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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Former SEC-registered adviser
N••• F•••••••• A••••••• L••
Latest filing Mar 27, 2024
First filing on the tape Oct 11, 2021 · 14 filings
RAUM
$377,728
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$377,728 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
26
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$37.8M as of Mar 27, 2024
Mar 27, 2023$68,233 then
HNW client RAUM$0 as of Mar 27, 2024
Mar 27, 2023$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2024
Mar 27, 20230 then
Employees (5.A)26 as of Mar 27, 2024
Mar 27, 202351 then
Private funds: no history
RAUM +454% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $106derivedRAUM 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
- +55259%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -29%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $377,728reportedItem 5.I
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$377,728100%
- Individual clients
- 3,571reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3,571reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- 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
- B•••••••• S•••••• A••• · Chief Compliance Officercontrolsince 08/2019 · owns less than 5%
- B••••••••• E•••••• J••• · Managing Membercontrolsince 08/2019 · owns 25% to 50% of N••• F•••••••• I•••
- B•••••••• S•••••• A••• · Managing Membercontrolsince 08/2019 · owns 25% to 50% of N••• F•••••••• I•••
Entity owners
- N••• F•••••••• I••• · Memberdirect · 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
- Accounts · 5,033 to 3,571Feb 15, 2024 to Mar 27, 2024
- Advisory employees · 6 to 0Feb 15, 2024 to Mar 27, 2024
- Individual clients · 5,033 to 3,571Feb 15, 2024 to Mar 27, 2024
- Employees · 51 to 26Feb 15, 2024 to Mar 27, 2024
- Discretionary RAUM · $68,233 to $37.8MFeb 15, 2024 to Mar 27, 2024
- Individual RAUM · $68,233 to $37.8MFeb 15, 2024 to Mar 27, 2024
- RAUM · $68,233 to $37.8MFeb 15, 2024 to Mar 27, 2024
- Discretionary RAUM · $37.8M to $377,728Mar 27, 2024 to Mar 27, 2024
- Individual RAUM · $37.8M to $377,728Mar 27, 2024 to Mar 27, 2024
- RAUM · $37.8M to $377,728Mar 27, 2024 to Mar 27, 2024
- Accounts · 0 to 5,033Feb 9, 2023 to Mar 27, 2023
- Advisory employees · 1 to 6Feb 9, 2023 to Mar 27, 2023
- Charity clients · unset to 0.0Feb 9, 2023 to Mar 27, 2023
- Corporate clients · unset to 0.0Feb 9, 2023 to Mar 27, 2023
- HNW clients · unset to 0.0Feb 9, 2023 to Mar 27, 2023
- Individual clients · unset to 5033.0Feb 9, 2023 to Mar 27, 2023
- Pension plan clients · unset to 0.0Feb 9, 2023 to Mar 27, 2023
- Pooled vehicle clients · unset to 0.0Feb 9, 2023 to Mar 27, 2023
- Employees · 38 to 51Feb 9, 2023 to Mar 27, 2023
- Discretionary RAUM · $0 to $68,233Feb 9, 2023 to Mar 27, 2023
- HNW RAUM · unset to 0.0Feb 9, 2023 to Mar 27, 2023
- Individual RAUM · unset to 68233.0Feb 9, 2023 to Mar 27, 2023
- Pension RAUM · unset to 0.0Feb 9, 2023 to Mar 27, 2023
- Pooled vehicle RAUM · unset to 0.0Feb 9, 2023 to Mar 27, 2023
- RAUM · $0 to $68,233Feb 9, 2023 to Mar 27, 2023
- Accounts · unset to 0.0Oct 28, 2021 to Jul 28, 2022
- Employees · 2 to 38Oct 28, 2021 to Jul 28, 2022
- State-registered IARs · 1 to 0Oct 28, 2021 to Jul 28, 2022
- Discretionary RAUM · unset to 0.0Oct 28, 2021 to Jul 28, 2022
- Non-discretionary RAUM · unset to 0.0Oct 28, 2021 to Jul 28, 2022
- RAUM · unset to 0.0Oct 28, 2021 to Jul 28, 2022
- Business name · N••• F•••••••• A••••••• I••• to N••• F•••••••• A••••••• L••Oct 11, 2021 to Oct 11, 2021
- Legal name · N••• F•••••••• A••••••• I••• to N••• F•••••••• A••••••• L••Oct 11, 2021 to Oct 11, 2021
Signals
1 dated events
- N••• F•••••••• A••••••• I••• filed its initial SEC registration (Form ADV)Oct 11, 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