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.
SEC-registered adviser
Northcrest Asset Management
Legal name Northcrest Asset Management LLC
Latest filing Jul 2, 2026
First filing on the tape Apr 14, 2021 · 25 filings
SEC status approved since May 14, 2021
RAUM
$4.3B
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
12
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$4.3B as of Jul 2, 2026
Mar 31, 2022$2.2B then
HNW client RAUM$2.0B as of Mar 21, 2024
Mar 29, 2023$2.0B then
State-registered IARs (5.B.3)0 as of Jul 2, 2026
Mar 31, 20220 then
Employees (5.A)12 as of Jul 2, 2026
Mar 31, 202213 then
Private funds: no history
RAUM +50% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 2, 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
- $1.3MderivedRAUM 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
- +50%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 assetsreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$4.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3,355reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=4.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Loren James Cahn · Chief Investments & Business Development Officercontrolsince 04/2021 · owns less than 5%
- Thomas Harold Jeffrey Dekko · Chief Manager And Presidentcontrolsince 04/2021 · owns less than 5%
- Alan Joseph Dieckhaus · Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
- Ann Elizabeth Furcht · Secretarycontrolsince 04/2021 · owns less than 5%
- James Frederick Shideman · Chief Technology, Information Security, Portfolio Account & Trading Officercontrolsince 04/2021 · owns less than 5%
- Joseph Kelly Windorski · Chief Financial Officer And Treasurercontrolsince 04/2021 · owns less than 5%
Entity owners
- Wealth Enhancement Group, LLC · Sole Memberdirect · owns 75% or more
- Onex American Holdings Subco LLC · Ownerindirect · owns 75% or more of Onex Partners Holdings LLC
- Onex Capital V International Gp LP · Ownerindirect · owns 25% to 50% of Onex Iso Limited Partnership
- Onex Corporation · Ownerindirect · owns 75% or more of Onex Partners Canadian Gp Inc.
- Onex Iso Holdco Corp. · Ownerindirect · owns 25% to 50% of Weg Consolidated, LLC
- Onex Iso Limited Partnership · Ownerindirect · owns 75% or more of Onex Iso Holdco Corp.
- Onex Iso Limited Partnership · Ownerindirect · owns 75% or more of Weg Blocker, LLC
- Onex Op V Holdings Sarl · Ownerindirect · owns 75% or more of Onex Capital V International Gp LP
- Onex Partners Canadian Gp Inc. · Ownerindirect · owns 75% or more of Onex Partners V Gp Limited
- Onex Partners Holdings LLC · Ownerindirect · owns 75% or more of Onex Op V Holdings Sarl
- Onex Partners V Gp Limited · General Partnerindirect · owns F of Onex Partners V Gp LP
- Onex Partners V Gp Limited · General Partnerindirect · owns F of Onex Capital V International Gp LP
- Onex Partners V Gp Limited · General Partnerindirect · owns F of Onex Iso Limited Partnership
- Onex Partners V Gp LP · General Partnerindirect · owns F of Onex Partners V LP
- Onex Partners V LP · Ownerindirect · owns 25% to 50% of Onex Iso Limited Partnership
- Onex Private Equity Holdings LLC · Ownerindirect · owns 75% or more of Onex American Holdings Subco LLC
- Ta Associates Cayman, LLC · General Partnerindirect · owns F of Ta Associates Xiii Gp, L.P.
- Ta Associates Xiii Gp, L.P. · General Partnerindirect · owns F of Ta Xiii-A, L.P.
- Ta Associates Xiii Gp, L.P. · General Partnerindirect · owns F of Ta Xiii-B, L.P.
- Ta Xiii-A, L.P. · Ownerindirect · owns 75% or more of Ta-Weg Aggregator, LLC
Related persons
Schedule D 7.A
- American Benefits Planning Group, LLCreal estaten
- Wealth Enhancement Advisory Services, LLCinvestment advisernRAUM $122B
- Wealth Enhancement Brokerage Services, LLCbroker-dealern
- Wealth Enhancement Group, LLCreal estaten
- Wealth Enhancement Trust Services, LLCn
Advisers that list Northcrest Asset Management as a related person
- 116407 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,095 to 3,355Feb 23, 2026 to Mar 26, 2026
- Discretionary RAUM · $2.9B to $4.3BFeb 23, 2026 to Mar 26, 2026
- RAUM · $2.9B to $4.3BFeb 23, 2026 to Mar 26, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Jun 30, 2025
- Accounts · 3,216 to 2,095Jul 8, 2024 to Mar 28, 2025
- Discretionary RAUM · $3.2B to $2.9BJul 8, 2024 to Mar 28, 2025
- RAUM · $3.2B to $2.9BJul 8, 2024 to Mar 28, 2025
- Advisory employees · 0 to 6Apr 15, 2024 to Apr 26, 2024
- BD registered reps · 0 to 4Apr 15, 2024 to Apr 26, 2024
- Employees · 0 to 12Apr 15, 2024 to Apr 26, 2024
- Insurance-licensed employees · 0 to 7Apr 15, 2024 to Apr 26, 2024
- Charity clients · 1.0 to unsetMar 26, 2024 to Apr 15, 2024
- Corporate clients · 61.0 to unsetMar 26, 2024 to Apr 15, 2024
- HNW clients · 610.0 to unsetMar 26, 2024 to Apr 15, 2024
- Individual clients · 1331.0 to unsetMar 26, 2024 to Apr 15, 2024
- HNW RAUM · 2037612855.0 to unsetMar 26, 2024 to Apr 15, 2024
- Individual RAUM · 848916557.0 to unsetMar 26, 2024 to Apr 15, 2024
- Accounts · 3,078 to 3,216Jun 16, 2023 to Mar 21, 2024
- Charity clients · unset to 1.0Jun 16, 2023 to Mar 21, 2024
- Corporate clients · unset to 61.0Jun 16, 2023 to Mar 21, 2024
- HNW clients · 1,579 to 610Jun 16, 2023 to Mar 21, 2024
- Individual clients · 1,499 to 1,331Jun 16, 2023 to Mar 21, 2024
- Discretionary RAUM · $2.7B to $3.2BJun 16, 2023 to Mar 21, 2024
- HNW RAUM · $2.0B to $2.0BJun 16, 2023 to Mar 21, 2024
- Individual RAUM · $638M to $849MJun 16, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $11.0M to $0Jun 16, 2023 to Mar 21, 2024
- RAUM · $2.7B to $3.2BJun 16, 2023 to Mar 21, 2024
- Accounts · 1,667 to 3,078Jul 5, 2022 to Mar 29, 2023
- Advisory employees · 13 to 0Jul 5, 2022 to Mar 29, 2023
- Advisory activities · 3 to 1Jul 5, 2022 to Mar 29, 2023
- HNW clients · unset to 1579.0Jul 5, 2022 to Mar 29, 2023
- Individual clients · unset to 1499.0Jul 5, 2022 to Mar 29, 2023
- Employees · 13 to 0Jul 5, 2022 to Mar 29, 2023
- Insurance-licensed employees · 8 to 0Jul 5, 2022 to Mar 29, 2023
- Financial planning clients · unset to 0Jul 5, 2022 to Mar 29, 2023
- Discretionary RAUM · $2.2B to $2.7BJul 5, 2022 to Mar 29, 2023
- HNW RAUM · unset to 2038561126.0Jul 5, 2022 to Mar 29, 2023
- Individual RAUM · unset to 638100278.0Jul 5, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $97,750 to $11.0MJul 5, 2022 to Mar 29, 2023
- RAUM · $2.2B to $2.7BJul 5, 2022 to Mar 29, 2023
Signals
16 dated events
- Northcrest Asset Management reported RAUM $4.3B, up 50% from $2.9B (2026-02-23 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- Wilfred Gerald Schwartz (Owner) no longer on Schedule A of Northcrest Asset Management (listed 2024-04-26, absent 2024-07-08)Jul 8, 2024 · Control person left · inference
- Wilfred Gerald Schwartz (Owner) appeared on Schedule A of Northcrest Asset ManagementApr 26, 2024 · Control person joined · fact
- Alan Joseph Dieckhaus (Chief Compliance Officer) appeared on Schedule A of Northcrest Asset ManagementApr 15, 2024 · Control person joined · fact
- Ann Elizabeth Hansen (Chief Compliance Officer) no longer on Schedule A of Northcrest Asset Management (listed 2024-03-26, absent 2024-04-15)Apr 15, 2024 · Control person left · inference
- Rae Terri Kallsen (Chief Operating Officer) no longer on Schedule A of Northcrest Asset Management (listed 2023-03-29, absent 2023-06-16)Jun 16, 2023 · Control person left · inference
- John Randell Godsell (Svp Chief Investment Strategist) no longer on Schedule A of Northcrest Asset Management (listed 2023-03-29, absent 2023-06-16)Jun 16, 2023 · Control person left · inference
- Safyan Hayley Block (Svp Operations Client Experience) no longer on Schedule A of Northcrest Asset Management (listed 2023-03-29, absent 2023-06-16)Jun 16, 2023 · Control person left · inference
- James Kenneth Severud (Svp Compliance) no longer on Schedule A of Northcrest Asset Management (listed 2022-05-13, absent 2022-07-05)Jul 5, 2022 · Control person left · inference
- Frederick Shideman (Chief Information Security Officer) no longer on Schedule A of Northcrest Asset Management (listed 2022-05-13, absent 2022-07-05)Jul 5, 2022 · Control person left · inference
- James Frederick Shideman (Chief Information Security Officer) appeared on Schedule A of Northcrest Asset ManagementJul 5, 2022 · Control person joined · fact
- William Michael Stefano (Vp Compliance) no longer on Schedule A of Northcrest Asset Management (listed 2022-02-01, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Ann Elizabeth Hansen (Chief Compliance Officer) appeared on Schedule A of Northcrest Asset ManagementFeb 1, 2022 · Control person joined · fact
- Hayley Block (Svp Operations Client Experience) appeared on Schedule A of Northcrest Asset ManagementFeb 1, 2022 · Control person joined · fact
- John Randell Godsell (Vp, Chief Investment Strategist) appeared on Schedule A of Northcrest Asset ManagementNov 30, 2021 · Control person joined · fact
- Northcrest Asset Management filed its initial SEC registration (Form ADV)Apr 14, 2021 · 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
- Principal office phone
- 763-417-1700reportedpublic record, Form ADV, Jul 2, 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