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•••• M••••••••• L••
Latest filing May 11, 2026
First filing on the tape Jun 2, 2022 · 12 filings
SEC status approved since Jul 6, 2022
RAUM
$450M
reported, Item 5.F
Discretionary
63%
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
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$450M as of May 11, 2026
Mar 27, 2023$483M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 11, 2026
Mar 27, 20230 then
Employees (5.A)8 as of May 11, 2026
Mar 27, 20238 then
Private funds3 as of May 11, 2026
Mar 27, 20233 then
RAUM -11% over the last fiscal year-2.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 11, 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
- $150MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 63%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
- -11%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
- $450M, 3 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$450M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $450M for 3 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•••••• F••• L•• | Private Equity Fund | $262M | 1 | Mar 27, 2023 |
| V••••••• P••••••• L•• | Private Equity Fund | $167M | 10 | Mar 18, 2022 |
| N•••• J••••• H••••••• L•• | Private Equity Fund | $86.6M | 5 | Mar 4, 2021 |
Owners and control persons
Schedule A and B, latest filing
- K••••• W•••••• J•••• · Chief Operating Officer And Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- N••••• P••••• J••••• · Managing Membercontrolsince 09/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 6 to 5Dec 5, 2025 to Mar 30, 2026
- Assets in custody · $507M to $450MDec 5, 2025 to Mar 30, 2026
- Employees · 10 to 8Dec 5, 2025 to Mar 30, 2026
- Discretionary RAUM · $350M to $286MDec 5, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $157M to $165MDec 5, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $507M to $450MDec 5, 2025 to Mar 30, 2026
- RAUM · $507M to $450MDec 5, 2025 to Mar 30, 2026
- Financial planning clients · unset to Jun 4, 2025 to Jul 25, 2025
- Advisory employees · 5 to 6Mar 27, 2024 to Mar 26, 2025
- Assets in custody · $516M to $507MMar 27, 2024 to Mar 26, 2025
- Employees · 8 to 10Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $354M to $350MMar 27, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $162M to $157MMar 27, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $516M to $507MMar 27, 2024 to Mar 26, 2025
- RAUM · $516M to $507MMar 27, 2024 to Mar 26, 2025
- Assets in custody · $483M to $516MFeb 14, 2024 to Mar 27, 2024
- Discretionary RAUM · $283M to $354MFeb 14, 2024 to Mar 27, 2024
- Non-discretionary RAUM · $200M to $162MFeb 14, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · $483M to $516MFeb 14, 2024 to Mar 27, 2024
- RAUM · $483M to $516MFeb 14, 2024 to Mar 27, 2024
- Accounts · 2 to 3Sep 8, 2022 to Mar 27, 2023
- Advisory employees · 4 to 5Sep 8, 2022 to Mar 27, 2023
- Pooled vehicle clients · 2 to 3Sep 8, 2022 to Mar 27, 2023
- Assets in custody · $165M to $483MSep 8, 2022 to Mar 27, 2023
- Employees · 6 to 8Sep 8, 2022 to Mar 27, 2023
- Private funds · 2 to 3Sep 8, 2022 to Mar 27, 2023
- Discretionary RAUM · $165M to $283MSep 8, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $0 to $200MSep 8, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $165M to $483MSep 8, 2022 to Mar 27, 2023
- RAUM · $165M to $483MSep 8, 2022 to Mar 27, 2023
- Private funds · 4 to 2Jun 2, 2022 to Sep 8, 2022
Signals
4 dated events
- James Wesley Knuth (Chief Operating Officer And Chief Compliance Officer) appeared on Schedule A of N•••• M••••••••• L••Feb 14, 2024 · Control person joined · fact
- Seung Yol James Shin (Chief Compliance Officer And Chief Financial Offier) no longer on Schedule A of N•••• M••••••••• L•• (listed 2023-11-22, absent 2024-02-14)Feb 14, 2024 · Control person left · inference
- N•••• M••••••••• L•• reported RAUM $483.4M, up 193% from $164.8M (2022-09-08 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
- N•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 2, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- N•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- N•••• M••••••••• L•• · Private Equityshared crd · organization
- N•••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- n•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 424-675-7605reportedpublic record, Form ADV, May 11, 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