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Former SEC-registered adviser

N•••• S•••••••• A••••••• L••

Former SEC-registered adviserMountain View, CaliforniaCRD 297224SEC 801-114870IAPD
Latest filing Feb 20, 2019
First filing on the tape Feb 20, 2019 · 2 filings
RAUM
$1.5M
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
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$1.5M gross assets
History
2 filings and snapshots on the tape
RAUM$1.5M as of Feb 20, 2019
Feb 20, 2019$1.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 20, 2019
Feb 20, 20190 then
Employees (5.A)5 as of Feb 20, 2019
Feb 20, 20195 then
Private funds1 as of Feb 20, 2019
Feb 20, 20191 then
Practice profile
derived from the filing of Feb 20, 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
unknownderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM 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 assets, performance-based, otherreportedItem 5.E
Advisory activities
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
  • 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)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.5M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N•••• S•••••••• V••••••• V••• L••Other Private Fund$1.5M8Feb 20, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • S•••• K••• N•••••• · Chief Executive Officer Of N•••• S•••••••• A••••••• L•• And N•••• S•••••••• C•••••• L••control
        since 04/2018 · owns less than 5%
      • W•••••• G••••••• L•••• · President Of N•••• S•••••••• A••••••• L•• And N•••• S•••••••• C•••••• L••control
        since 04/2018 · owns less than 5%
      • Z••••••••• E•••••••• · Chief Operating Officer Of N•••• S•••••••• A••••••• L•• And N•••• S•••••••• C•••••• L••control
        since 04/2018 · owns less than 5%
      • L•••••••• J•••••• T••• · Shareholder - Common Stockcontrol
        since 01/2012 · owns 25% to 50% of Z••••••• I•••
      • M••••••• M••••• L••••••• · Chief Compliance Officer Of N•••• S•••••••• A••••••• L•• And N•••• S•••••••• C•••••• L••
        since 04/2018 · owns less than 5%
      Entity owners
      • Z•••••• H•••••• C•••••• L•• · Member
        direct · owns 75% or more
      • Z••••••• I••• · Member
        indirect · owns 75% or more of Z•••••• H•••••• C•••••• L••
      • E•• ••••••••• L•••••• · Shareholder - Preferred Stock
        indirect · owns 25% to 50% of Z••••••• I•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • N•••• S•••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 20, 2019 · 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