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.
SEC-registered adviser
Nordwand Advisors
Legal name Nordwand Advisors, LLC
Latest filing Mar 21, 2026
First filing on the tape Aug 2, 2022 · 15 filings
SEC status approved since Sep 2, 2022
RAUM
$4.0B
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
69%
$2.8B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$567M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$4.0B as of Mar 21, 2026
Mar 23, 2023$4.1B then
HNW client RAUM$2.8B as of Mar 21, 2026
Mar 23, 2023$2.2B then
State-registered IARs (5.B.3)8 as of Mar 21, 2026
Mar 23, 20236 then
Employees (5.A)10 as of Mar 21, 2026
Mar 23, 20236 then
Private funds: no history
RAUM +3.4% over the last fiscal year-1.5% a year over threeIARs 7 to 8offices 2 to 1
Practice profile
derived from the filing of Mar 21, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $567MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 8derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $53.0MderivedHNW RAUM over HNW clients
- Average account
- $12.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 67%derivedof RAUM
- Institutional
- 31%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +235%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $2.9B, 31 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)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.8B69%
- Charitable organizations$1.2B31%
- Individuals$2.1M0.1%
- Individual clients
- 5reported
- HNW clients
- 52reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 307reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.9B for 31 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.69 fund_share=0.0 institutional_share=0.31 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Christopher Michael Boyle | Radnor, Pa | Nov 14, 2022 | 22 y | 2 |
| James Francis Martin | Radnor, Pa | Nov 15, 2022 | 42 y | 3 |
| Connor Drew Martin | Radnor, Pa | Nov 22, 2022 | 12 y | 0 |
| Theodore Wesley BrooksChartered Financial Analyst | Radnor, Pa | Nov 30, 2022 | 28 y | 0 |
| Gerald Joshua Kane | Radnor, Pa | Dec 19, 2022 | 39 y | 5 |
| Douglas Henry DelongChartered Financial Analyst | Radnor, Pa | Jun 10, 2025 | 30 y | 0 |
| Patrick Joseph Mcginnis | Radnor, Pa | Jun 25, 2025 | 33 y | 1 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 29% of current headcount2 left over 36 months
Left, latest
- Lisa Dimter to Morgan StanleyJun 15, 2026 · RIA to wirehouse
- Daniel Kane to J.P. Morgan Securities LLCNov 24, 2025 · RIA to wirehouse
Joined, latest
- Patrick Joseph Mcginnis from Stratton Management CompanyJun 25, 2025 · Other
- Lisa Dimter from Wells Fargo AdvisorsOct 27, 2023 · Wirehouse to independent RIA
- Gerald Joshua Kane from J.P. Morgan Securities LLCDec 19, 2022 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Daniel Kane from Morgan StanleyNov 15, 2022 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- James Francis Martin from Morgan StanleyNov 15, 2022 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Christopher Michael Boyle from Morgan StanleyNov 14, 2022 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Morgan StanleyNov 29, 2022 · West Conshohocken, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael Christopher Boyle · Chief Operating Officercontrolsince 11/2022 · owns less than 5%
- Lisa Dimter · Chief Adminstrative Officercontrolsince 10/2023 · owns less than 5%
- Joshua Gerald Kane · Chief Compliance Officercontrolsince 12/2022 · owns less than 5%
- Francis James Martin · Chief Executive Officer And Chief Investment Officercontrolsince 11/2022 · owns 5% to 10%
- Francis James Martin · Ownercontrolsince 11/2022 · owns 75% or more of Nordwand Capital, LLC
Entity owners
- Nordwand Capital, LLC · Managing Memberdirect · owns 75% or more
- Dynasty Financial Partners, LLC · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- Nordwand Investments, LLCinvestment advisernRAUM $44.7M
Advisers that list Nordwand Advisors as a related person
- 323829 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Radnor, Pa · principal | 7 | 0 | 1 | ||
| Westfield, Nj | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Cambridge, MA1 employees
- , 1 employees
ADV anomalies
7 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Mar 21, 2026institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $3,838,514,137 to $3,967,694,453, advisors 7 to 8, private clients 17 to 57, offices 2 to 1 (2025-03-21 to 2026-03-21)peers: independent wealth managers, $1B to $5B (1,362)
- unusually large average HNW clientStatic outlier · filing Mar 21, 2026HNW RAUM per HNW client of $52,952,577 against a peer median of $3,646,459 (1309 comparable advisers, 99.0th percentile, 24.4 robust deviations)peers: independent wealth managers, $1B to $5B (1,309) · 99% percentile
- control person changedChange between filings · filing Mar 21, 2026KANE, GERALD, JOSHUA (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-01-18 and 2026-03-21peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 21, 2026BOYLE, CHRISTOPHER, MICHAEL (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2024-01-18 and 2026-03-21peers: independent wealth managers, $1B to $5B (1,362)
- client mix shiftChange between filings · filing Mar 21, 2026private-client share of RAUM moved from 51.0% to 69.0% between the annual amendments of 2025-03-21 and 2026-03-21peers: independent wealth managers, $1B to $5B (1,362)
- HNW share shiftChange between filings · filing Mar 21, 2026HNW share of RAUM moved from 51.0% to 69.0% between the annual amendments of 2025-03-21 and 2026-03-21peers: independent wealth managers, $1B to $5B (1,362)
- institutional asset share shiftChange between filings · filing Mar 21, 2026institutional share of RAUM moved from 49.0% to 31.0% between the annual amendments of 2025-03-21 and 2026-03-21peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 281 to 307Feb 19, 2026 to Mar 21, 2026
- Advisory employees · 7 to 6Feb 19, 2026 to Mar 21, 2026
- Charity clients · 11 to 10Feb 19, 2026 to Mar 21, 2026
- HNW clients · 53 to 52Feb 19, 2026 to Mar 21, 2026
- Individual clients · 3 to 5Feb 19, 2026 to Mar 21, 2026
- Assets in custody · $2.8B to $2.9BFeb 19, 2026 to Mar 21, 2026
- Employees · 11 to 10Feb 19, 2026 to Mar 21, 2026
- State-registered IARs · 9 to 8Feb 19, 2026 to Mar 21, 2026
- Other offices · 2 to 1Feb 19, 2026 to Mar 21, 2026
- Discretionary RAUM · $3.0B to $2.7BFeb 19, 2026 to Mar 21, 2026
- HNW RAUM · $2.6B to $2.8BFeb 19, 2026 to Mar 21, 2026
- Individual RAUM · $1.5M to $2.1MFeb 19, 2026 to Mar 21, 2026
- Non-discretionary RAUM · $1.2B to $1.3BFeb 19, 2026 to Mar 21, 2026
- RAUM · $4.2B to $4.0BFeb 19, 2026 to Mar 21, 2026
- Accounts · 120 to 281Mar 21, 2025 to Oct 7, 2025
- Advisory employees · 5 to 7Mar 21, 2025 to Oct 7, 2025
- Charity clients · 9 to 11Mar 21, 2025 to Oct 7, 2025
- HNW clients · 14 to 53Mar 21, 2025 to Oct 7, 2025
- Employees · 8 to 11Mar 21, 2025 to Oct 7, 2025
- Financial planning clients · 0 to 0Mar 21, 2025 to Oct 7, 2025
- State-registered IARs · 7 to 9Mar 21, 2025 to Oct 7, 2025
- Discretionary RAUM · $2.5B to $3.0BMar 21, 2025 to Oct 7, 2025
- HNW RAUM · $1.9B to $2.6BMar 21, 2025 to Oct 7, 2025
- Individual RAUM · $1.5M to $1.5MMar 21, 2025 to Oct 7, 2025
- Non-discretionary RAUM · $1.3B to $1.2BMar 21, 2025 to Oct 7, 2025
- RAUM · $3.8B to $4.2BMar 21, 2025 to Oct 7, 2025
- RAUM · $3.5B to $3.8BMar 27, 2024 to Mar 21, 2025
- Accounts · 109 to 120Mar 27, 2024 to Mar 21, 2025
- Charity clients · 12 to 9Mar 27, 2024 to Mar 21, 2025
- HNW clients · 13 to 14Mar 27, 2024 to Mar 21, 2025
- Assets in custody · $2.0B to $2.8BMar 27, 2024 to Mar 21, 2025
- Employees · 7 to 8Mar 27, 2024 to Mar 21, 2025
- Financial planning clients · 1-10 to 0Mar 27, 2024 to Mar 21, 2025
- Discretionary RAUM · $2.5B to $2.5BMar 27, 2024 to Mar 21, 2025
- HNW RAUM · $2.1B to $1.9BMar 27, 2024 to Mar 21, 2025
- Individual RAUM · $935,317 to $1.5MMar 27, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $970M to $1.3BMar 27, 2024 to Mar 21, 2025
- Accounts · 78 to 109Jan 20, 2024 to Mar 26, 2024
- Advisory employees · 6 to 5Jan 20, 2024 to Mar 26, 2024
- Charity clients · 10 to 12Jan 20, 2024 to Mar 26, 2024
Signals
9 dated events
- Lisa Dimter left Nordwand Advisors for Morgan Stanley (registered 2026-07-02)Jun 15, 2026 · Advisor changed firm · fact
- Daniel Kane left Nordwand Advisors for J.P. Morgan Securities Llc (registered 2026-01-06)Nov 24, 2025 · Advisor changed firm · fact
- Lisa Dimter (Chief Admintrative Officer) appeared on Schedule A of Nordwand AdvisorsJan 18, 2024 · Control person joined · fact
- Wesley Theodore Brooks (Chief Investment Officer) no longer on Schedule A of Nordwand Advisors (listed 2023-01-09, absent 2023-03-23)Mar 23, 2023 · Control person left · inference
- J. Gerald Kane (Chief Compliance Officer) appeared on Schedule A of Nordwand AdvisorsJan 4, 2023 · Control person joined · fact
- M Christopher Boyle (Chief Operating Officer) appeared on Schedule A of Nordwand AdvisorsJan 4, 2023 · Control person joined · fact
- 2 advisors left Morgan Stanley (West Conshohocken, PA) for Nordwand Advisors within 3 daysNov 29, 2022 · Team lift-out · derived
- Francis James Martin (Chief Executive Officer And Chief Investment Officer) appeared on Schedule A of Nordwand AdvisorsNov 14, 2022 · Control person joined · fact
- Nordwand Advisory, Llc filed its initial SEC registration (Form ADV)Aug 2, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/nordwand-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- nordwandcapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 484-630-2510reportedpublic record, Form ADV, Mar 21, 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
- $567Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026