DFX Intelligence
RIA Intelligence
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SEC-registered adviser
N••• M•••• C•••••• A••••••• L••
Latest filing Apr 30, 2026
First filing on the tape Jul 31, 2024 · 9 filings
SEC status approved since Sep 5, 2024
RAUM
$485M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$485M as of Apr 30, 2026
Apr 28, 2025$509M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 30, 2026
Apr 28, 20250 then
Employees (5.A)4 as of Apr 30, 2026
Apr 28, 20251 then
Private funds: no history
RAUM -4.8% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 30, 2026; 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
- $485MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.8%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 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$485M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false 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
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
- B••••••••• I•••• E•••• I•••• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- L•• T••••• K••••• K••••• · Chief Financial Officercontrolsince 03/2024 · owns less than 5%
- S••••••••• R••• A•••• · Directorcontrolsince 03/2022 · owns less than 5%
- W•••• B••• · Directorcontrolsince 03/2022 · owns less than 5%
- W•••• B••• · Shareholdercontrolsince 02/2010 · owns 50% to 75% of N••• M•••• C•••••• M•••••••••
Entity owners
- N••• M•••• C•••••• M••••••••• · Shareholder Of N••• M•••• C•••••• A••••••• L••direct · owns 75% or more
Related persons
Schedule D 7.A
- N••• M•••• C•••••• L••••••investment adviserbankn
- N••• M•••• C•••••• M•••••••••bankpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Wilmington, DE1 employees
What changed
consecutive filings, newest first
- Advisory employees · 1 to 3Oct 17, 2025 to Mar 23, 2026
- Employees · 1 to 4Oct 17, 2025 to Mar 23, 2026
- Discretionary RAUM · $509M to $485MOct 17, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $509M to $485MOct 17, 2025 to Mar 23, 2026
- RAUM · $509M to $485MOct 17, 2025 to Mar 23, 2026
- HQ city · HONG KONG to NEW YORKMay 12, 2025 to Oct 17, 2025
- HQ state · to NYMay 12, 2025 to Oct 17, 2025
- Financial planning clients · unset to Apr 28, 2025 to May 12, 2025
- HQ state · unset to Aug 27, 2024 to Apr 28, 2025
- Other offices · 1 to 0Aug 27, 2024 to Apr 28, 2025
- Discretionary RAUM · $100M to $509MAug 27, 2024 to Apr 28, 2025
- Pooled vehicle RAUM · $100M to $509MAug 27, 2024 to Apr 28, 2025
- RAUM · $100M to $509MAug 27, 2024 to Apr 28, 2025
- HQ city · WILMINGTON to HONG KONGAug 19, 2024 to Aug 27, 2024
- HQ state · DE to unsetAug 19, 2024 to Aug 27, 2024
- Other offices · 0 to 1Aug 19, 2024 to Aug 27, 2024
Signals
2 dated events
- N••• M•••• C•••••• A••••••• L•• reported RAUM $508.7M, up 409% from $100.0M (2024-08-27 to 2025-04-28)Apr 28, 2025 · RAUM change · derived
- N••• M•••• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)Jul 31, 2024 · 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
- Website
- N•••M••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 85228689973reportedpublic record, Form ADV, Apr 30, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026