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N• M••••••••• L••

Wealth manager with institutional or fund businessSEC-registered· Devonshire, Devonshirewebsite

Wealth manager with institutional or fund business, based in Devonshire, Devonshire, reporting $850M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$850M
Form ADV
Advisors
0
IAPD
RAUM change, 1 year
+0.5%
Form ADV, consecutive annual filings
Private clients
22%
of RAUM, $187M
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 297781 · SEC 801-113802 · 15 filingsShow
CRD 297781SEC 801-113802First filing on the tape Jul 9, 2018, latest Jun 17, 2026SEC status approved since Aug 8, 2018IAPD
RAUM
$850M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
22%
$187M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape

RAUM +5.2% a year over three years · the tape starts Jul 9, 2018

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$850M as of Jun 17, 2026
Mar 21, 2019$692M then
HNW client RAUM$26.2M as of Jun 17, 2026
Mar 21, 2019$70.7M then
State-registered IARs (5.B.3)0 as of Jun 17, 2026
Mar 21, 20190 then
Employees (5.A)2 as of Jun 17, 2026
Mar 21, 20192 then
Private funds: no history
RAUM +0.5% over the last fiscal year+5.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 17, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
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
$3.7MderivedHNW RAUM over HNW clients
Average account
$40.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
52%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year
+0.5%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-7.1%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

52% sovereign wealth funds, 25% corporations and businesses, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow
  • Sovereign wealth funds$446M52%
  • Corporations and businesses$217M25%
  • Individuals$161M19%
  • High-net-worth individuals$26.2M3.1%
Individual clients
6reported
HNW clients
7reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
21reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
RAUM: 22% private clients, 0% pooled funds, 52% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M•••• A•••••• · Directorcontrol
        since 09/2010 · owns less than 5%
      • N•••• G•••••••• N•••••• J••••••••• · Directorcontrol
        since 06/2018 · owns less than 5%
      • S•••••• D••••••• A•• · Directorcontrol
        since 11/2019 · owns less than 5%
      • W••••••••• L••••• S•••• · Chief Compliance Officercontrol
        since 10/2009 · owns less than 5%
      • S•••••• H•••• C•••••••• · Shareholdercontrol
        since 01/2001 · owns 25% to 50% of N•••• S••••• H•••••• L••
      Entity owners
      • N•••• S••••• H•••••• L•• · Owner
        direct · owns 75% or more
      • N• P••••••••• S••• · Shareholder
        indirect · owns 25% to 50% of N•••• S••••• H•••••• L••
      Related persons
      Schedule D 7.A
      • N• A•••• M••••••••• U• L••
        investment advisern
      • N• P••••••• S•
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • high institutional concentrationStatic outlier · filing Jun 17, 2026
        institutional share of RAUM of 52% against a peer median of 2% (1481 comparable advisers, 98.0th percentile, 17.2 robust deviations)
        peers: independent wealth managers, $500M to $1B (1,481) · 98% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 23 to 21
        Mar 14, 2025 to Mar 12, 2026
      • Individual clients · 7 to 6
        Mar 14, 2025 to Mar 12, 2026
      • Pooled vehicle clients · 1.0 to unset
        Mar 14, 2025 to Mar 12, 2026
      • Discretionary RAUM · $727M to $850M
        Mar 14, 2025 to Mar 12, 2026
      • HNW RAUM · $24.6M to $26.2M
        Mar 14, 2025 to Mar 12, 2026
      Full history · 74 changes
      • Individual RAUM · $129M to $161M
        Mar 14, 2025 to Mar 12, 2026
      • Non-discretionary RAUM · $119M to $0
        Mar 14, 2025 to Mar 12, 2026
      • Pooled vehicle RAUM · 118775470.0 to unset
        Mar 14, 2025 to Mar 12, 2026
      • RAUM · $846M to $850M
        Mar 14, 2025 to Mar 12, 2026
      • Accounts · 25 to 23
        Mar 13, 2024 to Mar 14, 2025
      • HNW clients · 9 to 7
        Mar 13, 2024 to Mar 14, 2025
      • Financial planning clients · unset to
        Mar 13, 2024 to Mar 14, 2025
      • HQ state · unset to
        Mar 13, 2024 to Mar 14, 2025
      • Discretionary RAUM · $673M to $727M
        Mar 13, 2024 to Mar 14, 2025
      • HNW RAUM · $25.8M to $24.6M
        Mar 13, 2024 to Mar 14, 2025
      • Individual RAUM · $120M to $129M
        Mar 13, 2024 to Mar 14, 2025
      • Non-discretionary RAUM · $112M to $119M
        Mar 13, 2024 to Mar 14, 2025
      • Pooled vehicle RAUM · $112M to $119M
        Mar 13, 2024 to Mar 14, 2025
      • RAUM · $785M to $846M
        Mar 13, 2024 to Mar 14, 2025
      • Accounts · 24 to 25
        Apr 24, 2023 to Mar 13, 2024
      • Corporate clients · 6 to 7
        Apr 24, 2023 to Mar 13, 2024
      • Employees · 3 to 2
        Apr 24, 2023 to Mar 13, 2024
      • Discretionary RAUM · $617M to $673M
        Apr 24, 2023 to Mar 13, 2024
      • HNW RAUM · $22.7M to $25.8M
        Apr 24, 2023 to Mar 13, 2024
      • Individual RAUM · $112M to $120M
        Apr 24, 2023 to Mar 13, 2024
      • Non-discretionary RAUM · $112M to $112M
        Apr 24, 2023 to Mar 13, 2024
      • Pooled vehicle RAUM · $112M to $112M
        Apr 24, 2023 to Mar 13, 2024
      • RAUM · $730M to $785M
        Apr 24, 2023 to Mar 13, 2024
      • Accounts · 23 to 24
        Mar 4, 2022 to Mar 20, 2023
      • Individual clients · 6 to 7
        Mar 4, 2022 to Mar 20, 2023
      • Discretionary RAUM · $666M to $617M
        Mar 4, 2022 to Mar 20, 2023
      • HNW RAUM · $43.7M to $22.7M
        Mar 4, 2022 to Mar 20, 2023
      • Individual RAUM · $102M to $112M
        Mar 4, 2022 to Mar 20, 2023
      • Non-discretionary RAUM · $132M to $112M
        Mar 4, 2022 to Mar 20, 2023
      • Pooled vehicle RAUM · $132M to $112M
        Mar 4, 2022 to Mar 20, 2023
      • RAUM · $798M to $730M
        Mar 4, 2022 to Mar 20, 2023
      • Business name · N•••• S••••• M••••••••• •••••••• L•••••• to N• M••••••••• L••
        Oct 19, 2021 to Mar 4, 2022
      • Legal name · N•••• S••••• M••••••••• •••••••• L•••••• to N• M••••••••• L••
        Oct 19, 2021 to Mar 4, 2022
      • Discretionary RAUM · $625M to $666M
        Oct 19, 2021 to Mar 4, 2022
      • HNW RAUM · $52.2M to $43.7M
        Oct 19, 2021 to Mar 4, 2022
      • Individual RAUM · $84.7M to $102M
        Oct 19, 2021 to Mar 4, 2022
      • Non-discretionary RAUM · $147M to $132M
        Oct 19, 2021 to Mar 4, 2022
      • Pooled vehicle RAUM · $147M to $132M
        Oct 19, 2021 to Mar 4, 2022
      • RAUM · $773M to $798M
        Oct 19, 2021 to Mar 4, 2022
      • Accounts · 28 to 23
        Jun 17, 2020 to Mar 26, 2021
      • Corporate clients · 8 to 6
        Jun 17, 2020 to Mar 26, 2021
      • HNW clients · 10 to 9
        Jun 17, 2020 to Mar 26, 2021
      • Individual clients · 8 to 6
        Jun 17, 2020 to Mar 26, 2021
      • Discretionary RAUM · $585M to $625M
        Jun 17, 2020 to Mar 26, 2021
      • HNW RAUM · $45.2M to $52.2M
        Jun 17, 2020 to Mar 26, 2021
      • Individual RAUM · $81.1M to $84.7M
        Jun 17, 2020 to Mar 26, 2021
      • Non-discretionary RAUM · $150M to $147M
        Jun 17, 2020 to Mar 26, 2021
      • Pooled vehicle RAUM · $150M to $147M
        Jun 17, 2020 to Mar 26, 2021
      • RAUM · $734M to $773M
        Jun 17, 2020 to Mar 26, 2021
      • Accounts · 26 to 28
        Mar 21, 2019 to Mar 3, 2020
      • Advisory employees · 1 to 2
        Mar 21, 2019 to Mar 3, 2020
      • Corporate clients · 9 to 8
        Mar 21, 2019 to Mar 3, 2020
      • HNW clients · 8 to 10
        Mar 21, 2019 to Mar 3, 2020
      • Employees · 2 to 3
        Mar 21, 2019 to Mar 3, 2020
      • Other offices · 1 to 0
        Mar 21, 2019 to Mar 3, 2020
      • Discretionary RAUM · $528M to $585M
        Mar 21, 2019 to Mar 3, 2020
      • HNW RAUM · $70.7M to $45.2M
        Mar 21, 2019 to Mar 3, 2020
      • Individual RAUM · $40.4M to $81.1M
        Mar 21, 2019 to Mar 3, 2020
      • Non-discretionary RAUM · $165M to $150M
        Mar 21, 2019 to Mar 3, 2020
      • Pooled vehicle RAUM · $165M to $150M
        Mar 21, 2019 to Mar 3, 2020
      • RAUM · $692M to $734M
        Mar 21, 2019 to Mar 3, 2020
      • Accounts · 30 to 26
        Jul 11, 2018 to Mar 21, 2019
      • HNW clients · 11 to 8
        Jul 11, 2018 to Mar 21, 2019
      • Discretionary RAUM · $602M to $528M
        Jul 11, 2018 to Mar 21, 2019
      • HNW RAUM · $73.7M to $70.7M
        Jul 11, 2018 to Mar 21, 2019
      • Individual RAUM · $77.6M to $40.4M
        Jul 11, 2018 to Mar 21, 2019
      • Non-discretionary RAUM · $163M to $165M
        Jul 11, 2018 to Mar 21, 2019
      • Pooled vehicle RAUM · $163M to $165M
        Jul 11, 2018 to Mar 21, 2019
      • RAUM · $765M to $692M
        Jul 11, 2018 to Mar 21, 2019
      Signals
      4 dated events
      • ••• Locked
        Jun 17, 2026 · ria indirect owner change · fact
      • ••• Locked
        Mar 13, 2024 · Control person left · inference
      • ••• Locked
        Mar 3, 2020 · Control person joined · fact
      • ••• Locked
        Jul 9, 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
      Business email
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Jun 17, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Jun 17, 2026
      Contact form
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.