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

L••••••••• • N•••• C•••••• H••••• L••

Former SEC-registered adviserPittsford, New YorkCRD 308176SEC 801-118802IAPD
Latest filing Mar 9, 2022
First filing on the tape Apr 27, 2020 · 4 filings
RAUM
$29.4M
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
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$29.4M gross assets
History
4 filings and snapshots on the tape
RAUM$29.4M as of Mar 9, 2022
Mar 12, 2021$32.8M then
HNW client RAUM$0 as of Mar 9, 2022
Mar 12, 2021$0 then
State-registered IARs (5.B.3)1 as of Mar 9, 2022
Mar 12, 20212 then
Employees (5.A)4 as of Mar 9, 2022
Mar 12, 20215 then
Private funds1 as of Mar 9, 2022
Mar 12, 20211 then
RAUM -10% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Mar 9, 2022; every figure names its basis
RAUM per advisor
$29.4MderivedRAUM 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
$29.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-10%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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$29.4M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N•••• C•••••• R••• E•••••• I•••Real Estate Fund$29.4M8Apr 27, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• M••••••• R•••••• · President & Chief Compliance Officercontrol
        since 10/2018 · owns less than 5%
      • B•••••• B••••••• P••••• · Membercontrol
        since 10/2018 · owns 75% or more of N• H••• R••• H•••••••• L••
      • G••••••••• J•••••• M•••••• · Membercontrol
        since 10/2018 · owns 75% or more of C•••••••• P•••••••• L••
      • M•••••• M••••••• R•••••• · Membercontrol
        since 10/2018 · owns 75% or more of M•• H•••••••• L••
      • S•••••• S••••• R••••• · Membercontrol
        since 06/2007 · owns 75% or more of S• R•• P••••••••• L••
      Entity owners
      • C•••••••• P•••••••• L•• · Member
        direct · owns 25% to 50%
      • M•• H•••••••• L•• · Member
        direct · owns 10% to 25%
      • N• H••• R••• H•••••••• L•• · Member
        direct · owns 25% to 50%
      • S• R•• P••••••••• L•• · Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • L••••••••• M••••••••• L••
        investment companyy
      • M•• I•••••••• A•••••• L••
        real estaten
      • N•••• C••••••• L••
        investment advisernRAUM $11.9M
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 1
        Mar 12, 2021 to Mar 9, 2022
      • Employees · 5 to 4
        Mar 12, 2021 to Mar 9, 2022
      • State-registered IARs · 2 to 1
        Mar 12, 2021 to Mar 9, 2022
      • Discretionary RAUM · $32.8M to $29.4M
        Mar 12, 2021 to Mar 9, 2022
      • Pooled vehicle RAUM · $32.8M to $29.4M
        Mar 12, 2021 to Mar 9, 2022
      • RAUM · $32.8M to $29.4M
        Mar 12, 2021 to Mar 9, 2022
      • Discretionary RAUM · $32.4M to $32.8M
        Sep 25, 2020 to Mar 12, 2021
      • Pooled vehicle RAUM · $32.4M to $32.8M
        Sep 25, 2020 to Mar 12, 2021
      • RAUM · $32.4M to $32.8M
        Sep 25, 2020 to Mar 12, 2021
      • Discretionary RAUM · $10.4M to $32.4M
        Apr 27, 2020 to Sep 25, 2020
      • Pooled vehicle RAUM · $10.4M to $32.4M
        Apr 27, 2020 to Sep 25, 2020
      • RAUM · $10.4M to $32.4M
        Apr 27, 2020 to Sep 25, 2020
      Signals
      1 dated events
      • L••••••••• • N•••• C•••••• H••••• L•• filed its initial SEC registration (Form ADV)
        Apr 27, 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.
      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
      Across the graphs

      L••••••••• • N•••• C•••••• H••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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