DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Latest filing Mar 31, 2026
First filing on the tape Aug 31, 2023 · 6 filings
SEC status approved since Sep 29, 2023
RAUM
$109M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
62%
$67.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$109M as of Mar 31, 2026
Mar 26, 2024$29.7M then
HNW client RAUM$67.7M as of Mar 31, 2026
Mar 26, 2024$624,496 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 26, 20240 then
Employees (5.A)2 as of Mar 31, 2026
Mar 26, 20242 then
Private funds2 as of Mar 31, 2026
Mar 26, 20242 then
RAUM +200% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- 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
- $12.1MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +200%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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 has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$67.7M62%
- Pooled investment vehicles$41.5M38%
- Individual clients
- 0reported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.62 fund_share=0.38 institutional_share=0.0 related_bd=false related_bank=false 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• P•••••••• L•• N• C•••••• S••••• | Hedge Fund | $11.1M | 2 | Aug 31, 2023 |
| N•• F•••••••• L• | Hedge Fund | $7.6M | 9 | Aug 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• K••••• B••••• · Cco, Membercontrolsince 06/2016 · owns 50% to 75%
- D••••••• N•••••• B••••• · Membercontrolsince 06/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
- N•• G•••••• P•••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Brooklyn, NY2 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- client mix shiftChange between filings · filing Mar 31, 2026private-client share of RAUM moved from 2.0% to 62.0% between the annual amendments of 2025-03-27 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,679)
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 2.0% to 62.0% between the annual amendments of 2025-03-27 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,679)
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 33.0% to 0.0% between the annual amendments of 2025-03-27 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,679)
What changed
consecutive filings, newest first
- Accounts · 6 to 9Mar 27, 2025 to Mar 31, 2026
- Corporate clients · unset to 0.0Mar 27, 2025 to Mar 31, 2026
- Pooled vehicle clients · 2 to 4Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $36.4M to $109MMar 27, 2025 to Mar 31, 2026
- HNW RAUM · $824,569 to $67.7MMar 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $23.5M to $41.5MMar 27, 2025 to Mar 31, 2026
- RAUM · $36.4M to $109MMar 27, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 26, 2024 to Mar 27, 2025
- HQ city · unset to Mar 26, 2024 to Mar 27, 2025
- HQ state · unset to Mar 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $29.7M to $36.4MMar 26, 2024 to Mar 27, 2025
- HNW RAUM · $624,496 to $824,569Mar 26, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $18.7M to $23.5MMar 26, 2024 to Mar 27, 2025
- RAUM · $29.7M to $36.4MMar 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $27.4M to $29.7MDec 4, 2023 to Mar 26, 2024
- HNW RAUM · $575,417 to $624,496Dec 4, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $17.2M to $18.7MDec 4, 2023 to Mar 26, 2024
- RAUM · $27.4M to $29.7MDec 4, 2023 to Mar 26, 2024
Signals
1 dated events
- N• C•••••• L•• filed its initial SEC registration (Form ADV)Aug 31, 2023 · 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
- 646-416-6303reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- n•••••••.comreportedpublic record, Form ADV, Mar 31, 2026
- Principal office phone
- (646) 416-6303reportedpublic 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026