 2021 |
| S•••••••• C••••••••• 1• L•• | Private Equity Fund | $1.2M | 4 | Oct 29, 2021 |
| N••••• B•••••••• 1• L•• | Private Equity Fund | $900,000 | 2 | Mar 31, 2023 |
| 1•• C••••••••• 1• L•• | Private Equity Fund | $888,309 | 5 | Oct 29, 2021 |
| N••••• G••• F••• 1• S•• N••• L•• | Private Equity Fund | $649,712 | 0 | Mar 31, 2023 |
| G• P•••••• 1• L• | Private Equity Fund | $570,000 | 8 | Oct 12, 2018 |
| N••••• D•••••• L•• • S••••• R••••• 3•no longer reported | Private Equity Fund | $546,000 | 3 | Mar 18, 2020 |
| N••••• D•••••• • S••••• P••••••• I• | Private Equity Fund | $342,191 | 5 | Oct 12, 2018 |
| N••••• S••••• V• H•••••••• L•• | Private Equity Fund | $250,000 | 2 | Oct 29, 2021 |
| N••••• D••••••• L•• • S••••• T• Z••• I••••••••• 1•no longer reported | Private Equity Fund | $215,000 | 4 | Oct 12, 2018 |
| F••••• B••••••• L•no longer reported | Private Equity Fund | $200,000 | 4 | Mar 28, 2019 |
| N••••• B••••••••• 1• L•• | Private Equity Fund | $170,385 | 3 | Oct 29, 2021 |
| N••••• D•••••• L•• • S••••• R••••• 4•no longer reported | Private Equity Fund | $118,750 | 1 | Mar 18, 2020 |
| N••••• D•••••• L•• • S••••• T••••no longer reported | Private Equity Fund | $102,220 | 1 | Mar 18, 2020 |
| N••••• D•••••• • S••••• D•• I•no longer reported | Private Equity Fund | $70,000 | 5 | Oct 12, 2018 |
| N••••• D•••••• L•• • S••••• R••••• 1•no longer reported | Private Equity Fund | $16,600 | 3 | Mar 18, 2020 |
| N••••• N••••• C•••••••• S••••• L••no longer reported | Private Equity Fund | $0 | 0 | Mar 18, 2020 |
| N••••• C•••••••• 1• L•no longer reported | Private Equity Fund | $0 | 0 | Mar 28, 2019 |
Owners and control persons
Schedule A and B, latest filing
- C••••• T•••••• E•••• · Chief Financial Officercontrolsince 01/2022 · owns less than 5%
- F••••••• D•••••• E•••• · Co-Managercontrolsince 05/2016 · owns 50% to 75%
- G••••••• J•••• C•••• · Co-Managercontrolsince 05/2016 · owns 50% to 75%
- P•••••• Y•••••• I• · Chief Compliance Officersince 10/2024 · owns less than 5%
Related persons
Schedule D 7.A
- N••••• P••••••• G• I• L••pooled vehicle sponsorn
- N••••• P••••••• G• I••• L••pooled vehicle sponsorn
- N••••• P••••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $387M to $510MMay 7, 2025 to Mar 30, 2026
- Discretionary RAUM · $387M to $510MMay 7, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $387M to $510MMay 7, 2025 to Mar 30, 2026
- RAUM · $387M to $510MMay 7, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 7, 2025
- Advisory employees · 9 to 11Oct 18, 2024 to Mar 31, 2025
- Assets in custody · $324M to $387MOct 18, 2024 to Mar 31, 2025
- Employees · 9 to 11Oct 18, 2024 to Mar 31, 2025
- Discretionary RAUM · $324M to $387MOct 18, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $324M to $387MOct 18, 2024 to Mar 31, 2025
- RAUM · $324M to $387MOct 18, 2024 to Mar 31, 2025
- Related broker-dealer · true to falseMay 22, 2024 to Oct 18, 2024
- Accounts · 19 to 15Oct 6, 2023 to Mar 29, 2024
- BD registered reps · 2 to 0Oct 6, 2023 to Mar 29, 2024
- Pooled vehicle clients · 19 to 15Oct 6, 2023 to Mar 29, 2024
- Assets in custody · $271M to $324MOct 6, 2023 to Mar 29, 2024
- Private funds · 19 to 5Oct 6, 2023 to Mar 29, 2024
- Discretionary RAUM · $271M to $324MOct 6, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $271M to $324MOct 6, 2023 to Mar 29, 2024
- RAUM · $271M to $324MOct 6, 2023 to Mar 29, 2024
- Accounts · 17 to 19Mar 28, 2022 to Mar 31, 2023
- Advisory employees · 7 to 9Mar 28, 2022 to Mar 31, 2023
- Pooled vehicle clients · 17 to 19Mar 28, 2022 to Mar 31, 2023
- Assets in custody · $197M to $271MMar 28, 2022 to Mar 31, 2023
- Employees · 7 to 9Mar 28, 2022 to Mar 31, 2023
- HQ city · MIAMI to NEW YORKMar 28, 2022 to Mar 31, 2023
- HQ state · FL to NYMar 28, 2022 to Mar 31, 2023
- Private funds · 17 to 19Mar 28, 2022 to Mar 31, 2023
- Discretionary RAUM · $197M to $271MMar 28, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $197M to $271MMar 28, 2022 to Mar 31, 2023
- RAUM · $197M to $271MMar 28, 2022 to Mar 31, 2023
- Advisory employees · 6 to 7Oct 29, 2021 to Mar 28, 2022
- Assets in custody · $197M to $197MOct 29, 2021 to Mar 28, 2022
- Employees · 6 to 7Oct 29, 2021 to Mar 28, 2022
- Private funds · 34 to 17Oct 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $197M to $197MOct 29, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $197M to $197MOct 29, 2021 to Mar 28, 2022
- RAUM · $197M to $197MOct 29, 2021 to Mar 28, 2022
Signals
3 dated events
- N••••• P•••••••• L•• reported RAUM $509.7M, up 32% from $387.0M (2025-05-07 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Earle Trevor Cohen (Chief Financial Officer) appeared on Schedule A of N••••• P•••••••• L••Mar 31, 2023 · Control person joined · fact
- N••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Oct 29, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- N••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- N••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- n•••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-989-8900reportedpublic record, Form ADV, May 1, 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