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Former SEC-registered adviser

N••••••••• A••••••• L••

Former SEC-registered adviserBronxville, New YorkCRD 323186SEC 801-126690IAPD
Latest filing Mar 30, 2023
First filing on the tape Sep 2, 2022 · 5 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2023
Sep 2, 2022$0 then
HNW client RAUM: $0
State-registered IARs (5.B.3)1 as of Mar 30, 2023
Sep 2, 20221 then
Employees (5.A)2 as of Mar 30, 2023
Sep 2, 20222 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2023; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••••• R••••• M••••• · Chief Executive Officercontrol
        since 12/2021 · owns less than 5%
      • G•••••••• R••••• M••••• · Ownercontrol
        since 02/2021 · owns 75% or more of N••••••••• H••••••• L••
      • D••• G••••••• R••• · Chief Compliance Officer
        since 08/2022 · owns less than 5%
      Entity owners
      • J••• I••••• H••••••• L•• · Owner
        direct · owns 75% or more
      • N••••••••• H••••••• L•• · Owner
        indirect · owns 75% or more of J••• I••••• H••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Charity clients · unset to 0.0
        Sep 19, 2022 to Mar 30, 2023
      • Corporate clients · unset to 0.0
        Sep 19, 2022 to Mar 30, 2023
      • HNW clients · unset to 0.0
        Sep 19, 2022 to Mar 30, 2023
      • Individual clients · unset to 0.0
        Sep 19, 2022 to Mar 30, 2023
      • Pension plan clients · unset to 0.0
        Sep 19, 2022 to Mar 30, 2023
      • Pooled vehicle clients · unset to 0.0
        Sep 19, 2022 to Mar 30, 2023
      • HNW RAUM · unset to 0.0
        Sep 19, 2022 to Mar 30, 2023
      • Individual RAUM · unset to 0.0
        Sep 19, 2022 to Mar 30, 2023
      • Pension RAUM · unset to 0.0
        Sep 19, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · unset to 0.0
        Sep 19, 2022 to Mar 30, 2023
      • Related broker-dealer · false to true
        Sep 8, 2022 to Sep 19, 2022
      Signals
      1 dated events
      • N••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 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.
      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