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••••••• R••• E••••• A••••••• X• L•••
Latest filing Mar 31, 2026
First filing on the tape Oct 18, 2021 · 8 filings
SEC status approved since Nov 16, 2021
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.1B
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$1.1B as of Mar 31, 2026
Mar 30, 2023$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 31, 20221 then
Employees (5.A)2 as of Mar 31, 2026
Mar 31, 20221 then
Private funds: no history
RAUM -10% over the last fiscal year-3.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.1BderivedRAUM 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
- $1.1BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- 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=true related_bank=true 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
0 left, 0 joined in 12 months
net 0 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• J••••• D•••• · Presidentcontrolsince 09/2021 · owns less than 5%
- G••••• M••••••• X••••• · Vice Presidentcontrolsince 09/2021 · owns less than 5%
- M•••••••• M••••••• R••• · Executive Vice Presidentcontrolsince 09/2021 · owns less than 5%
- M••••• B••••• D••• · Chief Financial Officer, Executive Vp-Finance, Secretary And Treasurercontrolsince 09/2021 · owns less than 5%
- S•••••• D•••••• C•••••• · General Counselcontrolsince 09/2021 · owns less than 5%
- D••••••• J••••• D•••• · President/Membercontrolsince 09/2014 · owns 75% or more of N••••••• A••••••• G•• L••
- D••••••• N••••• M•••• · Trusteecontrolsince 10/2015 · owns F of N••••••• A•••••••• L•••
- V•••••••• S••••••••• L••• · Chief Compliance Officersince 11/2021 · owns less than 5%
Entity owners
- N••••••• A•••••••• L••• · Limited Partnerdirect · owns 75% or more
- N••••••• R••• E••••• A••••••• X• G•• L•• · General Partnerdirect · owns less than 5%
- N••••••• A••••••• G•• L•• · General Partnerindirect · owns F of N••••••• A•••••••• L•••
- N••••••• A•••••••• L••• · Memberindirect · owns 75% or more of N••••••• R••• E••••• A••••••• X• G•• L••
- T•• D•••••• I••••••••• T•••• · Limited Partnerindirect · owns 75% or more of N••••••• A•••••••• L•••
Related persons
Schedule D 7.A
- F••••• E• • P• O••••••••• G•• L••investment adviserbankpooled vehicle sponsornRAUM $74.1M
- G••••••••• R•• L••real estaten
- N••••••••• A•••• M••••••••• L•••investment advisernRAUM $823M
- N••••••custodiann
- N•••••• Wealth Advisorsbroker-dealerinvestment adviserinvestment companynRAUM $882,487
- N••••••• A•••••••• L•••investment adviserbanknRAUM $131M
- N••••••• A•••• M••••••••• L•••investment adviserbanknRAUM $2.8B
- N••••••• I•••••••• S••••••••• L•••investment advisernRAUM $95.7M
- N••••••• R••• E••••• A••••••• I•• L•••investment advisern
- N••••••• R••• E••••• A••••••• I•• L•••investment advisern
- N••••••• R••• E••••• A••••••• V• L•••investment advisern
- N••••••• R••• E••••• A••••••• V•• L•••investment advisern
- N••••••• R••• E••••• A••••••• V••• L•••investment advisernRAUM $1.9B
- N••••••• R••• E••••• A••••••• V•••• L•••investment advisern
- N••••••• R••• E••••• A••••••• X•• L•••investment advisern
- N••••••• R••• E••••• A••••••• X••• L•••investment advisern
- N••••••• R••• E••••• A•••••••• L•••investment advisernRAUM $976M
- N••••••• S••••••••• I•••broker-dealern
- N••••••••• T•••• S•••••••real estaten
Advisers that list N••••••• R••• E••••• A••••••• X• L••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2025-03-31, yes on the filing of 2026-03-31peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Advisory employees · 1 to 2Mar 31, 2025 to Mar 31, 2026
- Employees · 1 to 2Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.2B to $1.1BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.2B to $1.1BMar 31, 2025 to Mar 31, 2026
- RAUM · $1.2B to $1.1BMar 31, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.1B to $1.2BMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.1B to $1.2BMar 28, 2024 to Mar 31, 2025
- RAUM · $1.1B to $1.2BMar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.2B to $1.1BMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.2B to $1.1BMar 30, 2023 to Mar 28, 2024
- RAUM · $1.2B to $1.1BMar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.1B to $1.2BJul 19, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $2.1B to $1.2BJul 19, 2022 to Mar 30, 2023
- RAUM · $2.1B to $1.2BJul 19, 2022 to Mar 30, 2023
- Accounts · unset to 1.0Mar 31, 2022 to Jul 19, 2022
- Pooled vehicle clients · unset to 1.0Mar 31, 2022 to Jul 19, 2022
- Discretionary RAUM · unset to 2103591568.0Mar 31, 2022 to Jul 19, 2022
- Non-discretionary RAUM · unset to 0.0Mar 31, 2022 to Jul 19, 2022
- Pooled vehicle RAUM · unset to 2103591568.0Mar 31, 2022 to Jul 19, 2022
- RAUM · unset to 2103591568.0Mar 31, 2022 to Jul 19, 2022
Signals
2 dated events
- N••••••• R••• E••••• A••••••• X• L••• reported RAUM $1.2B, down 42% from $2.1B (2022-07-19 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- N••••••• R••• E••••• A••••••• X• L••• filed its initial SEC registration (Form ADV)Oct 18, 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/nexpointreportedpublic record, Form ADV, Sep 18, 2026
- Website
- nexpoint.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-276-6300reportedpublic 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
- $1.1Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026