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Former SEC-registered adviser

N••••••• D•••••• M•••••••••

Former SEC-registered adviserNew York, New YorkCRD 321277SEC 801-126435IAPD
Legal name N••••••• D•••••• M••••••••• L•••
Latest filing Apr 17, 2023
First filing on the tape Jul 25, 2022 · 5 filings
RAUM
$34.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$34.7M gross assets
History
5 filings and snapshots on the tape
RAUM$34.7M as of Apr 17, 2023
Jul 25, 2022$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 17, 2023
Jul 25, 20220 then
Employees (5.A)25 as of Apr 17, 2023
Jul 25, 202225 then
Private funds3 as of Apr 17, 2023
Jan 9, 20233 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 17, 2023; 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
$6.9MderivedRAUM 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
unknownderivedbetween 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 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$34.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N••••••• D•••••• P•••••• F•••• L••Hedge Fund$33.1M4Jan 9, 2023
      N••••••• D•••••• M••••• F•••• L•••Hedge Fund$15.3M7Jan 9, 2023
      N••••••• D•••••• P••••••• M••••• F•••• L•••Hedge Fund$1.6M7Jan 9, 2023
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• M••••••• A•••••• · Principal & Limited Partnercontrol
        since 09/2021 · owns 25% to 50%
      • F••••••••• S•••••••• C•••••• H•••• · General Counselcontrol
        since 09/2021 · owns less than 5%
      • G••••••••• B••••••• D•••• · Chief Compliance Officer & Chief Risk Officercontrol
        since 09/2021 · owns less than 5%
      • K•••• N••••• M••••••• · Principal & Limited Partnercontrol
        since 09/2021 · owns 10% to 25%
      • N••• J••••• G•••••• · Principal & Limited Partnercontrol
        since 09/2021 · owns 25% to 50%
      • P•••••• P•••• B•••• · Principal & Limited Partnercontrol
        since 09/2021 · owns 10% to 25%
      Entity owners
      • N••••••• D•••••• M••••••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • N••••••• D•••••• G•••••• L•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Easton, MD1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 5
        Jan 9, 2023 to Apr 17, 2023
      • Pooled vehicle clients · 3 to 5
        Jan 9, 2023 to Apr 17, 2023
      • Accounts · 0 to 3
        Jul 26, 2022 to Jan 9, 2023
      • Pooled vehicle clients · unset to 3.0
        Jul 26, 2022 to Jan 9, 2023
      • Custody of client assets · true to false
        Jul 26, 2022 to Jan 9, 2023
      • Private funds · unset to 3
        Jul 26, 2022 to Jan 9, 2023
      • Discretionary RAUM · $0 to $34.7M
        Jul 26, 2022 to Jan 9, 2023
      • Pooled vehicle RAUM · unset to 34700000.0
        Jul 26, 2022 to Jan 9, 2023
      • RAUM · $0 to $34.7M
        Jul 26, 2022 to Jan 9, 2023
      Signals
      1 dated events
      • N••••••• D•••••• M••••••••• filed its initial SEC registration (Form ADV)
        Jul 25, 2022 · 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