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.
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SEC-registered adviser
N•••••• C••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Sep 29, 2022 · 9 filings
SEC status approved since Aug 13, 2025
RAUM
$184M
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
11
9 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$184M as of Mar 31, 2026
Mar 31, 2023$196M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20230 then
Employees (5.A)11 as of Mar 31, 2026
Mar 31, 20238 then
Private funds1 as of Mar 26, 2024
Mar 31, 20231 then
RAUM n/a over the last fiscal year-2.1% a year over three
Practice profile
derived from the filing of Mar 31, 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
- $184MderivedRAUM 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$184M100%
- 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
- fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•••••• C•••••• P••••••••• F••• | Hedge Fund | $0 | 0 | Feb 23, 2023 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• G••• J••••• · Chief Financial Officer & Chief Compliance Officercontrolsince 02/2022 · owns less than 5%
- C•••• C••••••• S••••• · Chief Investment Officercontrolsince 02/2022 · owns 5% to 10%
- K••• J•••• B•• · Chief Executive Officercontrolsince 02/2022 · owns 75% or more
- Y•••• T•• H• · Chief Technology Officercontrolsince 02/2022 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 9Dec 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $99.5M to $184MDec 11, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $99.5M to $184MDec 11, 2025 to Mar 31, 2026
- RAUM · $99.5M to $184MDec 11, 2025 to Mar 31, 2026
- Accounts · 0 to 1Jul 14, 2025 to Dec 11, 2025
- Advisory employees · 6 to 2Jul 14, 2025 to Dec 11, 2025
- Pooled vehicle clients · unset to 1.0Jul 14, 2025 to Dec 11, 2025
- Employees · 15 to 11Jul 14, 2025 to Dec 11, 2025
- Discretionary RAUM · $0 to $99.5MJul 14, 2025 to Dec 11, 2025
- Pooled vehicle RAUM · unset to 99524466.0Jul 14, 2025 to Dec 11, 2025
- RAUM · $0 to $99.5MJul 14, 2025 to Dec 11, 2025
- Accounts · 1 to 0Mar 26, 2024 to Jul 14, 2025
- Advisory employees · 3 to 6Mar 26, 2024 to Jul 14, 2025
- Pooled vehicle clients · 1.0 to unsetMar 26, 2024 to Jul 14, 2025
- Employees · 7 to 15Mar 26, 2024 to Jul 14, 2025
- Financial planning clients · unset to Mar 26, 2024 to Jul 14, 2025
- Private funds · 1 to unsetMar 26, 2024 to Jul 14, 2025
- Discretionary RAUM · $134M to $0Mar 26, 2024 to Jul 14, 2025
- Pooled vehicle RAUM · 134425480.0 to unsetMar 26, 2024 to Jul 14, 2025
- RAUM · $134M to $0Mar 26, 2024 to Jul 14, 2025
- Related broker-dealer · true to falseMar 26, 2024 to Jul 14, 2025
- Employees · 8 to 7Mar 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $196M to $134MMar 31, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $196M to $134MMar 31, 2023 to Mar 26, 2024
- RAUM · $196M to $134MMar 31, 2023 to Mar 26, 2024
- Accounts · 0 to 1Oct 3, 2022 to Feb 23, 2023
- Pooled vehicle clients · unset to 1.0Oct 3, 2022 to Feb 23, 2023
- Employees · 7 to 8Oct 3, 2022 to Feb 23, 2023
- Financial planning clients · 0 to unsetOct 3, 2022 to Feb 23, 2023
- Private funds · unset to 1Oct 3, 2022 to Feb 23, 2023
- Discretionary RAUM · $0 to $196MOct 3, 2022 to Feb 23, 2023
- Pooled vehicle RAUM · unset to 196000000.0Oct 3, 2022 to Feb 23, 2023
- RAUM · $0 to $196MOct 3, 2022 to Feb 23, 2023
Signals
3 dated events
- N•••••• C••••••• L•• reported RAUM $0, down 100% from $134.4M (2024-03-26 to 2025-07-14)Jul 14, 2025 · RAUM change · derived
- N•••••• C••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $134.4M)May 2, 2025 · Left the SEC roster · derived
- N•••••• C••••••• L•• filed its initial SEC registration (Form ADV)Sep 29, 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
- Website
- n•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 732-742-7703reportedpublic 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
- 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