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••••••••• I••••••••• L••
Latest filing Jul 21, 2026
First filing on the tape Jun 24, 2019 · 23 filings
SEC status approved since Jul 24, 2019
RAUM
$1.4B
reported, Item 5.F
Discretionary
48%
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$1.4B as of Jul 21, 2026
Mar 27, 2020$891M then
HNW client RAUM$0 as of Jul 21, 2026
Mar 27, 2020$0 then
State-registered IARs (5.B.3)0 as of Jul 21, 2026
Mar 27, 20200 then
Employees (5.A)6 as of Jul 21, 2026
Mar 27, 20204 then
Private funds3 as of Jul 21, 2026
Mar 27, 20202 then
RAUM +4.8% over the last fiscal year+8.9% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Jul 21, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- $159MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 48%derivedof RAUM
- Institutional
- 49%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
- +4.8%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $9.1M, 1 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$706M49%
- Pooled investment vehicles$686M48%
- Corporations and businesses$42.8M3.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.1M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.48 institutional_share=0.49 related_bd=true related_bank=true 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••••• C•• 2••• L•• | Securitized Asset Fund | $582M | 0 | Mar 31, 2023 |
| N••••• 2••• C•• L•• | Securitized Asset Fund | $189M | 0 | Nov 21, 2019 |
| N••••• E••••••• C•••••••• F••• I• L••no longer reported | Private Equity Fund | $5.0M | 23 | Mar 27, 2020 |
| N••••• E••••••• C•••••••• F••• I• L•• | Private Equity Fund | $4.4M | 18 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• J•••••• W•••••• · Chief Financial Officercontrolsince 07/2023 · owns less than 5%
- B•••••• O•••• K••••• · Deputy General Counsel And Secretarycontrolsince 01/2023 · owns less than 5%
- C••••••••• K••••• · Member Of The Board Of M••••••Scontrolsince 11/2018 · owns less than 5%
- G•••• P••••••• J••• · Member Of The Board Of M••••••Scontrolsince 11/2018 · owns less than 5%
- R•••• J•••• H•••••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- S••••••••• R••• · Managing Directorcontrolsince 06/2020 · owns less than 5%
Entity owners
- N••••• A•••• M••••••••• L•• · Member Of N••••• A••••••••• I••••••••• L••direct · owns 75% or more
- G•• O••••••••• F••• M••••••••• L••• · General Partnerindirect · owns F of N••••• N•••• S•••••••• L•••
- G•• O••••••••• F••• M••••••••• L••• · General Partnerindirect · owns F of G••••• G••• C•••••• O••••••••• F•••• L•••
- G•• O••••••••• F••• M••••••••• L••• · General Partnerindirect · owns F of G••••• G••• C•••••• O••••••••• F•••••• L•••
- G•••• N••••• I••••••••• L••• · Limited Partnerindirect · owns 75% or more of N••••• F•••••••• G••••• L•••
- G••••• G••• C•••••• O••••••••• F•••••• L••• · Memberindirect · owns 25% to 50% of N••••• N•••• B••••••• L••
- G••••• G••• C•••••• O••••••••• F•••• L••• · Limited Partnerindirect · owns 50% to 75% of N••••• N•••• S•••••••• L•••
- N••••• F•••••••• G•••• G• L••• · General Partnerindirect · owns F of N••••• F•••••••• G••••• L•••
- N••••• F•••••••• G••••• L••• · Memberindirect · owns 75% or more of N••••• A•••• M••••••••• L••
- N••••• N•••• B••••••• L•• · Limited Partnerindirect · owns 25% to 50% of N••••• N•••• S•••••••• L•••
- N••••• N•••• S•••••••• L••• · Limited Partnerindirect · owns 75% or more of G•••• N••••• I••••••••• L•••
Related persons
Schedule D 7.A
- 1••• S••••••••• I••broker-dealern
- A•• C••••• O••••••••• P••••••• F••• I• G•• L•••investment adviserpooled vehicle sponsorn
- C•••••• R•• I•••real estaten
- G•• O••••••••• F••• M••••••••• L•••investment adviserpooled vehicle sponsory
- G••••• G••• C••••••investment adviserpooled vehicle sponsornRAUM $11B
- L••••••• R•• I•••real estaten
- M•••• R• L•••real estaten
- N••••• G••••• C••••• ••• L••investment adviserpooled vehicle sponsorn
- N••••• G••••• C••••• G• L•investment adviserpooled vehicle sponsorn
- N••••• G••••• C••••• L••investment adviserpooled vehicle sponsornRAUM $6.4B
- N••••• L••• A•• A•••••• C••••••real estaten
- N••••• L••• I•••••••• C••••••real estaten
- N••••• L••• I•••••••• C•••••• O• K•••••real estaten
- N••••• P•••••• C••••• G• L••investment adviserbankpooled vehicle sponsorn
- N••••• P•••••• C••••• L••investment adviserbankpooled vehicle sponsornRAUM $1.0B
- N••••• R• ••••••• L•••real estaten
- N•• C•••••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $2.2B
- N•• C•• M•••••• L••investment adviserpooled vehicle sponsorn
- P•• V••••••• I•••••••• C••••••real estaten
- S•••••• R•• I•••real estaten
Advisers that list N••••• A••••••••• I••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Hartford, CT1 employees
What changed
consecutive filings, newest first
- Assets in custody · $6.0M to $9.1MOct 7, 2025 to Mar 27, 2026
- Discretionary RAUM · $739M to $686MOct 7, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $630M to $749MOct 7, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $739M to $686MOct 7, 2025 to Mar 27, 2026
- RAUM · $1.4B to $1.4BOct 7, 2025 to Mar 27, 2026
- Other offices · 1 to 0Apr 10, 2025 to Oct 7, 2025
- Advisory employees · 5 to 6Jun 4, 2024 to Apr 10, 2025
- Assets in custody · $2.5M to $6.0MJun 4, 2024 to Apr 10, 2025
- Employees · 5 to 6Jun 4, 2024 to Apr 10, 2025
- Financial planning clients · unset to Jun 4, 2024 to Apr 10, 2025
- Discretionary RAUM · $775M to $739MJun 4, 2024 to Apr 10, 2025
- Non-discretionary RAUM · $457M to $630MJun 4, 2024 to Apr 10, 2025
- Pooled vehicle RAUM · $775M to $739MJun 4, 2024 to Apr 10, 2025
- RAUM · $1.2B to $1.4BJun 4, 2024 to Apr 10, 2025
- Other offices · 0 to 1May 24, 2024 to Jun 4, 2024
- Advisory employees · 4 to 5Jul 28, 2023 to Mar 30, 2024
- Assets in custody · $75.6M to $2.5MJul 28, 2023 to Mar 30, 2024
- Employees · 4 to 5Jul 28, 2023 to Mar 30, 2024
- Discretionary RAUM · $783M to $775MJul 28, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $328M to $457MJul 28, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $783M to $775MJul 28, 2023 to Mar 30, 2024
- RAUM · $1.1B to $1.2BJul 28, 2023 to Mar 30, 2024
- Accounts · 7 to 9Jan 10, 2023 to Mar 31, 2023
- Advisory employees · 3 to 4Jan 10, 2023 to Mar 31, 2023
- Corporate clients · unset to 0.0Jan 10, 2023 to Mar 31, 2023
- Pooled vehicle clients · 1 to 3Jan 10, 2023 to Mar 31, 2023
- Assets in custody · $55.6M to $75.6MJan 10, 2023 to Mar 31, 2023
- Employees · 3 to 4Jan 10, 2023 to Mar 31, 2023
- HQ city · HARTFORD to NEW YORKJan 10, 2023 to Mar 31, 2023
- HQ state · CT to NYJan 10, 2023 to Mar 31, 2023
- Other offices · 1 to 0Jan 10, 2023 to Mar 31, 2023
- Private funds · 1 to 3Jan 10, 2023 to Mar 31, 2023
- Discretionary RAUM · $331M to $783MJan 10, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $542M to $328MJan 10, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $331M to $783MJan 10, 2023 to Mar 31, 2023
- RAUM · $873M to $1.1BJan 10, 2023 to Mar 31, 2023
- Advisory employees · 5 to 3Feb 10, 2022 to Mar 31, 2022
- Pooled vehicle clients · 2 to 1Feb 10, 2022 to Mar 31, 2022
- Assets in custody · $0 to $55.6MFeb 10, 2022 to Mar 31, 2022
- Employees · 5 to 3Feb 10, 2022 to Mar 31, 2022
Signals
15 dated events
- Alicia Christine Janofsky (Chief Financial Officer) no longer on Schedule A of N••••• A••••••••• I••••••••• L•• (listed 2023-05-30, absent 2023-07-28)Jul 28, 2023 · Control person left · inference
- William Justin Banulski (Chief Financial Officer) appeared on Schedule A of N••••• A••••••••• I••••••••• L••Jul 28, 2023 · Control person joined · fact
- N••••• A••••••••• I••••••••• L•• reported RAUM $1.1B, up 27% from $872.8M (2023-01-10 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- D•••• P••••••• (Chief Financial Officer) no longer on Schedule A of N••••• A••••••••• I••••••••• L•• (listed 2023-01-10, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Alicia Christine Janofsky (Chief Financial Officer) appeared on Schedule A of N••••• A••••••••• I••••••••• L••Mar 31, 2023 · Control person joined · fact
- O••• B••••• (Deputy General Counsel And Secretary) appeared on Schedule A of N••••• A••••••••• I••••••••• L••Mar 31, 2023 · Control person joined · fact
- Herbert John Roth (Counsel, Chief Compliance Officer And Secretary) appeared on Schedule A of N••••• A••••••••• I••••••••• L••Jan 10, 2023 · Control person joined · fact
- Geraldine Alfino (Chief Compliance Officer, Counsel And Secretary) no longer on Schedule A of N••••• A••••••••• I••••••••• L•• (listed 2022-05-10, absent 2023-01-10)Jan 10, 2023 · Control person left · inference
- Herbert John Roth (Chief Compliance Officer) no longer on Schedule A of N••••• A••••••••• I••••••••• L•• (listed 2021-11-22, absent 2022-02-10)Feb 10, 2022 · Control person left · inference
- Geraldine Alfino (Counsel And Secretary) appeared on Schedule A of N••••• A••••••••• I••••••••• L••Nov 22, 2021 · Control person joined · fact
- Arthur Thomas Williams (Chief Financial Officer) no longer on Schedule A of N••••• A••••••••• I••••••••• L•• (listed 2020-06-15, absent 2020-09-17)Sep 17, 2020 · Control person left · inference
- D•••• P••••••• (Chief Financial Officer) appeared on Schedule A of N••••• A••••••••• I••••••••• L••Sep 17, 2020 · Control person joined · fact
- R••• S••••••••• (Managing Director) appeared on Schedule A of N••••• A••••••••• I••••••••• L••Jun 15, 2020 · Control person joined · fact
- M. Paul Chute (Senior Managing Director And Portfolio Manager) no longer on Schedule A of N••••• A••••••••• I••••••••• L•• (listed 2019-11-21, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- N••••• C•• M•••••• L•• filed its initial SEC registration (Form ADV)Jun 24, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- N••••• A••••••••• I••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- N••••• A••••••••• I••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- (646) 630-8376reportedpublic record, Form ADV, Jul 21, 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
- Other 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