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••••• C•••••• M••••••••• L•••
Latest filing Apr 29, 2026
First filing on the tape Jun 23, 2020 · 17 filings
SEC status approved since Jul 17, 2020
RAUM
$468M
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
8
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$468M as of Apr 29, 2026
Mar 24, 2021$178M then
HNW client RAUM$0 as of Apr 29, 2026
Mar 24, 2021$0 then
State-registered IARs (5.B.3)0 as of Apr 29, 2026
Mar 24, 20210 then
Employees (5.A)8 as of Apr 29, 2026
Mar 24, 20215 then
Private funds5 as of Apr 29, 2026
Mar 24, 20215 then
RAUM +8.2% over the last fiscal year+26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 29, 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
- $93.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.2%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
- $468M, 5 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$468M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $468M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•••• B••••• C•••••• F••• I•• L••• | Private Equity Fund | $207M | 18 | Mar 26, 2024 |
| N•••• B••••• C•••••• F••• I• L••• | Private Equity Fund | $173M | 19 | Jan 23, 2020 |
| C•••••• C•••• H•••••• C••••••• L•• | Private Equity Fund | $23.0M | 12 | Jun 3, 2019 |
| A••• H•••••••• L•• | Private Equity Fund | $18.1M | 14 | Jun 3, 2019 |
| N•••• B••••• C•••••• F••• I• S•••••• L••• | Private Equity Fund | $6.4M | 40 | Jun 23, 2020 |
| N•••• B••••• C•••••• F••• I• S•••••• L••• | Private Equity Fund | $6.0M | 40 | Mar 26, 2024 |
| H•••••••• H••• S••••••• P•••••• L••no longer reported | Private Equity Fund | $0 | 24 | Jun 3, 2019 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• D•••••• B•••• · Limited Partnercontrolsince 04/2019 · owns 10% to 25%
- F•••••• N•••• A•••••••• · Chief Financial Officer, Chief Compliance Officercontrolsince 08/2021 · owns less than 5%
- G•••• T•••••• J•••• · Limited Partnercontrolsince 07/2023 · owns 10% to 25%
- H••••• W••••••• W•••••• · Limited Partnercontrolsince 04/2019 · owns 25% to 50%
- L•••••• J•••••••• E••• · Limited Partnercontrolsince 04/2019 · owns 25% to 50%
- H••••• W••••••• W•••••• · Partner; Membercontrolsince 04/2019 · owns 25% to 50% of N•••• B••••• C•••••• M••••••••• G•• L••
- L•••••• J•••••••• E••• · Partner; Managing Membercontrolsince 04/2019 · owns 25% to 50% of N•••• B••••• C•••••• M••••••••• G•• L••
Entity owners
- N•••• B••••• C•••••• M••••••••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- N•••• B••••• C•••••• P••••••• G• I• L•••pooled vehicle sponsory
- N•••• B••••• C•••••• P••••••• G• I•• L•••••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 5Jun 6, 2025 to Mar 25, 2026
- Advisory employees · 7 to 8Jun 6, 2025 to Mar 25, 2026
- Pooled vehicle clients · 6 to 5Jun 6, 2025 to Mar 25, 2026
- Assets in custody · $432M to $468MJun 6, 2025 to Mar 25, 2026
- Employees · 7 to 8Jun 6, 2025 to Mar 25, 2026
- Private funds · 6 to 5Jun 6, 2025 to Mar 25, 2026
- Discretionary RAUM · $432M to $468MJun 6, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $432M to $468MJun 6, 2025 to Mar 25, 2026
- RAUM · $432M to $468MJun 6, 2025 to Mar 25, 2026
- Financial planning clients · unset to Mar 25, 2025 to Jun 6, 2025
- Advisory employees · 8 to 7Jan 16, 2025 to Mar 25, 2025
- Assets in custody · $430M to $432MJan 16, 2025 to Mar 25, 2025
- Employees · 9 to 7Jan 16, 2025 to Mar 25, 2025
- Discretionary RAUM · $430M to $432MJan 16, 2025 to Mar 25, 2025
- Pooled vehicle RAUM · $430M to $432MJan 16, 2025 to Mar 25, 2025
- RAUM · $430M to $432MJan 16, 2025 to Mar 25, 2025
- Accounts · 4 to 6Jul 17, 2023 to Mar 26, 2024
- Advisory employees · 6 to 8Jul 17, 2023 to Mar 26, 2024
- Pooled vehicle clients · 4 to 6Jul 17, 2023 to Mar 26, 2024
- Assets in custody · $234M to $430MJul 17, 2023 to Mar 26, 2024
- Employees · 7 to 9Jul 17, 2023 to Mar 26, 2024
- Private funds · 4 to 6Jul 17, 2023 to Mar 26, 2024
- Discretionary RAUM · $234M to $430MJul 17, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $234M to $430MJul 17, 2023 to Mar 26, 2024
- RAUM · $234M to $430MJul 17, 2023 to Mar 26, 2024
- Accounts · 5 to 4Apr 12, 2022 to Mar 7, 2023
- Pooled vehicle clients · 5 to 4Apr 12, 2022 to Mar 7, 2023
- Assets in custody · $229M to $234MApr 12, 2022 to Mar 7, 2023
- Private funds · 5 to 4Apr 12, 2022 to Mar 7, 2023
- Discretionary RAUM · $229M to $234MApr 12, 2022 to Mar 7, 2023
- Pooled vehicle RAUM · $229M to $234MApr 12, 2022 to Mar 7, 2023
- RAUM · $229M to $234MApr 12, 2022 to Mar 7, 2023
- Advisory employees · 5 to 6Aug 3, 2021 to Mar 15, 2022
- Assets in custody · $183M to $229MAug 3, 2021 to Mar 15, 2022
- Employees · 5 to 7Aug 3, 2021 to Mar 15, 2022
- Discretionary RAUM · $183M to $229MAug 3, 2021 to Mar 15, 2022
- Pooled vehicle RAUM · $183M to $229MAug 3, 2021 to Mar 15, 2022
- RAUM · $183M to $229MAug 3, 2021 to Mar 15, 2022
- Assets in custody · $178M to $183MMar 24, 2021 to Apr 12, 2021
- Discretionary RAUM · $178M to $183MMar 24, 2021 to Apr 12, 2021
Signals
5 dated events
- N•••• B••••• C•••••• M••••••••• L••• reported RAUM $430.1M, up 84% from $234.3M (2023-07-17 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- James Thomas Gaul (Limited Partner) appeared on Schedule A of N•••• B••••• C•••••• M••••••••• L•••Jul 17, 2023 · Control person joined · fact
- R Nick Johansson (Chief Compliance Officer) no longer on Schedule A of N•••• B••••• C•••••• M••••••••• L••• (listed 2021-07-10, absent 2021-08-02)Aug 2, 2021 · Control person left · inference
- A. Neil Firlit (Chief Financial Officer, Chief Compliance Officer) appeared on Schedule A of N•••• B••••• C•••••• M••••••••• L•••Aug 2, 2021 · Control person joined · fact
- N•••• B••••• C•••••• M••••••••• L••• filed its initial SEC registration (Form ADV)Jun 23, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- N•••• B••••• C•••••• M••••••••• L••• · Independent Sponsorsshared crd · capital_provider
- N•••• B••••• C•••••• M••••••••• L••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/north-branch-capital-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- northbranchcap.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 630-782-1590reportedpublic record, Form ADV, Apr 29, 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