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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

N••• M•••• I•••••••••

Former SEC-registered adviserCRD 316896SEC 801-122571IAPD
Latest filing Apr 11, 2023
First filing on the tape Sep 28, 2021 · 11 filings
RAUM
$28,844
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$28,844 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM: $28,844
HNW client RAUM$0 as of Feb 21, 2023
Mar 21, 2022$0 then
State-registered IARs (5.B.3)1 as of Feb 21, 2023
Mar 21, 20221 then
Employees (5.A)6 as of Feb 21, 2023
Mar 21, 20227 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 11, 2023; every figure names its basis
RAUM per advisor
$28,844derivedRAUM over IAPD advisors; not a book size
Clients per advisor
239derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$121derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for individuals, educational seminarsreportedItem 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)
  • 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$28,844100%
Individual clients
239reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
239reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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 departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• L•••• J••••• · Managing Partnercontrol
        since 01/2021 · owns 25% to 50%
      • L•••• J•••••• N•• · Managing Partnercontrol
        since 01/2021 · owns 25% to 50%
      • S••••••••• S•••••••• C•••••• · Chief Compliance Officercontrol
        since 12/2021 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · unset to 239.0
        Dec 5, 2022 to Feb 21, 2023
      • Individual clients · 0 to 239
        Dec 5, 2022 to Feb 21, 2023
      • Discretionary RAUM · unset to 0.0
        Dec 5, 2022 to Feb 21, 2023
      • Individual RAUM · $0 to $28,844
        Dec 5, 2022 to Feb 21, 2023
      • Non-discretionary RAUM · unset to 28844.0
        Dec 5, 2022 to Feb 21, 2023
      • RAUM · unset to 28844.0
        Dec 5, 2022 to Feb 21, 2023
      • Employees · 7 to 6
        Apr 6, 2022 to Jul 26, 2022
      • Related broker-dealer · false to true
        Mar 21, 2022 to Mar 24, 2022
      • Advisory activities · 1 to 2
        Oct 13, 2021 to Mar 21, 2022
      • BD registered reps · 0 to 1
        Oct 13, 2021 to Mar 21, 2022
      • Charity clients · unset to 0.0
        Oct 13, 2021 to Mar 21, 2022
      • Corporate clients · unset to 0.0
        Oct 13, 2021 to Mar 21, 2022
      • HNW clients · unset to 0.0
        Oct 13, 2021 to Mar 21, 2022
      • Individual clients · unset to 0.0
        Oct 13, 2021 to Mar 21, 2022
      • Pension plan clients · unset to 0.0
        Oct 13, 2021 to Mar 21, 2022
      • Pooled vehicle clients · unset to 0.0
        Oct 13, 2021 to Mar 21, 2022
      • Employees · 1 to 7
        Oct 13, 2021 to Mar 21, 2022
      • Financial planning clients · unset to 0
        Oct 13, 2021 to Mar 21, 2022
      • HNW RAUM · unset to 0.0
        Oct 13, 2021 to Mar 21, 2022
      • Individual RAUM · unset to 0.0
        Oct 13, 2021 to Mar 21, 2022
      • Pension RAUM · unset to 0.0
        Oct 13, 2021 to Mar 21, 2022
      • Pooled vehicle RAUM · unset to 0.0
        Oct 13, 2021 to Mar 21, 2022
      Signals
      1 dated events
      • N••• M•••• I••••••••• filed its initial SEC registration (Form ADV)
        Sep 28, 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