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.
Former SEC-registered adviser
Nsi Retail Advisors, LLC
Latest filing Mar 29, 2024
First filing on the tape Dec 18, 2020 · 8 filings
RAUM
$703M
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
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$703M as of Mar 29, 2024
Mar 28, 2022$782M then
HNW client RAUM$0 as of Mar 29, 2024
Mar 28, 2022$0 then
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 30, 20211 then
Employees (5.A)4 as of Mar 29, 2024
Mar 30, 20214 then
Private funds: no history
RAUM +3.3% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2024; 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
- $141MderivedRAUM 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
- +3.3%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$703M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Scott Brian Allen · Chief Investment Officercontrolsince 07/2023 · owns less than 5%
- William Bradley Cox · Chief Financial Officercontrolsince 07/2023 · owns less than 5%
- Richard Mark Gensheimer · Presidentcontrolsince 11/2020 · owns less than 5%
- David Mark Goodwin · Chairmancontrolsince 11/2020 · owns less than 5%
- Eugene Alan Molotsky · Chief Legal Officercontrolsince 11/2020 · owns less than 5%
- Arthur Ulf Skreppen · Coo/Ccocontrolsince 07/2021 · owns less than 5%
- Allan Danny Kang · Managing Directorcontrolsince 11/2020 · owns F of Estancia Ugp II, LLC
- Casares Michael Mendez · Managing Directorcontrolsince 11/2020 · owns F of Estancia Ugp II, LLC
- Bayard Takashi Moriuchi · Managing Directorcontrolsince 11/2020 · owns F of Estancia Ugp II, LLC
Entity owners
- Nsir Intermediate Holdings LLC · Sole Ownerdirect · owns 75% or more
- Csm Group Holdings LLC · Sole Member Of Csm Group Intermediate Holdings LLCindirect · owns 75% or more of Csm Group Intermediate Holdings LLC
- Csm Group Intermediate Holdings LLC · Sole Member Of Nsir Intermediate Holdings LLCindirect · owns 75% or more of Nsir Intermediate Holdings LLC
- Csm Holdings, LLC · Sole Member Of Csm Group Holdings LLCindirect · owns 75% or more of Csm Group Holdings LLC
- Estancia Capital Partners Fund II, L.P. · Memberindirect · owns 75% or more of Nsi Holdco, LLC
- Estancia Gp II, L.P. · General Partnerindirect · owns F of Estancia Capital Partners Fund II, L.P.
- Estancia Ugp II, LLC · General Partnerindirect · owns F of Estancia Gp II, L.P.
- Nsi Holdco, LLC · Member Of Csm Holdings LLCindirect · owns 75% or more of Csm Holdings, LLC
Related persons
Schedule D 7.A
- Zeno An Solutionsinvestment adviserLP sponsorn
- Anos Capital, L.L.C.broker-dealerinvestment advisern
- Cs Mckeeinvestment advisernRAUM $12B
- Estancia Capital Management, LLCinvestment advisernRAUM $908M
- Estancia Gp II, LPpooled vehicle sponsorn
- Estancia Gp, LLCpooled vehicle sponsorn
- Geneva Capital Management LLCinvestment advisernRAUM $5.6B
- North Square Investments, LLCinvestment advisernRAUM $3.2B
- Pma Securities, LLCbroker-dealern
- Ptma Investment Advisorsinvestment advisernRAUM $31B
- Sapience Investments, LLCinvestment advisernRAUM $185M
- Snowden Account Services LLCbroker-dealern
- Snowden Capital Advisors LLCinvestment advisernRAUM $8.9B
- Snowden Insurance Services LLCreal estaten
Advisers that list Nsi Retail Advisors, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Aug 4, 2023 to Mar 29, 2024
- Employees · 3 to 4Aug 4, 2023 to Mar 29, 2024
- Discretionary RAUM · $680M to $703MAug 4, 2023 to Mar 29, 2024
- RAUM · $680M to $703MAug 4, 2023 to Mar 29, 2024
- HQ city · PITTSBURGH to WARRENDALEMar 31, 2023 to Jun 13, 2023
- Accounts · 4 to 5Mar 28, 2022 to Mar 31, 2023
- Discretionary RAUM · $782M to $680MMar 28, 2022 to Mar 31, 2023
- RAUM · $782M to $680MMar 28, 2022 to Mar 31, 2023
- Accounts · 3 to 4Jul 14, 2021 to Mar 28, 2022
- BD registered reps · 1 to 0Jul 14, 2021 to Mar 28, 2022
- Charity clients · unset to 0.0Jul 14, 2021 to Mar 28, 2022
- Corporate clients · unset to 0.0Jul 14, 2021 to Mar 28, 2022
- HNW clients · unset to 0.0Jul 14, 2021 to Mar 28, 2022
- Individual clients · unset to 0.0Jul 14, 2021 to Mar 28, 2022
- Pension plan clients · unset to 0.0Jul 14, 2021 to Mar 28, 2022
- Pooled vehicle clients · unset to 0.0Jul 14, 2021 to Mar 28, 2022
- Employees · 6 to 3Jul 14, 2021 to Mar 28, 2022
- Insurance-licensed employees · 3 to 0Jul 14, 2021 to Mar 28, 2022
- State-registered IARs · 3 to 0Jul 14, 2021 to Mar 28, 2022
- Discretionary RAUM · $728M to $782MJul 14, 2021 to Mar 28, 2022
- HNW RAUM · unset to 0.0Jul 14, 2021 to Mar 28, 2022
- Individual RAUM · unset to 0.0Jul 14, 2021 to Mar 28, 2022
- Pension RAUM · unset to 0.0Jul 14, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · unset to 0.0Jul 14, 2021 to Mar 28, 2022
- RAUM · $728M to $782MJul 14, 2021 to Mar 28, 2022
- Accounts · unset to 3.0Mar 30, 2021 to Jul 14, 2021
- Advisory employees · 1 to 3Mar 30, 2021 to Jul 14, 2021
- BD registered reps · 2 to 1Mar 30, 2021 to Jul 14, 2021
- Employees · 4 to 6Mar 30, 2021 to Jul 14, 2021
- Insurance-licensed employees · 1 to 3Mar 30, 2021 to Jul 14, 2021
- State-registered IARs · 1 to 3Mar 30, 2021 to Jul 14, 2021
- Discretionary RAUM · unset to 728480000.0Mar 30, 2021 to Jul 14, 2021
- Non-discretionary RAUM · unset to 0.0Mar 30, 2021 to Jul 14, 2021
- RAUM · unset to 728480000.0Mar 30, 2021 to Jul 14, 2021
- Accounts · 0.0 to unsetDec 18, 2020 to Mar 30, 2021
- Discretionary RAUM · 0.0 to unsetDec 18, 2020 to Mar 30, 2021
- Non-discretionary RAUM · 0.0 to unsetDec 18, 2020 to Mar 30, 2021
- RAUM · 0.0 to unsetDec 18, 2020 to Mar 30, 2021
Signals
3 dated events
- Scott Brian Allen (Chief Investment Officer) appeared on Schedule A of Nsi Retail Advisors, LlcMar 29, 2024 · Control person joined · fact
- William Bradley Cox (Chief Financial Officer) appeared on Schedule A of Nsi Retail Advisors, LlcJun 13, 2023 · Control person joined · fact
- Nsi Retail Advisors, Llc filed its initial SEC registration (Form ADV)Dec 18, 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