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•• A•• A••••
Legal name N•• A•• A•••• A•••••••• L••
Latest filing Feb 18, 2026
First filing on the tape Oct 24, 2018 · 25 filings
SEC status approved since Jun 14, 2019
RAUM
$2.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$891,838 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
42
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$2.5B as of Feb 18, 2026
Mar 28, 2019$0 then
HNW client RAUM$891,838 as of Feb 18, 2026
Mar 28, 2019$0 then
State-registered IARs (5.B.3)1 as of Feb 18, 2026
Mar 28, 20190 then
Employees (5.A)42 as of Feb 18, 2026
Mar 28, 20193 then
Private funds1 as of Feb 18, 2026
Mar 30, 20201 then
RAUM -4.2% over the last fiscal year+167% a year over threeIARs 2 to 1offices 1 to 0
Practice profile
derived from the filing of Feb 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $2.5BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 2derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $445,919derivedHNW RAUM over HNW clients
- Average account
- $66.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 42.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%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 vehicles, portfolio management for investment companies, publicationsreportedItem 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)
- 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$2.2B89%
- Pooled investment vehicles$255M10%
- Corporations and businesses$10.2M0.4%
- Other investment advisers$4.9M0.2%
- High-net-worth individuals$891,8380.0%
- Individual clients
- 0reported
- HNW clients
- 2reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 38reported
- 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=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
4 left, 1 joined in 12 months
net -3 in 12 months1 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- G•••••• E••••• B••••••• to P•••••• C•••••• A•••••••• L••Jul 6, 2026 · Other
- J••• V•••••• C•••• to A••••• A•• P••••••• S•••••••Feb 12, 2026 · Other
- R••••• R•••••• R•••••• to V••••••• A•••••••• I•••Feb 12, 2026 · Other
- B•••• T••• S•••••• to C••••• I••••••••• A••••••• L••Feb 12, 2026 · Other
- M•••••• J••• S•••••• to I•••••• G••••• A••••••• L••Jul 12, 2022 · Other
- J••••••• M••••• to F••••••• P••••••• A•• W•••••••• A•••••••Mar 2, 2021 · Other
Joined, latest
- R••••• R•••••• R•••••• from W•••• F•••• A•••••••Sep 25, 2025 · Other
- B•••• T••• S•••••• from C•••••• S••••• • C••• I•••May 21, 2025 · Other
- J••• V•••••• C•••• from P••• A••••• S••••••••• L••Mar 13, 2025 · Other
- M•••••• J••• S•••••• from B•••• H•••• I••••••••• L•••Jun 20, 2021 · Other
- J••••••• M••••• from J••••• M••••••••• S•••• L••Oct 28, 2020 · Other
- G•••••• E••••• B••••••• from R•••••• J•••• • A••••••••• I•••Jul 10, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•• A•• A•••• M••••• F••• S••• L••• | Hedge Fund | $240M | 3 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- A•••• A••••• R•••••• · Manager, Chief Executive Officercontrolsince 08/2018 · owns less than 5%
- K•••• K••••• D•••• · Senior Managing Director - Fund And Products Operationscontrolsince 06/2019 · owns less than 5%
- K••••• J•••••• N•• · Manager, Chief Investment Officercontrolsince 08/2018 · owns less than 5%
- A•••• A••••• R•••••• · Membercontrolsince 01/2022 · owns 50% to 75% of S•• A• L••
- K••••• J•••••• N•• · Membercontrolsince 01/2022 · owns 50% to 75% of J••• I••••••••• L••
- S•••••• M••••••• J••••• · Chief Compliance Officer, General Counsel, Senior Managing Directorsince 08/2018 · owns less than 5%
Entity owners
- N•• A•• A•••• L•• · Memberdirect · owns 75% or more
- J••• I••••••••• L•• · Memberindirect · owns 25% to 50% of N•• A•• A•••• L••
- S•• A• L•• · Memberindirect · owns 25% to 50% of N•• A•• A•••• L••
- V•••••• L•• · Memberindirect · owns 50% to 75% of N•• A•• A•••• L••
Related persons
Schedule D 7.A
- N•• A•• A•••• O•••••• G•• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Frisco, Tx | 0 | 0 | 1 | ||
| Yardley, Pa | 0 | 0 | 1 | ||
| Rye, Ny · principal | 0 | 0 | 1 | ||
| Norwell, Ma | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 32 to 38Sep 25, 2025 to Feb 18, 2026
- BD registered reps · 7 to 5Sep 25, 2025 to Feb 18, 2026
- Corporate clients · 0 to 1Sep 25, 2025 to Feb 18, 2026
- Employees · 43 to 42Sep 25, 2025 to Feb 18, 2026
- State-registered IARs · 2 to 1Sep 25, 2025 to Feb 18, 2026
- Other offices · 1 to 0Sep 25, 2025 to Feb 18, 2026
- Discretionary RAUM · $2.6B to $2.5BSep 25, 2025 to Feb 18, 2026
- HNW RAUM · $769,500 to $891,838Sep 25, 2025 to Feb 18, 2026
- Pooled vehicle RAUM · $245M to $255MSep 25, 2025 to Feb 18, 2026
- RAUM · $2.6B to $2.5BSep 25, 2025 to Feb 18, 2026
- Accounts · 29 to 32Feb 7, 2025 to Mar 26, 2025
- BD registered reps · 5 to 7Feb 7, 2025 to Mar 26, 2025
- Employees · 38 to 43Feb 7, 2025 to Mar 26, 2025
- Financial planning clients · unset to Feb 7, 2025 to Mar 26, 2025
- State-registered IARs · 1 to 2Feb 7, 2025 to Mar 26, 2025
- Discretionary RAUM · $2.7B to $2.6BFeb 7, 2025 to Mar 26, 2025
- HNW RAUM · $754,303 to $769,500Feb 7, 2025 to Mar 26, 2025
- Pooled vehicle RAUM · $240M to $245MFeb 7, 2025 to Mar 26, 2025
- RAUM · $2.7B to $2.6BFeb 7, 2025 to Mar 26, 2025
- Accounts · 2 to 29May 24, 2024 to Dec 10, 2024
- Advisory employees · 6 to 10May 24, 2024 to Dec 10, 2024
- Advisory activities · 4 to 5May 24, 2024 to Dec 10, 2024
- BD registered reps · 0 to 5May 24, 2024 to Dec 10, 2024
- HNW clients · 0 to 2May 24, 2024 to Dec 10, 2024
- Employees · 27 to 38May 24, 2024 to Dec 10, 2024
- Discretionary RAUM · $196M to $2.7BMay 24, 2024 to Dec 10, 2024
- HNW RAUM · $0 to $754,303May 24, 2024 to Dec 10, 2024
- Pooled vehicle RAUM · $196M to $240MMay 24, 2024 to Dec 10, 2024
- RAUM · $196M to $2.7BMay 24, 2024 to Dec 10, 2024
- Business name · N•• A•• A•••• A•••••••• L•• to N•• A•• A••••Apr 22, 2024 to May 24, 2024
- Accounts · 7 to 2Mar 20, 2023 to Mar 12, 2024
- Advisory employees · 8 to 6Mar 20, 2023 to Mar 12, 2024
- Pooled vehicle clients · 7 to 2Mar 20, 2023 to Mar 12, 2024
- Employees · 28 to 27Mar 20, 2023 to Mar 12, 2024
- Other offices · 2 to 1Mar 20, 2023 to Mar 12, 2024
- Discretionary RAUM · $131M to $196MMar 20, 2023 to Mar 12, 2024
- Pooled vehicle RAUM · $131M to $196MMar 20, 2023 to Mar 12, 2024
- RAUM · $131M to $196MMar 20, 2023 to Mar 12, 2024
- Discretionary RAUM · $86.1M to $131MNov 30, 2022 to Mar 20, 2023
- Pooled vehicle RAUM · $86.1M to $131MNov 30, 2022 to Mar 20, 2023
Signals
8 dated events
- G•••••• E••••• B••••••• left N•• A•• A•••• for P•••••• C•••••• A•••••••• L•• (registered 2026-08-11)Jul 6, 2026 · Advisor changed firm · fact
- J••• V•••••• C•••• left N•• A•• A•••• for A••••• A•• P••••••• S••••••• (registered 2026-07-09)Feb 12, 2026 · Advisor changed firm · fact
- B•••• T••• S•••••• left N•• A•• A•••• for C••••• I••••••••• A••••••• L•• (registered 2026-04-06)Feb 12, 2026 · Advisor changed firm · fact
- R••••• R•••••• R•••••• left N•• A•• A•••• for V••••••• A•••••••• I••• (registered 2026-05-26)Feb 12, 2026 · Advisor changed firm · fact
- N•• A•• A•••• reported RAUM $2.7B, up 1263% from $195.9M (2024-05-24 to 2024-12-10)Dec 10, 2024 · RAUM change · derived
- M•••••• J••• S•••••• left N•• A•• A•••• for I•••••• G••••• A••••••• L•• (registered 2025-02-03)Jul 12, 2022 · Advisor changed firm · fact
- D•••• K•••• K••• (Managing Director - Fund And Products Operations) appeared on Schedule A of N•• A•• A••••Jul 10, 2019 · Control person joined · fact
- N•• A•• A•••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 15, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/newagealphareportedpublic record, Form ADV, Sep 18, 2026
- Website
- newagealpha.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (212) 922-2699reportedpublic record, Form ADV, Feb 18, 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