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••• L•••• P•••••• L••
Latest filing Jul 23, 2026
First filing on the tape Jul 20, 2021 · 32 filings
SEC status approved since Aug 18, 2021
RAUM
$1.4B
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
90%
$1.2B individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
16
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.4B as of Jul 23, 2026
Mar 17, 2022$675M then
HNW client RAUM$968M as of Jul 23, 2026
Mar 17, 2022$577M then
State-registered IARs (5.B.3)10 as of Jul 23, 2026
Mar 17, 20225 then
Employees (5.A)16 as of Jul 23, 2026
Mar 17, 20229 then
Private funds: no history
RAUM +30% over the last fiscal year+29% a year over threeIARs 8 to 10
Practice profile
derived from the filing of Jul 23, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $508,716derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 9.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +21%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $445M, 640 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$968M71%
- Individuals$269M20%
- Pension and profit-sharing plans$125M9.2%
- Corporations and businesses$5.6M0.4%
- Charitable organizations$1.8M0.1%
- Individual clients
- 571reported
- HNW clients
- 228reported
- Pension plan clients
- 34reported
- Charitable clients
- n/areported
- Accounts
- 2,693reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $445M for 640 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• G••••• P•••• | Harrison, Ny | Sep 3, 2021 | 26 y | 2 |
| G••• J• R•••••• | Harrison, Ny | Sep 3, 2021 | 13 y | 2 |
| P••••• A••••• J••••••• | Harrison, Ny | Sep 3, 2021 | 38 y | 2 |
| M••••• B••••• S•••• | Harrison, Ny | Sep 4, 2021 | 12 y | 1 |
| B•••• P•••• M••••••• | Harrison, Ny | Oct 26, 2021 | 38 y | 3 |
| R•••••• S•••••• B•••• | Harrison, Ny | May 25, 2022 | 26 y | 0 |
| W•••••• J••••• S••••••• | Harrison, Ny | Aug 3, 2022 | 39 y | 3 |
| J••• M•••••• K••••• | Harrison, Ny | Jul 17, 2024 | 12 y | 0 |
| J••••• B••••• | Harrison, Ny | Aug 5, 2024 | 24 y | 0 |
| M•••••• J•••• G••••• | Harrison, Ny | Dec 4, 2024 | 32 y | 2 |
| T••••• G••••• E•••••• | Harrison, Ny | Mar 19, 2025 | 12 y | 0 |
| S•••• M••• H••••• | Harrison, Ny | May 15, 2025 | 10 y | 0 |
| J••• T•••• R••••••Certified Financial Planner | Harrison, Ny | Jan 18, 2026 | 35 y | 5 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- J••• T•••• R•••••• from V••••• R•••••••••Jan 18, 2026 · RIA to RIA
- M•••••• J•••• G••••• from F••••••Dec 4, 2024 · RIA to RIA
- W•••••• J••••• S••••••• from L•••••••• W••••• M••••••••• I•••Aug 3, 2022 · Other
- B•••• P•••• M••••••• from U•• F•••••••• S••••••• I•••Oct 26, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••• B••••• S•••• from U•• F•••••••• S••••••• I•••Sep 4, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- G••• J• R•••••• from U•• F•••••••• S••••••• I•••Sep 3, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- P••••• A••••• J••••••• from U•• F•••••••• S••••••• I•••Sep 3, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••••••• G••••• P•••• from U•• F•••••••• S••••••• I•••Sep 3, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from U•• F•••••••• S••••••• I•••Sep 14, 2021 · Purchase, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• C••••••••• M•••• · Chief Operating Officer / Chief Compliance Officercontrolsince 07/2021 · owns less than 5%
- M•••••••• B••••• P•••• · Managing Member / Managing Principalcontrolsince 09/2021 · owns 75% or more
- M•••••••• E••••••••• M••••• · Managing Membersince 09/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Harrison, Ny · principal | 13 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 23, 2026B•••••• C••••••••• M•••• (CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-03-22 and 2026-07-23peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,235 to 2,693Dec 1, 2025 to Mar 27, 2026
- Advisory employees · 9 to 10Dec 1, 2025 to Mar 27, 2026
- Corporate clients · 6 to 8Dec 1, 2025 to Mar 27, 2026
- Individual clients · 430 to 571Dec 1, 2025 to Mar 27, 2026
- Pension plan clients · 27 to 34Dec 1, 2025 to Mar 27, 2026
- Assets in custody · $254M to $445MDec 1, 2025 to Mar 27, 2026
- Employees · 14 to 16Dec 1, 2025 to Mar 27, 2026
- Financial planning clients · 51-100 to 101-250Dec 1, 2025 to Mar 27, 2026
- State-registered IARs · 9 to 10Dec 1, 2025 to Mar 27, 2026
- Discretionary RAUM · $992M to $1.2BDec 1, 2025 to Mar 27, 2026
- HNW RAUM · $836M to $968MDec 1, 2025 to Mar 27, 2026
- Individual RAUM · $150M to $269MDec 1, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $62.3M to $125MDec 1, 2025 to Mar 27, 2026
- Pension RAUM · $62.3M to $125MDec 1, 2025 to Mar 27, 2026
- RAUM · $1.1B to $1.4BDec 1, 2025 to Mar 27, 2026
- Advisory employees · 8 to 9Apr 21, 2025 to Dec 1, 2025
- Employees · 13 to 14Apr 21, 2025 to Dec 1, 2025
- State-registered IARs · 8 to 9Apr 21, 2025 to Dec 1, 2025
- Accounts · 2,026 to 2,235Aug 8, 2024 to Apr 21, 2025
- Advisory employees · 7 to 8Aug 8, 2024 to Apr 21, 2025
- Corporate clients · unset to 6.0Aug 8, 2024 to Apr 21, 2025
- HNW clients · 230 to 228Aug 8, 2024 to Apr 21, 2025
- Individual clients · 340 to 430Aug 8, 2024 to Apr 21, 2025
- Pension plan clients · 16 to 27Aug 8, 2024 to Apr 21, 2025
- Assets in custody · $314M to $254MAug 8, 2024 to Apr 21, 2025
- Employees · 11 to 13Aug 8, 2024 to Apr 21, 2025
- Financial planning clients · 51-100 to 51-100Aug 8, 2024 to Apr 21, 2025
- State-registered IARs · 7 to 8Aug 8, 2024 to Apr 21, 2025
- Discretionary RAUM · $782M to $992MAug 8, 2024 to Apr 21, 2025
- HNW RAUM · $684M to $836MAug 8, 2024 to Apr 21, 2025
- Individual RAUM · $95.4M to $150MAug 8, 2024 to Apr 21, 2025
- Non-discretionary RAUM · $29.1M to $62.3MAug 8, 2024 to Apr 21, 2025
- Pension RAUM · $29.1M to $62.3MAug 8, 2024 to Apr 21, 2025
- RAUM · $811M to $1.1BAug 8, 2024 to Apr 21, 2025
- Accounts · 1,827 to 2,026Nov 2, 2023 to Mar 22, 2024
- Advisory employees · 8 to 7Nov 2, 2023 to Mar 22, 2024
- HNW clients · 178 to 230Nov 2, 2023 to Mar 22, 2024
- Individual clients · 308 to 340Nov 2, 2023 to Mar 22, 2024
- Pension plan clients · 12 to 16Nov 2, 2023 to Mar 22, 2024
- Assets in custody · $66.0M to $314MNov 2, 2023 to Mar 22, 2024
Signals
5 dated events
- N••• L•••• P•••••• L•• reported RAUM $1.4B, up 30% from $1.1B (2025-12-01 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- N••• L•••• P•••••• L•• reported RAUM $1.1B, up 30% from $810.7M (2024-08-08 to 2025-04-21)Apr 21, 2025 · RAUM change · derived
- N••• L•••• P•••••• L•• reported RAUM $810.7M, up 26% from $643.4M (2023-11-02 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- Peter Barry M••••••• (Managing Member / Managing Principal) appeared on Schedule A of N••• L•••• P•••••• L••Sep 3, 2021 · Control person joined · fact
- N••• L•••• W••••••••• L•• filed its initial SEC registration (Form ADV)Jul 20, 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
- Business phone
- 914-431-5255reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- nxtprivate.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (914) 431-5255reportedpublic record, Form ADV, Jul 23, 2026
- Contact form
- nxtprivate.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- nxtprivate.com/who-we-arereportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026