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•••••• C•••••• M••••••••• L••

Asset manager (funds and pooled vehicles)Burlingame, CaliforniaCRD 298161SEC 801-114030websiteIAPD
Latest filing Apr 29, 2026
First filing on the tape Aug 23, 2018 · 18 filings
SEC status approved since Sep 21, 2018
RAUM
$3.9B
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
22
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
27
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$3.9B as of Apr 29, 2026
Jan 18, 2019$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 29, 2026
Jan 18, 20190 then
Employees (5.A)22 as of Apr 29, 2026
Jan 18, 20198 then
Private funds27 as of Apr 29, 2026
Jan 18, 20191 then
RAUM +17% over the last fiscal year-0.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 29, 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
$143MderivedRAUM 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
+17%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
yesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$3.9B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
27reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      Every departureEvery arrival
      Private funds
      19 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N•••••• C•••••• F••• I• L•••Venture Capital Fund$1.7B73Jan 18, 2019
      N•••••• C•••••• S•••••• O••••••••• F••• I• L•••Venture Capital Fund$541M28Mar 31, 2021
      N•••••• S•• S••• L••Other Private Fund$316M19Mar 27, 2020
      N•••••• C•••••• F••• I•• L•••Venture Capital Fund$302M50Mar 31, 2021
      N•••••• C•••••• F••• I•• L•••Venture Capital Fund$203M31Mar 31, 2023
      N•••••• C•••••• S•••••• O••••••••• F••• I•• L•••Venture Capital Fund$169M21Mar 31, 2023
      N•••••• B• S••• L••Other Private Fund$104M5Mar 31, 2022
      N•••••• C•••••• S•••••• O••••••••• F••• I••• L•••Venture Capital Fund$96.2M8Mar 29, 2024
      N•••••• H•• S••• L••Other Private Fund$61.9M3Mar 27, 2020
      N•••••• S•• S•• I••• L••Other Private Fund$46.0M19Mar 31, 2021
      N•••••• H• S••• L••Other Private Fund$36.0M2Mar 29, 2024
      N•••••• C•••••• S•••••• O••••••••• P••••••• F••• I• L•••Venture Capital Fund$35.9M1Apr 28, 2021
      N•••••• A••• S••• L••Other Private Fund$33.0M2Mar 27, 2020
      N•••••• C• S••• L••Other Private Fund$25.3M2Mar 29, 2024
      N•••••• S•• S•• I•• L••Other Private Fund$25.0M18Mar 31, 2021
      N•••••• H• S••• L••Other Private Fund$19.6M7Mar 31, 2023
      N•••••• P•• S••• L••Other Private Fund$17.1M6Mar 31, 2022
      N•••••• S• S••• L••Other Private Fund$6.9M1Mar 31, 2022
      N•••••• C•••••• A••••••• F••• I•• L•••Venture Capital Fund$2.8M9Mar 29, 2024
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• T••••• K••• · Chief Compliance Officercontrol
        since 10/2023 · owns less than 5%
      • V••••••••• R••••••••• N•• · Membercontrol
        since 08/2018 · owns 75% or more
      • W•• Y• •••••••• N•• · Chief Financial Officercontrol
        since 05/2022 · owns less than 5%
      Related persons
      Schedule D 7.A
      • N•••••• A••• S•• P•••••••• L••
        pooled vehicle sponsorn
      • N•••••• B• S•• P•••••••• L••
        pooled vehicle sponsorn
      • N•••••• C•••••• P••••••• I• L••
        pooled vehicle sponsorn
      • N•••••• C•••••• P••••••• I•• L••
        pooled vehicle sponsorn
      • N•••••• C•••••• P••••••• I••• L••
        pooled vehicle sponsorn
      • N•••••• C•••••• S•••••• O••••••••• P••••••• I• L••
        pooled vehicle sponsorn
      • N•••••• C•••••• S•••••• O••••••••• P••••••• I•• L••
        pooled vehicle sponsorn
      • N•••••• C•••••• S•••••• O••••••••• P••••••• I••• L••
        pooled vehicle sponsorn
      • N•••••• C• S•• P•••••••• L••
        pooled vehicle sponsorn
      • N•••••• H• S•• P•••••••• L••
        pooled vehicle sponsorn
      • N•••••• H• S•• P•••••••• L••
        pooled vehicle sponsorn
      • N•••••• P•• S•• P•••••••• L••
        pooled vehicle sponsorn
      • N•••••• S•• S•• P•••••••• L••
        pooled vehicle sponsorn
      • N•••••• S• S•• P•••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • private fund count surgeChange between filings · filing Apr 29, 2026
        private funds (Schedule D 7.B.1) moved from 17.0 to 27.0 (+59.0%) between the annual amendments of 2025-03-28 and 2026-04-29; the peer median change was 0.0% (1022 comparable advisers, 96.0th percentile of changes)
        peers: asset managers, $1B to $5B (1,022) · 96% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Assets in custody · $3.3B to $0
        Mar 30, 2026 to Apr 29, 2026
      • Discretionary RAUM · $3.6B to $3.9B
        Mar 30, 2026 to Apr 29, 2026
      • Pooled vehicle RAUM · $3.6B to $3.9B
        Mar 30, 2026 to Apr 29, 2026
      • RAUM · $3.6B to $3.9B
        Mar 30, 2026 to Apr 29, 2026
      • Accounts · 17 to 27
        May 28, 2025 to Mar 30, 2026
      • Advisory employees · 12 to 13
        May 28, 2025 to Mar 30, 2026
      • Pooled vehicle clients · 17 to 27
        May 28, 2025 to Mar 30, 2026
      • Employees · 21 to 22
        May 28, 2025 to Mar 30, 2026
      • Private funds · 17 to 27
        May 28, 2025 to Mar 30, 2026
      • Discretionary RAUM · $3.3B to $3.6B
        May 28, 2025 to Mar 30, 2026
      • Pooled vehicle RAUM · $3.3B to $3.6B
        May 28, 2025 to Mar 30, 2026
      • RAUM · $3.3B to $3.6B
        May 28, 2025 to Mar 30, 2026
      • Financial planning clients · unset to
        Mar 28, 2025 to May 28, 2025
      • Accounts · 15 to 17
        Jun 13, 2024 to Mar 28, 2025
      • Advisory employees · 10 to 12
        Jun 13, 2024 to Mar 28, 2025
      • Pooled vehicle clients · 15 to 17
        Jun 13, 2024 to Mar 28, 2025
      • Assets in custody · $3.2B to $3.3B
        Jun 13, 2024 to Mar 28, 2025
      • Employees · 16 to 21
        Jun 13, 2024 to Mar 28, 2025
      • Private funds · 15 to 17
        Jun 13, 2024 to Mar 28, 2025
      • Discretionary RAUM · $3.2B to $3.3B
        Jun 13, 2024 to Mar 28, 2025
      • Pooled vehicle RAUM · $3.2B to $3.3B
        Jun 13, 2024 to Mar 28, 2025
      • RAUM · $3.2B to $3.3B
        Jun 13, 2024 to Mar 28, 2025
      • Advisory employees · 11 to 10
        Oct 25, 2023 to Mar 29, 2024
      • Assets in custody · $4.0B to $3.2B
        Oct 25, 2023 to Mar 29, 2024
      • Employees · 18 to 16
        Oct 25, 2023 to Mar 29, 2024
      • Discretionary RAUM · $4.0B to $3.2B
        Oct 25, 2023 to Mar 29, 2024
      • Pooled vehicle RAUM · $4.0B to $3.2B
        Oct 25, 2023 to Mar 29, 2024
      • RAUM · $4.0B to $3.2B
        Oct 25, 2023 to Mar 29, 2024
      • Accounts · 12 to 15
        May 19, 2022 to Mar 31, 2023
      • Advisory employees · 8 to 11
        May 19, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 12 to 15
        May 19, 2022 to Mar 31, 2023
      • Assets in custody · $4.1B to $4.0B
        May 19, 2022 to Mar 31, 2023
      • Employees · 15 to 18
        May 19, 2022 to Mar 31, 2023
      • Private funds · 12 to 15
        May 19, 2022 to Mar 31, 2023
      • Discretionary RAUM · $4.1B to $4.0B
        May 19, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $4.1B to $4.0B
        May 19, 2022 to Mar 31, 2023
      • RAUM · $4.1B to $4.0B
        May 19, 2022 to Mar 31, 2023
      • Accounts · 9 to 12
        Apr 28, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 9 to 12
        Apr 28, 2021 to Mar 31, 2022
      • Assets in custody · $2.8B to $4.1B
        Apr 28, 2021 to Mar 31, 2022
      Signals
      9 dated events
      • Thomas James Beck (Chief Operating Officer) no longer on Schedule A of N•••••• C•••••• M••••••••• L•• (listed 2023-10-25, absent 2024-03-29)
        Mar 29, 2024 · Control person left · inference
      • Kate Tracy Abbott (Chief Compliance Officer) appeared on Schedule A of N•••••• C•••••• M••••••••• L••
        Oct 25, 2023 · Control person joined · fact
      • Nmn Prashant Gangwal (Chief Financial Officer And Chief Compliance Officer) no longer on Schedule A of N•••••• C•••••• M••••••••• L•• (listed 2022-03-31, absent 2022-05-19)
        May 19, 2022 · Control person left · inference
      • Nmn Yi (Bessie) Wu (Chief Financial Officer And Chief Compliance Officer) appeared on Schedule A of N•••••• C•••••• M••••••••• L••
        May 19, 2022 · Control person joined · fact
      • N•••••• C•••••• M••••••••• L•• reported RAUM $4.1B, up 46% from $2.8B (2021-04-28 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • N•••••• C•••••• M••••••••• L•• reported RAUM $2.8B, up 48% from $1.9B (2020-03-27 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • Thomas James Beck (Chief Operating Officer) appeared on Schedule A of N•••••• C•••••• M••••••••• L••
        Mar 31, 2021 · Control person joined · fact
      • N•••••• C•••••• M••••••••• L•• reported RAUM $1.9B, up 39% from $1.4B (2019-04-05 to 2020-03-27)
        Mar 27, 2020 · RAUM change · derived
      • H•••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Aug 23, 2018 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Firm profile
      linkedin.com/company/newviewcapreportedpublic record, Form ADV, Sep 19, 2026
      Website
      nvc.vcreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      650-416-1590reportedpublic record, Form ADV, Apr 29, 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