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.
SEC-registered adviser
Efg Asset Management (North America) Corp
Latest filing Mar 31, 2026
First filing on the tape Feb 19, 2021 · 11 filings
SEC status approved since Mar 22, 2021
RAUM
$809M
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
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$809M as of Mar 31, 2026
Mar 29, 2022$812M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 29, 2022$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20220 then
Employees (5.A)5 as of Mar 31, 2026
Mar 29, 20227 then
Private funds: no history
RAUM +8.8% over the last fiscal year+22% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 31, 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
- $53.9MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.8%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 businesses and institutions, 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)
- has discretionary authority over which securities are bought or sold (8.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$806M100%
- Other investment advisers$2.9M0.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 15reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- David Michael Clulow · Chief Executive Officercontrolsince 12/2024 · owns less than 5%
- F Keri Wong · Chief Operating Officercontrolsince 10/2022 · owns less than 5%
- Joseph Eric Kleinschmidt · Chief Compliance Officersince 12/2021 · owns less than 5%
Entity owners
- Efg International Ag · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Efg Asset Management (Singapore) Pte Ltdinvestment advisern
- Efg Asset Management (Uk) Ltd.investment advisern
Advisers that list Efg Asset Management (North America) Corp as a related person
- 158905 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 31, 2026performance-based compensation (Item 5.E.6): yes on the filing of 2025-03-27, no on the filing of 2026-03-31peers: asset managers, $500M to $1B (783)
What changed
consecutive filings, newest first
- Accounts · 4 to 15Mar 27, 2025 to Mar 31, 2026
- Pooled vehicle clients · 4 to 3Mar 27, 2025 to Mar 31, 2026
- Employees · 7 to 5Mar 27, 2025 to Mar 31, 2026
- Other offices · 0 to 1Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $744M to $806MMar 27, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $2.9MMar 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $744M to $806MMar 27, 2025 to Mar 31, 2026
- RAUM · $744M to $809MMar 27, 2025 to Mar 31, 2026
- Employees · 8 to 7Dec 12, 2024 to Mar 27, 2025
- Financial planning clients · unset to Dec 12, 2024 to Mar 27, 2025
- Discretionary RAUM · $533M to $744MDec 12, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $533M to $744MDec 12, 2024 to Mar 27, 2025
- RAUM · $533M to $744MDec 12, 2024 to Mar 27, 2025
- Advisory employees · 5 to 4Mar 31, 2023 to Mar 28, 2024
- Employees · 9 to 8Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $444M to $533MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $444M to $533MMar 31, 2023 to Mar 28, 2024
- RAUM · $444M to $533MMar 31, 2023 to Mar 28, 2024
- Employees · 7 to 9Jan 3, 2023 to Mar 31, 2023
- Discretionary RAUM · $812M to $444MJan 3, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $812M to $444MJan 3, 2023 to Mar 31, 2023
- RAUM · $812M to $444MJan 3, 2023 to Mar 31, 2023
- Discretionary RAUM · $773M to $812MDec 22, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $773M to $812MDec 22, 2021 to Mar 29, 2022
- RAUM · $773M to $812MDec 22, 2021 to Mar 29, 2022
- Related broker-dealer · true to falseDec 22, 2021 to Mar 29, 2022
- Accounts · 0 to 4Feb 19, 2021 to Jul 9, 2021
- Pooled vehicle clients · unset to 4.0Feb 19, 2021 to Jul 9, 2021
- Discretionary RAUM · $0 to $773MFeb 19, 2021 to Jul 9, 2021
- Pooled vehicle RAUM · $0 to $773MFeb 19, 2021 to Jul 9, 2021
- RAUM · $0 to $773MFeb 19, 2021 to Jul 9, 2021
Signals
8 dated events
- Efg Asset Management (North America) Corp reported RAUM $743.8M, up 40% from $533.0M (2024-12-12 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- Joseph Donald Klotter (Chief Executive Officer) no longer on Schedule A of Efg Asset Management (North America) Corp (listed 2024-03-28, absent 2024-12-12)Dec 12, 2024 · Control person left · inference
- David Michael Clulow (Chief Executive Officer) appeared on Schedule A of Efg Asset Management (North America) CorpDec 12, 2024 · Control person joined · fact
- Efg Asset Management (North America) Corp reported RAUM $444.2M, down 45% from $811.7M (2023-01-03 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- F Keri Wong (Chief Operating Officer) appeared on Schedule A of Efg Asset Management (North America) CorpNov 16, 2022 · Control person joined · fact
- Anderson Amanda Meyer (Officer) no longer on Schedule A of Efg Asset Management (North America) Corp (listed 2022-03-29, absent 2022-11-16)Nov 16, 2022 · Control person left · inference
- Javier Carlos Gonzalez (Chief Compliance Officer) no longer on Schedule A of Efg Asset Management (North America) Corp (listed 2021-07-09, absent 2021-12-22)Dec 22, 2021 · Control person left · inference
- Efg Asset Management (North America) Corp filed its initial SEC registration (Form ADV)Feb 19, 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
- Firm profile
- linkedin.com/company/new-capitalreportedpublic record, Form ADV, Sep 17, 2026
- Website
- newcapital.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 503-889-5210reportedpublic record, Form ADV, Mar 31, 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