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•••••••• I••••••••• M••••••••• L•
Latest filing May 20, 2026
First filing on the tape Apr 8, 2020 · 14 filings
SEC status approved since May 8, 2020
RAUM
$2.8B
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
30
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
15
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$2.8B as of May 20, 2026
Mar 31, 2021$1.0B then
HNW client RAUM$0 as of May 20, 2026
Mar 31, 2021$0 then
State-registered IARs (5.B.3)0 as of May 20, 2026
Mar 31, 20210 then
Employees (5.A)30 as of May 20, 2026
Mar 31, 202116 then
Private funds15 as of May 20, 2026
Mar 31, 20213 then
RAUM +5.5% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 20, 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
- $101MderivedRAUM 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
- +5.4%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)
- 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$2.8B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 28reported
- Financial planning clients
- reported
- 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=false related_bank=true 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I••••••••• I••••••••• F•••••• C•••••• I••• L••• | Private Equity Fund | $948M | 13 | Mar 31, 2021 |
| I••••••••• I••••••••• F•••••• C•••••• I•• L••• | Private Equity Fund | $384M | 20 | Mar 31, 2017 |
| I••••••••• I••••••••• F•••••• C•••••• I••••• S••• | Private Equity Fund | $215M | 10 | Mar 31, 2023 |
| I••••••••• I••••••••• F•••••• C•••••• I• S••• | Private Equity Fund | $151M | 2 | Mar 29, 2024 |
| I••••••••• I••••••••• F•••••• C•••••• F•••• L••• | Hedge Fund | $135M | 7 | Feb 28, 2014 |
| K••••••• P••••••• M••••• F••• B• L••• | Hedge Fund | $104M | 2 | Mar 31, 2023 |
| L••••••• P••••••• M••••• F••• B• L••• | Private Equity Fund | $100M | 2 | Mar 31, 2022 |
| S••••••••• P••••••• M••••• F••• B• L••• | Private Equity Fund | $23.1M | 2 | Mar 29, 2024 |
| B••• M••••• F•••• L••• | Private Equity Fund | $0 | 2 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- H••••• A•••••• S•••• · President And Chief Executive Officercontrolsince 02/2020 · owns less than 5%
- S••••••••• J••••••• S••••• · Chief Compliance Officer, General Counselcontrolsince 03/2020 · owns less than 5%
- H••••• A•••••• S•••• · Managing Membercontrolsince 02/2020 · owns 75% or more of N•• G•• L••
- H••••• A•••••• S•••• · Sole Membercontrolsince 02/2020 · owns 75% or more of N•• H•••••• L••
- H••••• A•••••• S•••• · Limited Partnersince 02/2020 · owns 50% to 75% of N•••••••• I••••••••• H•••••••• L•
Entity owners
- N•••••••• I••••••••• H•••••••• L• · Limited Partner Of N•••••••• I••••••••• M••••••••• L• And N•••••••• Global Management, LP.direct · owns 75% or more
- N•• G•• L•• · General Partner Of N•••••••• I••••••••• M••••••••• L• And N•••••••• Global Management, LP.direct · owns less than 5%
- N•• G•• L•• · General Partnerindirect · owns F of N•••••••• I••••••••• H•••••••• L•
- N•• H•••••• L•• · Managing Memberindirect · owns 75% or more of N•• G•• L••
Related persons
Schedule D 7.A
- B•••••• F•••••• G•• L••pooled vehicle sponsory
- I••• F••• G•• L••pooled vehicle sponsorn
- I••• I• G•• L••pooled vehicle sponsorn
- I••• I•• G•••• S•••••••pooled vehicle sponsorn
- I••• I•• G•• L••pooled vehicle sponsorn
- I••• I• G• S•••••••pooled vehicle sponsorn
- K••••••• P••••••• G•• L••pooled vehicle sponsorn
- L••••••• G•• L••pooled vehicle sponsorn
- S••••••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $2.8B to $2.8BMar 31, 2026 to May 20, 2026
- Pooled vehicle RAUM · $2.8B to $2.8BMar 31, 2026 to May 20, 2026
- RAUM · $2.8B to $2.8BMar 31, 2026 to May 20, 2026
- Accounts · 26 to 28Jun 5, 2025 to Mar 31, 2026
- Pooled vehicle clients · 26 to 28Jun 5, 2025 to Mar 31, 2026
- Employees · 29 to 30Jun 5, 2025 to Mar 31, 2026
- Private funds · 14 to 15Jun 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.7B to $2.8BJun 5, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $2.7B to $2.8BJun 5, 2025 to Mar 31, 2026
- RAUM · $2.7B to $2.8BJun 5, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jun 5, 2025
- Discretionary RAUM · $2.7B to $2.7BMar 31, 2025 to Jun 5, 2025
- Pooled vehicle RAUM · $2.7B to $2.7BMar 31, 2025 to Jun 5, 2025
- RAUM · $2.7B to $2.7BMar 31, 2025 to Jun 5, 2025
- Accounts · 17 to 26Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 13 to 16Mar 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 17 to 26Mar 29, 2024 to Mar 31, 2025
- Employees · 24 to 29Mar 29, 2024 to Mar 31, 2025
- Private funds · 9 to 14Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.1B to $2.7BMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $2.1B to $2.7BMar 29, 2024 to Mar 31, 2025
- RAUM · $2.1B to $2.7BMar 29, 2024 to Mar 31, 2025
- Accounts · 13 to 17Jan 23, 2024 to Mar 29, 2024
- Advisory employees · 11 to 13Jan 23, 2024 to Mar 29, 2024
- Pooled vehicle clients · 13 to 17Jan 23, 2024 to Mar 29, 2024
- Employees · 20 to 24Jan 23, 2024 to Mar 29, 2024
- Private funds · 6 to 9Jan 23, 2024 to Mar 29, 2024
- Discretionary RAUM · $1.9B to $2.1BJan 23, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $1.9B to $2.1BJan 23, 2024 to Mar 29, 2024
- RAUM · $1.9B to $2.1BJan 23, 2024 to Mar 29, 2024
- Accounts · 9 to 13Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 10 to 11Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 9 to 13Mar 31, 2022 to Mar 31, 2023
- Employees · 16 to 20Mar 31, 2022 to Mar 31, 2023
- Private funds · 4 to 6Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.6B to $1.9BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.6B to $1.9BMar 31, 2022 to Mar 31, 2023
- RAUM · $1.6B to $1.9BMar 31, 2022 to Mar 31, 2023
- Accounts · 6 to 9Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 9 to 10Mar 31, 2021 to Mar 31, 2022
Signals
3 dated events
- N•••••••• I••••••••• M••••••••• L• reported RAUM $2.7B, up 30% from $2.1B (2024-03-29 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- N•••••••• I••••••••• M••••••••• L• reported RAUM $1.6B, up 52% from $1.0B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- N•••••••• I••••••••• M••••••••• filed its initial SEC registration (Form ADV)Apr 8, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- N•••••••• I••••••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- N•••••••• I••••••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/newmarket-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/battery-financereportedpublic record, Form ADV, Sep 18, 2026
- Website
- n•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 215-701-9690reportedpublic record, Form ADV, May 20, 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