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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Former SEC-registered adviser

N•••••• P•••••• W•••••

Former SEC-registered adviserCRD 301984SEC 801-120520IAPD
Legal name N•••••• P•••••• W••••• L••
Latest filing Mar 31, 2022
First filing on the tape Feb 11, 2021 · 7 filings
RAUM
$3.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$3.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$3.2M as of Mar 31, 2022
Feb 11, 2021$124M then
HNW client RAUM$3.2M as of Mar 31, 2022
Feb 11, 2021$3.6M then
State-registered IARs (5.B.3)1 as of Mar 31, 2022
Feb 11, 20211 then
Employees (5.A)1 as of Mar 31, 2022
Feb 11, 20211 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
$3.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
4derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$793,437derivedHNW RAUM over HNW clients
Average account
$793,437derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • 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
  • High-net-worth individuals$3.2M100%
Individual clients
0reported
HNW clients
4reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P••••••• S•••• T••••• · Managing Member/Chief Compliance Officercontrol
        since 04/2019 · owns less than 5%
      • P••••••• S•••• T••••• · Managing Membercontrol
        since 07/2019 · owns 75% or more of N•••••• F•••••••• G••••
      • M••••••• A••••• J••••• · Partner
        since 07/2019 · owns 5% to 10%
      Entity owners
      • N•••••• F•••••••• G•••• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • N•••••• E•••• L••
        investment advisern
      • N•••••• I•••••••• G••••
        real estatey
      Advisers that list N•••••• P•••••• W••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 4
        Nov 12, 2021 to Mar 31, 2022
      • HNW clients · 5 to 4
        Nov 12, 2021 to Mar 31, 2022
      • Discretionary RAUM · $3.9M to $3.2M
        Nov 12, 2021 to Mar 31, 2022
      • HNW RAUM · $3.9M to $3.2M
        Nov 12, 2021 to Mar 31, 2022
      • RAUM · $3.9M to $3.2M
        Nov 12, 2021 to Mar 31, 2022
      • Accounts · 641 to 5
        Jul 27, 2021 to Aug 16, 2021
      • HNW clients · 6 to 5
        Jul 27, 2021 to Aug 16, 2021
      • Discretionary RAUM · $124M to $3.9M
        Jul 27, 2021 to Aug 16, 2021
      • HNW RAUM · $3.6M to $3.9M
        Jul 27, 2021 to Aug 16, 2021
      • RAUM · $124M to $3.9M
        Jul 27, 2021 to Aug 16, 2021
      Signals
      2 dated events
      • N•••••• P•••••• W••••• reported RAUM $3.9M, down 97% from $124.4M (2021-07-27 to 2021-08-16)
        Aug 16, 2021 · RAUM change · derived
      • N•••••• P•••••• W••••• filed its initial SEC registration (Form ADV)
        Feb 11, 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.
      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