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•••••••• B••••• L••• A••••••• I• L••

Asset manager (funds and pooled vehicles)Chicago, IllinoisCRD 306601SEC 801-118438websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape Mar 15, 2020 · 15 filings
SEC status approved since Apr 14, 2020
RAUM
$9.0B
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
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
18
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$9.0B as of Mar 31, 2026
Mar 30, 2021$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20210 then
Employees (5.A)3 as of Mar 31, 2026
Mar 30, 20213 then
Private funds18 as of Mar 31, 2026
Mar 30, 20214 then
RAUM -1.2% over the last fiscal year+2.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
$503MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-1.2%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
Custody
$8.5B, 17 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$9.0B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
18reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$8.5B for 17 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=3.0derived
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
      Every departureEvery arrival
      Private funds
      19 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N•••••••• B••••• L••• A••••••• C•• 4•• L•••Securitized Asset Fund$630M0Mar 31, 2023
      N•••••••• B••••• L••• A••••••• C•• 4•• L•••Securitized Asset Fund$588M0Mar 31, 2022
      N•••••••• B••••• L••• A••••••• C•• 4•• L•••Securitized Asset Fund$587M0Mar 31, 2022
      N•••••••• B••••• L••• A••••••• C•• 4•• L•••Securitized Asset Fund$587M0Mar 31, 2022
      N•••••••• B••••• L••• A••••••• C•• 4•• L•••Securitized Asset Fund$585M0Mar 31, 2023
      N•••••••• B••••• L••• A••••••• C•• 4•• L•••Securitized Asset Fund$584M0Mar 31, 2022
      N•••••••• B••••• L••• A••••••• C•• 4•• L•••Securitized Asset Fund$584M0Mar 31, 2022
      N•••••••• B••••• L••• A••••••• C•• 4•• L•••Securitized Asset Fund$583M0Mar 31, 2022
      N•••••••• B••••• L••• A••••••• C•• 5•• L•••Securitized Asset Fund$557M0Mar 31, 2023
      N•••••••• B••••• L••• A••••••• N••• C•• 5•• L•••Securitized Asset Fund$493M0Mar 31, 2023
      N•••••••• B••••• L••• A••••••• C•• 3•• L•••Securitized Asset Fund$487M0Mar 30, 2021
      N•••••••• B••••• L••• A••••••• C•• 3•• L•••Securitized Asset Fund$486M0Mar 30, 2021
      N•••••••• B••••• L••• A••••••• C•• 4•• L•••Securitized Asset Fund$485M0Mar 30, 2021
      N•••••••• B••••• L••• A••••••• C•• 4•• L•••Securitized Asset Fund$484M0Mar 31, 2022
      N•••••••• B••••• L••• A••••••• N••• C•• 5•• L•••Securitized Asset Fund$477M0Mar 31, 2023
      N•••••••• B••••• L••• A••••••• L•••••• S••••• L•••••• C•• I• L••Securitized Asset Fund$398M0Mar 28, 2024
      N•••••••• B••••• L••• A••••••• C•• 3•• L•••Securitized Asset Fund$387M0Aug 12, 2020
      N•••••••• B••••• L••• A••••••• C•• 5•• L•••Securitized Asset Fund$348M0Mar 31, 2023
      N•••••••• B••••• L••• A••••••• C•• 5•• L•••no longer reportedSecuritized Asset Fund$1.9M0Mar 31, 2023
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• A••••• K•••• · Director, Managing Director And Chief Executive Officercontrol
        since 06/2024 · owns less than 5%
      • B••••••• A•••• F•••• · Director And Managing Directorcontrol
        since 06/2024 · owns less than 5%
      • D•••••• K••••••• M• · Director And Managing Directorcontrol
        since 09/2021 · owns less than 5%
      • W•••••• S••••••• G•••••• · Director And Managing Directorcontrol
        since 10/2019 · owns less than 5%
      • L•••• B•••• · Chief Compliance Officer, Assistant Secretary And Senior Vice President
        since 10/2019 · owns less than 5%
      Entity owners
      • N•••••••• B••••• L••• A••••••• H••••••• I• L• · Member
        direct · owns 75% or more
      • N••• A••••••••• L•• · Member
        indirect · owns 75% or more of N•••••••• B••••• G•••• L••
      • N•••••••• B••••• G•••• L•• · Member
        indirect · owns 75% or more of N•••••••• B••••• I••••••••• A••••••• H••••••• L••
      • N•••••••• B••••• I••••••••• A••••••• H••••••• L•• · Member
        indirect · owns 75% or more of N•••••••• B••••• I••••••••• A••••••• L••
      • N•••••••• B••••• I••••••••• A••••••• L•• · L•••••• Partner
        indirect · owns F of N•••••••• B••••• L••• A••••••• H••••••• I• L•
      • N•••••••• B••••• I••••••••• A••••••• L•• · Member
        indirect · owns F of N•••••••• B••••• L••• A••••••• H••••••• I• G• L••
      • N•••••••• B••••• L••• A••••••• H••••••• I• ••••••• L• · L•••••• Partner
        indirect · owns 50% to 75% of N•••••••• B••••• L••• A••••••• H••••••• I• L•
      • N•••••••• B••••• L••• A••••••• H••••••• I• G• L•• · General Partner
        indirect · owns F of N•••••••• B••••• L••• A••••••• H••••••• I• L•
      • N•••••••• B••••• L••• A••••••• H••••••• I• G• L•• · General Partner
        indirect · owns F of N•••••••• B••••• L••• A••••••• H••••••• I• ••••••• L•
      • N•••••••• B••••• L••• A••••••• H••••••• I• G• L•• · General Partner
        indirect · owns F of N•••••••• B••••• L••• A••••••• H••••••• I• ••••••••• L•
      • N•••••••• B••••• L••• A••••••• H••••••• I• ••••••••• L• · L•••••• Partner
        indirect · owns 25% to 50% of N•••••••• B••••• L••• A••••••• H••••••• I• L•
      • N•• Y••• S•••• C••••• R••••••••• F••• · L•••••• Partner
        indirect · owns 75% or more of N•••••••• B••••• L••• A••••••• H••••••• I• ••••••••• L•
      • T•• C••••••• M•••••• P••••••••• A••••••••• · L•••••• Partner
        indirect · owns 25% to 50% of N•••••••• B••••• L••• A••••••• H••••••• I• ••••••• L•
      Related persons
      Schedule D 7.A
      Advisers that list N•••••••• B••••• L••• A••••••• I• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New Y•••, NY1 employees
      What changed
      consecutive filings, newest first
      • Assets in custody · $8.6B to $8.5B
        Mar 31, 2025 to Mar 31, 2026
      • Discretionary RAUM · $9.2B to $9.0B
        Mar 31, 2025 to Mar 31, 2026
      • Pooled vehicle RAUM · $9.2B to $9.0B
        Mar 31, 2025 to Mar 31, 2026
      • RAUM · $9.2B to $9.0B
        Mar 31, 2025 to Mar 31, 2026
      • Assets in custody · unset to 8606682743.0
        Oct 2, 2024 to Mar 31, 2025
      • Custody of client assets · false to true
        Oct 2, 2024 to Mar 31, 2025
      • Financial planning clients · unset to
        Oct 2, 2024 to Mar 31, 2025
      • Discretionary RAUM · $9.3B to $9.2B
        Oct 2, 2024 to Mar 31, 2025
      • Pooled vehicle RAUM · $9.3B to $9.2B
        Oct 2, 2024 to Mar 31, 2025
      • RAUM · $9.3B to $9.2B
        Oct 2, 2024 to Mar 31, 2025
      • Accounts · 17 to 18
        Mar 31, 2023 to Mar 28, 2024
      • Pooled vehicle clients · 17 to 18
        Mar 31, 2023 to Mar 28, 2024
      • Discretionary RAUM · $8.3B to $9.3B
        Mar 31, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $8.3B to $9.3B
        Mar 31, 2023 to Mar 28, 2024
      • RAUM · $8.3B to $9.3B
        Mar 31, 2023 to Mar 28, 2024
      • Accounts · 11 to 17
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 11 to 17
        Mar 31, 2022 to Mar 31, 2023
      • Private funds · 11 to 18
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $5.8B to $8.3B
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $5.8B to $8.3B
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $5.8B to $8.3B
        Mar 31, 2022 to Mar 31, 2023
      • Accounts · 4 to 11
        Jul 8, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 4 to 11
        Jul 8, 2021 to Mar 31, 2022
      • Private funds · 4 to 11
        Jul 8, 2021 to Mar 31, 2022
      • Discretionary RAUM · $1.6B to $5.8B
        Jul 8, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $1.6B to $5.8B
        Jul 8, 2021 to Mar 31, 2022
      • RAUM · $1.6B to $5.8B
        Jul 8, 2021 to Mar 31, 2022
      • Accounts · 1 to 4
        Dec 1, 2020 to Mar 30, 2021
      • Business name · N•••••••• B••••• L••• A••••••• I• L•• to N•••••••• B••••• L••• A••••••• I• L••
        Dec 1, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 1 to 4
        Dec 1, 2020 to Mar 30, 2021
      • Private funds · 1 to 4
        Dec 1, 2020 to Mar 30, 2021
      • Discretionary RAUM · $401M to $1.6B
        Dec 1, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $401M to $1.6B
        Dec 1, 2020 to Mar 30, 2021
      • RAUM · $401M to $1.6B
        Dec 1, 2020 to Mar 30, 2021
      • Accounts · unset to 1.0
        Apr 17, 2020 to Aug 12, 2020
      • Pooled vehicle clients · 0 to 1
        Apr 17, 2020 to Aug 12, 2020
      • Legal name · N•••••••• B••••• L••• A••••••• L•• to N•••••••• B••••• L••• A••••••• I• L••
        Apr 17, 2020 to Aug 12, 2020
      • Private funds · unset to 1
        Apr 17, 2020 to Aug 12, 2020
      • Discretionary RAUM · unset to 400970118.0
        Apr 17, 2020 to Aug 12, 2020
      • Non-discretionary RAUM · unset to 0.0
        Apr 17, 2020 to Aug 12, 2020
      Signals
      11 dated events
      • Curtis Bradley Tank (Director, Managing Director And Chief Executive Officer) no longer on Schedule A of N•••••••• B••••• L••• A••••••• I• L•• (listed 2024-03-28, absent 2024-07-25)
        Jul 25, 2024 · Control person left · inference
      • K•••• A•••• B••••• (Director, Managing Director And Chief Executive Officer) appeared on Schedule A of N•••••••• B••••• L••• A••••••• I• L••
        Jul 25, 2024 · Control person joined · fact
      • A••• B•••••• (Director And Managing Director) appeared on Schedule A of N•••••••• B••••• L••• A••••••• I• L••
        Jul 25, 2024 · Control person joined · fact
      • Vincent Joseph Amato (Director And Managing Director) no longer on Schedule A of N•••••••• B••••• L••• A••••••• I• L•• (listed 2024-03-28, absent 2024-07-25)
        Jul 25, 2024 · Control person left · inference
      • N•••••••• B••••• L••• A••••••• I• L•• reported RAUM $8.3B, up 44% from $5.8B (2022-03-31 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • M K•••••• Deregt (Director And Managing Director) appeared on Schedule A of N•••••••• B••••• L••• A••••••• I• L••
        Mar 31, 2022 · Control person joined · fact
      • Lee Robert Eason (Director And Managing Director) no longer on Schedule A of N•••••••• B••••• L••• A••••••• I• L•• (listed 2021-07-08, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • N•••••••• B••••• L••• A••••••• I• L•• reported RAUM $5.8B, up 270% from $1.6B (2021-07-08 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • Jay Lawrence Kohn (Director And Managing Director) no longer on Schedule A of N•••••••• B••••• L••• A••••••• I• L•• (listed 2021-07-08, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • N•••••••• B••••• L••• A••••••• I• L•• reported RAUM $1.6B, up 289% from $401.0M (2020-12-01 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      • N•••••••• B••••• L••• A••••••• I• L•• filed its initial SEC registration (Form ADV)
        Mar 15, 2020 · 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
      Firm profile
      H••••://WWW.LINKEDIN.COM/COMPANY/N••••••••-B•••••reportedpublic record, Form ADV, Sep 18, 2026
      Website
      NB.COMreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      312-325-7700reportedpublic record, Form ADV, Mar 31, 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