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•••• E••••••• A•••• M••••••••• L••
Latest filing Jul 2, 2026
First filing on the tape Mar 31, 2022 · 12 filings
SEC status approved since May 2, 2022
RAUM
$239M
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
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$239M as of Jul 2, 2026
Mar 31, 2023$198M then
HNW client RAUM$0 as of Jul 2, 2026
Mar 27, 2025$7.0M then
State-registered IARs (5.B.3)1 as of Jul 2, 2026
Mar 31, 20231 then
Employees (5.A)5 as of Jul 2, 2026
Mar 31, 20235 then
Private funds3 as of Jul 2, 2026
Mar 31, 20232 then
RAUM +8.8% over the last fiscal year+6.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jul 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $239MderivedRAUM 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
- $79.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$239M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false 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
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- S••••• J•• Q••• to T•••••• I••••••••• I•••Jun 29, 2026 · Other
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•••• E••••••• A••• F••• I• L• | Private Equity Fund | $109M | 5 | Mar 31, 2022 |
| N•••• E••••••• A••• F••• L• | Private Equity Fund | $95.5M | 2 | Mar 31, 2022 |
| N•••• E••••••• T••••••••• F••• L•no longer reported | Private Equity Fund | $0 | 0 | Feb 6, 2020 |
Owners and control persons
Schedule A and B, latest filing
- D•••• Y••••• · Ciocontrolsince 02/2022 · owns less than 5%
- Q•••• S•••••• J•• · Coocontrolsince 09/2021 · owns less than 5%
- Z••••• J••••• · Ceocontrolsince 02/2022 · owns less than 5%
- D•••• Y••••• · Ownercontrolsince 01/2020 · owns 25% to 50% of J••• I••••••••• L••••••
- Z••••• J••••• · Ownercontrolsince 05/2019 · owns 50% to 75% of J••• I••••••••• L••••••
- S•••••• S••••• N•• · Ccosince 01/2022 · owns less than 5%
Entity owners
- N• U•• H•••••• L•• · Owner Of N•••• E••••••• A•••• M••••••••• L••direct · owns 75% or more
- J••• I••••••••• L•••••• · Ownerindirect · owns 75% or more of N•••• E••••••• D••• T••• G••••
- N•••• E••••••• D••• T••• G•••• · Ownerindirect · owns 75% or more of N• U•• H•••••• L••
Related persons
Schedule D 7.A
- N•••• E••••••• C•••••• H• L••••••broker-dealern
- N•••• E••••••• S••••••••• A••• L•••pooled vehicle sponsorn
- N•••• E••••••• S••••••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Shenzhen, China1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- private fund count surgeChange between filings · filing Mar 30, 2026private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-27 and 2026-03-30; the peer median change was 0.0% (734 comparable advisers, 95.0th percentile of changes)peers: asset managers, $100M to $500M (734) · 95% percentile
What changed
consecutive filings, newest first
- HQ city · CAMBRIDGE to NEW YORKJun 29, 2026 to Jul 2, 2026
- HQ state · MA to NYJun 29, 2026 to Jul 2, 2026
- Accounts · 12 to 3Mar 27, 2025 to Mar 30, 2026
- HNW clients · 10.0 to unsetMar 27, 2025 to Mar 30, 2026
- Pooled vehicle clients · 2 to 3Mar 27, 2025 to Mar 30, 2026
- Private funds · 2 to 3Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $219M to $239MMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $7.0M to $0Mar 27, 2025 to Mar 30, 2026
- Individual RAUM · unset to 0.0Mar 27, 2025 to Mar 30, 2026
- Pension RAUM · unset to 0.0Mar 27, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $212M to $239MMar 27, 2025 to Mar 30, 2026
- RAUM · $219M to $239MMar 27, 2025 to Mar 30, 2026
- Accounts · 2 to 12Feb 5, 2025 to Mar 27, 2025
- HNW clients · unset to 10.0Feb 5, 2025 to Mar 27, 2025
- Financial planning clients · 0 to 0Feb 5, 2025 to Mar 27, 2025
- Discretionary RAUM · $205M to $219MFeb 5, 2025 to Mar 27, 2025
- HNW RAUM · unset to 7000000.0Feb 5, 2025 to Mar 27, 2025
- Pooled vehicle RAUM · $205M to $212MFeb 5, 2025 to Mar 27, 2025
- RAUM · $205M to $219MFeb 5, 2025 to Mar 27, 2025
- Discretionary RAUM · $198M to $205MMar 31, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $198M to $205MMar 31, 2023 to Mar 27, 2024
- RAUM · $198M to $205MMar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $192M to $198MSep 15, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $192M to $198MSep 15, 2022 to Mar 31, 2023
- RAUM · $192M to $198MSep 15, 2022 to Mar 31, 2023
- Private funds · 4 to 2Mar 31, 2022 to Jun 15, 2022
Signals
2 dated events
- S••••• J•• Q••• left N•••• E••••••• A•••• M••••••••• L•• for T•••••• I••••••••• I••• (registered 2025-04-17)Jun 29, 2026 · Advisor changed firm · fact
- N•••• E••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 31, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- N•••• E••••••• A•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- N•••• E••••••• A•••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- neam-us.com.reportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 5162866888reportedpublic 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