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•••
Legal name N• F••• B•••• L••
Latest filing Mar 31, 2026
First filing on the tape Oct 25, 2021 · 21 filings
SEC status approved since Nov 24, 2021
RAUM
$312M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
58%
$182M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$156M
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
21 filings and snapshots on the tape
RAUM$312M as of Mar 31, 2026
Mar 21, 2022$126M then
HNW client RAUM$175M as of Mar 31, 2026
Mar 21, 2022$120M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 21, 20221 then
Employees (5.A)2 as of Mar 31, 2026
Mar 21, 20221 then
Private funds: no history
RAUM +109% over the last fiscal year+45% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $156MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $471,093derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +109%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $272MreportedItem 5.I
- Custody
- $1.2M, 1 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)
- 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$175M96%
- Individuals$7.0M3.8%
- Individual clients
- 25reported
- HNW clients
- 50reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 662reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $1.2M for 1 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.58 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• O••• H•••••Certified Financial Planner, Chartered Financial Consultant | Plano, Tx | Dec 20, 2021 | 26 y | 5 |
| K•••• J•••• F••••Certified Financial Planner, Chartered Financial Analyst | Richland, Wa | Jan 29, 2024 | 16 y | 3 |
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 headcount1 left over 36 months
Left, latest
- J••• O••• H••••• to S• A•••••• N••••••• L••Oct 2, 2024 · Other
Joined, latest
- J••• O••• H••••• from B••••• H•••••Dec 20, 2021 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• J•••• O••• · Managing Member,President And Chief Compliance Officercontrolsince 10/2021 · owns 75% or more
Related persons
Schedule D 7.A
- S• A•••••• N••••••• L••investment adviseryRAUM $272M
Advisers that list N••• as a related person
- 317533 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Plano, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $149,267,418 to $311,863,610 (+109.0%) between the annual amendments of 2025-03-29 and 2026-03-31; the peer median change was +15.0% (4550 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 99% percentile
- account count surgeChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 279.0 to 662.0 (+137.0%) between the annual amendments of 2025-03-29 and 2026-03-31; the peer median change was +5.0% (3687 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 99% percentile
- client mix shiftChange between filings · filing Mar 31, 2026private-client share of RAUM moved from 86.0% to 58.0% between the annual amendments of 2025-03-29 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-29, yes on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 81.0% to 56.0% between the annual amendments of 2025-03-29 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 279 to 662Mar 29, 2025 to Mar 31, 2026
- Corporate clients · 4 to 0Mar 29, 2025 to Mar 31, 2026
- HNW clients · 44 to 50Mar 29, 2025 to Mar 31, 2026
- Individual clients · 24 to 25Mar 29, 2025 to Mar 31, 2026
- Assets in custody · unset to 1237069.0Mar 29, 2025 to Mar 31, 2026
- Custody of client assets · false to trueMar 29, 2025 to Mar 31, 2026
- Insurance-licensed employees · 0 to 2Mar 29, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 51-100Mar 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $146M to $310MMar 29, 2025 to Mar 31, 2026
- HNW RAUM · $121M to $175MMar 29, 2025 to Mar 31, 2026
- Individual RAUM · $7.7M to $7.0MMar 29, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $3.4M to $2.3MMar 29, 2025 to Mar 31, 2026
- RAUM · $149M to $312MMar 29, 2025 to Mar 31, 2026
- Accounts · 176 to 279Oct 12, 2024 to Mar 29, 2025
- Advisory employees · 1 to 2Oct 12, 2024 to Mar 29, 2025
- Corporate clients · 0 to 4Oct 12, 2024 to Mar 29, 2025
- HNW clients · 38 to 44Oct 12, 2024 to Mar 29, 2025
- Individual clients · 14 to 24Oct 12, 2024 to Mar 29, 2025
- Employees · 1 to 2Oct 12, 2024 to Mar 29, 2025
- Financial planning clients · 0 to 0Oct 12, 2024 to Mar 29, 2025
- State-registered IARs · 1 to 2Oct 12, 2024 to Mar 29, 2025
- Discretionary RAUM · $96.6M to $146MOct 12, 2024 to Mar 29, 2025
- HNW RAUM · $101M to $121MOct 12, 2024 to Mar 29, 2025
- Individual RAUM · $4.7M to $7.7MOct 12, 2024 to Mar 29, 2025
- Non-discretionary RAUM · $8.8M to $3.4MOct 12, 2024 to Mar 29, 2025
- RAUM · $105M to $149MOct 12, 2024 to Mar 29, 2025
- Accounts · 167 to 176Mar 19, 2023 to Mar 26, 2024
- HNW clients · 41 to 38Mar 19, 2023 to Mar 26, 2024
- Individual clients · 11 to 14Mar 19, 2023 to Mar 26, 2024
- Insurance-licensed employees · 1 to 0Mar 19, 2023 to Mar 26, 2024
- Discretionary RAUM · $91.4M to $96.6MMar 19, 2023 to Mar 26, 2024
- HNW RAUM · $99.4M to $101MMar 19, 2023 to Mar 26, 2024
- Individual RAUM · $2.6M to $4.7MMar 19, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $10.6M to $8.8MMar 19, 2023 to Mar 26, 2024
- RAUM · $102M to $105MMar 19, 2023 to Mar 26, 2024
- Accounts · 231 to 167Dec 7, 2022 to Mar 19, 2023
- HNW clients · 179 to 41Dec 7, 2022 to Mar 19, 2023
- Individual clients · 24 to 11Dec 7, 2022 to Mar 19, 2023
- Pension plan clients · 3 to 0Dec 7, 2022 to Mar 19, 2023
- Discretionary RAUM · $104M to $91.4MDec 7, 2022 to Mar 19, 2023
Signals
3 dated events
- Nfwm reported RAUM $311.9M, up 109% from $149.3M (2025-03-29 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- J••• O••• H••••• left Nfwm for S• A•••••• N••••••• L•• (registered 2021-12-20)Oct 2, 2024 · a•••••• firm change · fact
- N• F••• B••• filed its initial SEC registration (Form ADV)Oct 25, 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
- 214-379-3333reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 214-563-8779reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 844-954-1789reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- nofatebwwm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (214) 379-3333reportedpublic 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $156Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026