DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
N••••• W••••• L••
Latest filing Apr 28, 2025
First filing on the tape Apr 12, 2021 · 11 filings
SEC status approved since Apr 28, 2023
RAUM
$21.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$21.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$21.8M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$21.8M as of Apr 28, 2025
Mar 20, 2024$11.9M then
HNW client RAUM$8.7M as of Apr 28, 2025
Mar 20, 2024$5.3M then
State-registered IARs (5.B.3)1 as of Apr 28, 2025
Mar 20, 20241 then
Employees (5.A)1 as of Apr 28, 2025
Mar 20, 20241 then
Private funds: no history
RAUM +83% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 28, 2025; every figure names its basis
- RAUM per advisor
- $21.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $215,405derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +83%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$13.1M60%
- High-net-worth individuals$8.7M40%
- Individual clients
- 20reported
- HNW clients
- 5reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 101reported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• N••••• | Scottsdale, Az | Sep 24, 2020 | 22 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• J•••••• · Ceo And Ccocontrolsince 06/2020 · owns 75% or more
Related persons
Schedule D 7.A
- C••• C••••••• L••pooled vehicle sponsory
- J•••••• N•••••real estatey
- S••• C•••••• S•••••••••investment adviseryRAUM $20,000
Advisers that list N••••• W••••• L•• as a related person
- 318236 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 91 to 101Aug 14, 2024 to Apr 28, 2025
- Discretionary RAUM · $11.9M to $21.8MAug 14, 2024 to Apr 28, 2025
- HNW RAUM · $5.3M to $8.7MAug 14, 2024 to Apr 28, 2025
- Individual RAUM · $6.6M to $13.1MAug 14, 2024 to Apr 28, 2025
- RAUM · $11.9M to $21.8MAug 14, 2024 to Apr 28, 2025
- Accounts · 92 to 91Feb 8, 2024 to Mar 20, 2024
- Discretionary RAUM · $7.5M to $11.9MFeb 8, 2024 to Mar 20, 2024
- HNW RAUM · $3.3M to $5.3MFeb 8, 2024 to Mar 20, 2024
- Individual RAUM · $4.2M to $6.6MFeb 8, 2024 to Mar 20, 2024
- RAUM · $7.5M to $11.9MFeb 8, 2024 to Mar 20, 2024
- Accounts · 21 to 92May 5, 2021 to Mar 29, 2023
- Advisory employees · 2 to 1May 5, 2021 to Mar 29, 2023
- HNW clients · unset to 5.0May 5, 2021 to Mar 29, 2023
- Individual clients · 21 to 20May 5, 2021 to Mar 29, 2023
- Employees · 4 to 1May 5, 2021 to Mar 29, 2023
- State-registered IARs · 2 to 1May 5, 2021 to Mar 29, 2023
- Discretionary RAUM · $4.8M to $7.5MMay 5, 2021 to Mar 29, 2023
- HNW RAUM · unset to 3346172.0May 5, 2021 to Mar 29, 2023
- Individual RAUM · $4.8M to $4.2MMay 5, 2021 to Mar 29, 2023
- RAUM · $4.8M to $7.5MMay 5, 2021 to Mar 29, 2023
- Advisory employees · 1 to 2Apr 12, 2021 to May 5, 2021
- State-registered IARs · 1 to 2Apr 12, 2021 to May 5, 2021
- Advisory activities · 2 to 1May 5, 2021 to May 5, 2021
Signals
2 dated events
- N••••• W••••• L•• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $21.8M)Jun 2, 2025 · Left the SEC roster · derived
- N••••• W••••• L•• filed its initial SEC registration (Form ADV)Apr 12, 2021 · 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
- Website
- n•••••••••.comreportedpublic record, Form ADV, Sep 21, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $21.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026