DFX Intelligence

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Former SEC-registered adviser

N•••••••• R••••••• I••

Former SEC-registered adviserAtlanta, GeorgiaCRD 312803SEC 801-120607IAPD

Latest filing Jul 22, 2021

First filing on the tape Feb 23, 2021 · 6 filings

RAUM

$12.7M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

83%

$10.5M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

6 filings and snapshots on the tape

RAUM$12.7M as of Jul 22, 2021

Feb 23, 2021$0 then

HNW client RAUM$10.5M as of Jul 22, 2021

Feb 23, 2021$0 then

State-registered IARs (5.B.3)5 as of Jul 22, 2021

Feb 23, 20215 then

Employees (5.A)5 as of Jul 22, 2021

Feb 23, 20215 then

Private funds: no history

Practice profile

derived from the filing of Jul 22, 2021; every figure names its basis

RAUM per advisor: $2.5MderivedRAUM 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: $4.2MderivedRAUM 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: 5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween 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, fixed fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, otherreportedItem 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

High-net-worth individuals$10.5M83%
Pooled investment vehicles$1.5M12%
Corporations and businesses$650,0005.1%

Individual clients: 0reported
HNW clients: n/areported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 3reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, performancereported
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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

K•••• E•••• M•••• · Chief Executive Officer, Chief Compliance Officercontrol
since 12/2020 · owns less than 5%
K•••• T•••••• J••••• · Executive Vice President - R&Dcontrol
since 12/2020 · owns less than 5%
M•••••• S•••• I•••• · Chairmancontrol
since 12/2020 · owns less than 5%
W•••••• P•••• M•••••• · Executive Vice President - Project Managementcontrol
since 12/2020 · owns less than 5%
B••••••••• E•••••• B••• · Trusteecontrol
since 06/1997 · owns F of T•• 1••• M••••• T•••• F•• G••••••••• U•• 6••••••
C•••••• D•••• · Trusteecontrol
since 06/1997 · owns F of T•• 1••• M••••• T•••• F•• G••••••••• U•• 6••••••
K•••• E•••• M•••• · Shareholdercontrol
since 12/2020 · owns 50% to 75% of L••••• R••••••• I•••

Entity owners

N•••••••• H••••••• L•• · Shareholder
direct · owns 75% or more
L••••• R••••••• I••• · Member
indirect · owns 50% to 75% of N•••••••• H••••••• L••
M••••• I•••••••• L•• · Member
indirect · owns 25% to 50% of N•••••••• H••••••• L••
T•• 1••• M••••• T•••• F•• G••••••••• U•• 6•••••• · Limited Partner
indirect · owns 25% to 50% of M••••• I•••••••• L••

Related persons

Schedule D 7.A

C•••••• B•••• C•••••• L•••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 0 to 3
May 25, 2021 to Jun 9, 2021
Corporate clients · 0.0 to unset
May 25, 2021 to Jun 9, 2021
HNW clients · 0.0 to unset
May 25, 2021 to Jun 9, 2021
Pooled vehicle clients · 0 to 1
May 25, 2021 to Jun 9, 2021
Discretionary RAUM · $0 to $12.7M
May 25, 2021 to Jun 9, 2021
HNW RAUM · $0 to $10.5M
May 25, 2021 to Jun 9, 2021
Pooled vehicle RAUM · $0 to $1.5M
May 25, 2021 to Jun 9, 2021
RAUM · $0 to $12.7M
May 25, 2021 to Jun 9, 2021
HQ city · PEACHTREE CORNERS to ATLANTA
Feb 23, 2021 to Mar 22, 2021

Signals

3 dated events

David Cooper (Trustee) appeared on Schedule A of N•••••••• R••••••• I••
May 25, 2021 · Control person joined · fact
Beth Esther Bronstein (Trustee) appeared on Schedule A of N•••••••• R••••••• I••
May 25, 2021 · Control person joined · fact
N•••••••• R••••••• I•• filed its initial SEC registration (Form ADV)
Feb 23, 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.

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