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••••• P•••••• C••••• L••
Latest filing Jul 21, 2026
First filing on the tape Feb 20, 2019 · 24 filings
SEC status approved since Mar 22, 2019
RAUM
$1.0B
reported, Item 5.F
Discretionary
42%
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
1
beyond the principal office
Private funds
5
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$1.0B as of Jul 21, 2026
Mar 27, 2020$62.1M 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)7 as of Jul 21, 2026
Mar 27, 20202 then
Private funds5 as of Jul 21, 2026
Mar 27, 20201 then
RAUM -13% over the last fiscal year+33% a year over threeIARs 0 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
- $95.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 42%derivedof RAUM
- Institutional
- 58%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%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
- $327M, 5 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$606M58%
- Pooled investment vehicles$442M42%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $327M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.42 institutional_share=0.58 related_bd=true 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••••• P•••••• C••••• M••••• F••• L• | Private Equity Fund | $144M | 12 | Mar 27, 2020 |
| N•• T••••••• O••••••••• F••• L• | Private Equity Fund | $14.4M | 2 | Mar 31, 2022 |
| B•• C•••••••• C••••• P•••••••• O••••••••• 1• L• | Private Equity Fund | $0 | 2 | Mar 30, 2024 |
| N•• C••••• O••••••••• M••••• F•••• L• | Private Equity Fund | $0 | 0 | Mar 30, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• J•••••• W•••••• · Chief Financial Officercontrolsince 07/2023 · owns less than 5%
- B•••••••• B••••• C••••••••• · Managing Director, P•••••••• M••••••, Member Of N••••• P•••••• C••••• L•• And Member Of The Board Of M••••••Scontrolsince 04/2024 · owns 25% to 50%
- B•••••• O•••• K••••• · Deputy General Counsel And Secretarycontrolsince 01/2023 · owns less than 5%
- C••••••••• K••••• · Member Of The Board Of M••••••Scontrolsince 12/2018 · owns less than 5%
- G•••• P••••••• J••• · Member Of The Board Of M••••••Scontrolsince 12/2018 · owns less than 5%
- P••••••••• R••••••• C•••• · Managing Director, P•••••••• M••••••, Member Of N••••• P•••••• C••••• L•• And Member Of The Board Of M••••••Scontrolsince 04/2024 · owns 25% to 50%
- R•••• J•••• H•••••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
Entity owners
- N••••• N•• H••••••• L•• · Member Of N••••• P•••••• C••••• L••direct · owns 50% to 75%
- 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 N••••• N•••• S•••••••• 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••••• A•••• M••••••••• L•• · Memberindirect · owns 75% or more of N••••• N•• H••••••• 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••••• A••••••••• I••••••••• L••investment adviserpooled vehicle sponsornRAUM $1.4B
- 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••••• 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••••• P•••••• C••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Hartford, CT1 employees
What changed
consecutive filings, newest first
- Accounts · 10 to 11Oct 7, 2025 to Mar 27, 2026
- Assets in custody · $266M to $327MOct 7, 2025 to Mar 27, 2026
- Employees · 6 to 7Oct 7, 2025 to Mar 27, 2026
- Discretionary RAUM · $474M to $442MOct 7, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $727M to $606MOct 7, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $474M to $442MOct 7, 2025 to Mar 27, 2026
- RAUM · $1.2B to $1.0BOct 7, 2025 to Mar 27, 2026
- Financial planning clients · unset to Apr 10, 2025 to May 22, 2025
- Accounts · 9 to 10May 24, 2024 to Apr 10, 2025
- Pooled vehicle clients · 4 to 5May 24, 2024 to Apr 10, 2025
- Assets in custody · $158M to $266MMay 24, 2024 to Apr 10, 2025
- Private funds · 4 to 5May 24, 2024 to Apr 10, 2025
- Discretionary RAUM · $370M to $474MMay 24, 2024 to Apr 10, 2025
- Non-discretionary RAUM · $812M to $727MMay 24, 2024 to Apr 10, 2025
- Pooled vehicle RAUM · $370M to $474MMay 24, 2024 to Apr 10, 2025
- RAUM · $1.2B to $1.2BMay 24, 2024 to Apr 10, 2025
- Accounts · 6 to 9Jul 28, 2023 to Mar 30, 2024
- Advisory employees · 3 to 5Jul 28, 2023 to Mar 30, 2024
- Pooled vehicle clients · 2 to 4Jul 28, 2023 to Mar 30, 2024
- Assets in custody · $283,775 to $158MJul 28, 2023 to Mar 30, 2024
- Employees · 3 to 6Jul 28, 2023 to Mar 30, 2024
- Other offices · 0 to 1Jul 28, 2023 to Mar 30, 2024
- Private funds · 2 to 4Jul 28, 2023 to Mar 30, 2024
- Discretionary RAUM · $260M to $370MJul 28, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $181M to $812MJul 28, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $260M to $370MJul 28, 2023 to Mar 30, 2024
- RAUM · $441M to $1.2BJul 28, 2023 to Mar 30, 2024
- Accounts · 7 to 6Jan 10, 2023 to Mar 31, 2023
- Corporate clients · unset to 0.0Jan 10, 2023 to Mar 31, 2023
- Assets in custody · $5.1M to $283,775Jan 10, 2023 to Mar 31, 2023
- Discretionary RAUM · $170M to $260MJan 10, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $158M to $181MJan 10, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $170M to $260MJan 10, 2023 to Mar 31, 2023
- RAUM · $329M to $441MJan 10, 2023 to Mar 31, 2023
- Accounts · 6 to 7Feb 10, 2022 to Mar 31, 2022
- Pooled vehicle clients · 1 to 2Feb 10, 2022 to Mar 31, 2022
- Assets in custody · $254,923 to $5.1MFeb 10, 2022 to Mar 31, 2022
- Private funds · 1 to 2Feb 10, 2022 to Mar 31, 2022
- Discretionary RAUM · $26.3M to $170MFeb 10, 2022 to Mar 31, 2022
- Non-discretionary RAUM · $98.1M to $158MFeb 10, 2022 to Mar 31, 2022
Signals
15 dated events
- N••••• P•••••• C••••• L•• reported RAUM $1.2B, up 168% from $440.9M (2023-07-28 to 2024-03-30)Mar 30, 2024 · RAUM change · derived
- William Justin Banulski (Chief Financial Officer) appeared on Schedule A of N••••• P•••••• C••••• L••Jul 28, 2023 · Control person joined · fact
- Alicia Christine Janofsky (Chief Financial Officer) no longer on Schedule A of N••••• P•••••• C••••• L•• (listed 2023-04-28, absent 2023-07-28)Jul 28, 2023 · Control person left · inference
- N••••• P•••••• C••••• L•• reported RAUM $440.9M, up 34% from $328.8M (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••••• P•••••• C••••• 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••••• P•••••• C••••• L••Mar 31, 2023 · Control person joined · fact
- O••• B••••• (Deputy General Counsel And Secretary) appeared on Schedule A of N••••• P•••••• C••••• L••Mar 31, 2023 · Control person joined · fact
- Geraldine Alfino (Chief Compliance Officer, Counsel And Secretary) no longer on Schedule A of N••••• P•••••• C••••• L•• (listed 2022-05-02, absent 2023-01-10)Jan 10, 2023 · Control person left · inference
- Herbert John Roth (Counsel, Chief Compliance Officer And Secretary) appeared on Schedule A of N••••• P•••••• C••••• L••Jan 10, 2023 · Control person joined · fact
- N••••• P•••••• C••••• L•• reported RAUM $328.8M, up 164% from $124.4M (2022-02-10 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Herbert John Roth (Chief Compliance Officer) no longer on Schedule A of N••••• P•••••• C••••• 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••••• P•••••• C••••• L••Nov 22, 2021 · Control person joined · fact
- D•••• P••••••• (Chief Financial Officer) appeared on Schedule A of N••••• P•••••• C••••• L••Sep 17, 2020 · Control person joined · fact
- Arthur Thomas Williams (Chief Financial Officer) no longer on Schedule A of N••••• P•••••• C••••• L•• (listed 2020-05-08, absent 2020-09-17)Sep 17, 2020 · Control person left · inference
- N••••• P•••••• C••••• L•• filed its initial SEC registration (Form ADV)Feb 20, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- N••••• P•••••• C••••• L•• · Independent Sponsorsshared crd · capital_provider
- N••••• P•••••• C••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- npc.nfg.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (203) 902-5522reportedpublic 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