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••••• C•••••• M••••••••• L•

Former SEC-registered adviserCRD 306576SEC 801-122869IAPD
Latest filing Jul 6, 2023
First filing on the tape Nov 12, 2021 · 6 filings
RAUM
$418M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$418M as of Mar 28, 2023
Mar 16, 2022$115M then
HNW client RAUM$0 as of Mar 28, 2023
Mar 16, 2022$0 then
State-registered IARs (5.B.3)0 as of Mar 28, 2023
Mar 16, 20220 then
Employees (5.A)2 as of Mar 28, 2023
Mar 16, 20221 then
Private funds: no history
RAUM +264% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 6, 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
$139MderivedRAUM 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
+264%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
Also answered yes on Form ADV
  • 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
  • Pooled investment vehicles$418M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
0reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••• R••••• · Chief Compliance Officercontrol
        since 09/2019 · owns 75% or more
      • S•••• R••••• · Managing Membercontrol
        since 09/2019 · owns 75% or more of N••••• G•• L••
      Entity owners
      • N••••• G•• L•• · General Partner Of The Filing Adviser
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · 1-10 to 0
        Mar 28, 2023 to May 9, 2023
      • Advisory employees · 1 to 2
        Aug 18, 2022 to Mar 28, 2023
      • Employees · 1 to 2
        Aug 18, 2022 to Mar 28, 2023
      • Discretionary RAUM · $115M to $418M
        Aug 18, 2022 to Mar 28, 2023
      • Pooled vehicle RAUM · $115M to $418M
        Aug 18, 2022 to Mar 28, 2023
      • RAUM · $115M to $418M
        Aug 18, 2022 to Mar 28, 2023
      • HQ city · NEW YORK to unset
        Mar 16, 2022 to Aug 18, 2022
      • HQ state · NY to unset
        Mar 16, 2022 to Aug 18, 2022
      • Accounts · 2 to 3
        Nov 12, 2021 to Mar 16, 2022
      • Pooled vehicle clients · 2 to 3
        Nov 12, 2021 to Mar 16, 2022
      • Discretionary RAUM · $138M to $115M
        Nov 12, 2021 to Mar 16, 2022
      • Pooled vehicle RAUM · $138M to $115M
        Nov 12, 2021 to Mar 16, 2022
      • RAUM · $138M to $115M
        Nov 12, 2021 to Mar 16, 2022
      Signals
      2 dated events
      • N••••• C•••••• M••••••••• L• reported RAUM $418.0M, up 264% from $114.8M (2022-08-18 to 2023-03-28)
        Mar 28, 2023 · RAUM change · derived
      • N••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Nov 12, 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