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••••••• I••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Jan 4, 2023 · 8 filings
SEC status approved since Feb 3, 2023
RAUM
$44.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$22.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$44.7M as of Mar 20, 2026
Mar 26, 2024$51.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Mar 26, 20242 then
Employees (5.A)2 as of Mar 20, 2026
Mar 26, 20242 then
Private funds2 as of Mar 20, 2026
Mar 26, 20244 then
RAUM +0.2% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
- RAUM per advisor
- $22.4MderivedRAUM 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
- $11.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- Custody
- $11.5M, 2 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
- Pooled investment vehicles$44.7M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $11.5M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••••••• S•••••• O••••••••• F••• I• L•• | Private Equity Fund | $13.9M | 25 | Jan 18, 2024 |
| N••••••• S•••••• O••••••••• F••• I•• L•• | Other Private Fund | $13.3M | 21 | Jan 18, 2024 |
| N••••••• I••••• O••••••••• F••• I• L•• | Other Private Fund | $12.0M | 10 | Jan 18, 2024 |
| N••••••• E•••• O••••••••• F••• I• L•• | Venture Capital Fund | $11.8M | 8 | Jan 18, 2024 |
Owners and control persons
Schedule A and B, latest filing
- K•••• G•••••• J• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- M•••••• J••••• F•••••• · Ownercontrolsince 11/2022 · owns 75% or more of N••••••• C••••••• L••
Entity owners
- N••••••• C••••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- N••••••• A•••••••investment advisernRAUM $4.0B
Advisers that list N••••••• I••••••••• L•• as a related person
- 322936 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Radnor, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Assets in custody · $44.6M to $11.5MMar 20, 2025 to Mar 20, 2026
- Discretionary RAUM · $44.6M to $44.7MMar 20, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $44.6M to $44.7MMar 20, 2025 to Mar 20, 2026
- RAUM · $44.6M to $44.7MMar 20, 2025 to Mar 20, 2026
- Assets in custody · $51.0M to $44.6MMar 26, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 20, 2025
- Private funds · 4 to 2Mar 26, 2024 to Mar 20, 2025
- Discretionary RAUM · $51.0M to $44.6MMar 26, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $51.0M to $44.6MMar 26, 2024 to Mar 20, 2025
- RAUM · $51.0M to $44.6MMar 26, 2024 to Mar 20, 2025
- Assets in custody · $50.9M to $51.0MJan 18, 2024 to Mar 26, 2024
- Discretionary RAUM · $0 to $51.0MJan 18, 2024 to Mar 26, 2024
- Non-discretionary RAUM · $50.9M to $0Jan 18, 2024 to Mar 26, 2024
- Pooled vehicle RAUM · $50.9M to $51.0MJan 18, 2024 to Mar 26, 2024
- RAUM · $50.9M to $51.0MJan 18, 2024 to Mar 26, 2024
- Accounts · 2 to 4Jun 24, 2023 to Jan 18, 2024
- Pooled vehicle clients · 2 to 4Jun 24, 2023 to Jan 18, 2024
- Assets in custody · $16.2M to $50.9MJun 24, 2023 to Jan 18, 2024
- Private funds · unset to 4Jun 24, 2023 to Jan 18, 2024
- Non-discretionary RAUM · $16.2M to $50.9MJun 24, 2023 to Jan 18, 2024
- Pooled vehicle RAUM · $16.2M to $50.9MJun 24, 2023 to Jan 18, 2024
- RAUM · $16.2M to $50.9MJun 24, 2023 to Jan 18, 2024
- Other offices · 0 to 1Jun 6, 2023 to Jun 24, 2023
- Accounts · 3 to 2Jun 2, 2023 to Jun 6, 2023
- HNW clients · 24.0 to unsetJun 2, 2023 to Jun 6, 2023
- Pooled vehicle clients · 1 to 2Jun 2, 2023 to Jun 6, 2023
- HNW RAUM · 15740977.0 to unsetJun 2, 2023 to Jun 6, 2023
- Pooled vehicle RAUM · $498,078 to $16.2MJun 2, 2023 to Jun 6, 2023
- Accounts · 0 to 3Jan 4, 2023 to Jun 2, 2023
- Advisory employees · 1 to 2Jan 4, 2023 to Jun 2, 2023
- HNW clients · unset to 24.0Jan 4, 2023 to Jun 2, 2023
- Pooled vehicle clients · unset to 1.0Jan 4, 2023 to Jun 2, 2023
- Assets in custody · unset to 16239055.0Jan 4, 2023 to Jun 2, 2023
- Custody of client assets · false to trueJan 4, 2023 to Jun 2, 2023
- Employees · 1 to 2Jan 4, 2023 to Jun 2, 2023
- Insurance-licensed employees · 1 to 2Jan 4, 2023 to Jun 2, 2023
- State-registered IARs · 1 to 2Jan 4, 2023 to Jun 2, 2023
- HNW RAUM · unset to 15740977.0Jan 4, 2023 to Jun 2, 2023
- Non-discretionary RAUM · $0 to $16.2MJan 4, 2023 to Jun 2, 2023
- Pooled vehicle RAUM · unset to 498078.0Jan 4, 2023 to Jun 2, 2023
Signals
1 dated events
- N••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Jan 4, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- N••••••• I••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- N••••••• I••••••••• L•• · Private Equityshared crd · organization
- N••••••• I••••••••• L•• · Venture Capitalshared crd · organization
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 20, 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
- $22.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026