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Former SEC-registered adviser

N••• C•••••• G•••• M••••••••• L••

Former SEC-registered adviserCRD 299809SEC 801-115124IAPD
Latest filing Mar 31, 2023
First filing on the tape Mar 28, 2019 · 9 filings
RAUM
$154M
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
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$154M gross assets
History
9 filings and snapshots on the tape
RAUM$154M as of Mar 31, 2023
May 15, 2020$131M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
May 15, 20200 then
Employees (5.A)7 as of Mar 31, 2023
May 15, 20206 then
Private funds3 as of Mar 31, 2023
May 15, 20204 then
RAUM -52% over the last fiscal year+5.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2023; 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
$38.5MderivedRAUM 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
-52%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
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$154M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N••• C•••••• G•••• F•••• L•Hedge Fund$65.2M169Dec 10, 2018
      N••• C•••••• G•••• C•••••••• F•••• L••Other Private Fund$60.3M169Dec 10, 2018
      N••• C•••••• G•••• H••••••• I•• L••Other Private Fund$13.4M1Mar 28, 2024
      N••• C•••••• G•••• P•••••• H••••••• S••no longer reportedOther Private Fund$5.9M1Mar 28, 2019
      N••• C•••••• G•••• H•••••••• L••Other Private Fund$324,0494May 15, 2020
      A• C•••••••• L••Private Equity Fund$260,7291Dec 10, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• C•••••• N•• · Head Of Researchcontrol
        since 02/2019 · owns 25% to 50%
      • K••••• J•••• T• · Executive Chairmancontrol
        since 11/2019 · owns 10% to 25%
      • M••••••••• K••••• C•••••• · Chief Financial Officer; Chief Compliance Officercontrol
        since 02/2019 · owns less than 5%
      • S••••••• S•••• M•••••• · Chief Executive Officercontrol
        since 04/2017 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • N••• C•••••• G•••• C•••••••• P•••••••• L••
        pooled vehicle sponsorn
      • N••• C•••••• G•••• M••••••••• P•••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 4
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 5 to 4
        Mar 31, 2022 to Mar 31, 2023
      • Private funds · 4 to 3
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $322M to $154M
        Mar 31, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $260,729 to $0
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $322M to $154M
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $322M to $154M
        Mar 31, 2022 to Mar 31, 2023
      • Advisory employees · 4 to 5
        Mar 31, 2021 to Mar 31, 2022
      • Employees · 6 to 7
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $287M to $322M
        Mar 31, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $606,398 to $260,729
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $288M to $322M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $288M to $322M
        Mar 31, 2021 to Mar 31, 2022
      • Other offices · 1 to 0
        Feb 5, 2021 to Mar 31, 2021
      • Discretionary RAUM · $130M to $287M
        Feb 5, 2021 to Mar 31, 2021
      • Pooled vehicle RAUM · $131M to $288M
        Feb 5, 2021 to Mar 31, 2021
      • RAUM · $131M to $288M
        Feb 5, 2021 to Mar 31, 2021
      • HQ city · NEW YORK to unset
        May 15, 2020 to Feb 5, 2021
      • HQ state · NY to unset
        May 15, 2020 to Feb 5, 2021
      • Advisory employees · 5 to 4
        Oct 11, 2019 to May 15, 2020
      • Employees · 9 to 6
        Oct 11, 2019 to May 15, 2020
      • Discretionary RAUM · $190M to $130M
        Oct 11, 2019 to May 15, 2020
      • Non-discretionary RAUM · $1.1M to $606,398
        Oct 11, 2019 to May 15, 2020
      • Pooled vehicle RAUM · $192M to $131M
        Oct 11, 2019 to May 15, 2020
      • RAUM · $192M to $131M
        Oct 11, 2019 to May 15, 2020
      • Advisory employees · 4 to 5
        Mar 28, 2019 to Aug 26, 2019
      • Employees · 8 to 9
        Mar 28, 2019 to Aug 26, 2019
      • Private funds · 8 to 4
        Mar 28, 2019 to Aug 26, 2019
      Signals
      4 dated events
      • N••• C•••••• G•••• M••••••••• L•• reported RAUM $153.9M, down 52% from $322.2M (2022-03-31 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • N••• C•••••• G•••• M••••••••• L•• reported RAUM $287.8M, up 120% from $130.7M (2021-02-05 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • Scott Jeffrey Schultz (General Counsel, Chief Compliance Officer) no longer on Schedule A of N••• C•••••• G•••• M••••••••• L•• (listed 2019-10-11, absent 2020-05-15)
        May 15, 2020 · Control person left · inference
      • N••• C•••••• G•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 28, 2019 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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