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•••••••• B••••• L••• A••••••• I• L••
Latest filing Mar 31, 2026
First filing on the tape Jan 11, 2023 · 8 filings
SEC status approved since Feb 10, 2023
RAUM
$6.1B
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
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
13
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$6.1B as of Mar 31, 2026
Mar 28, 2024$865M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20240 then
Employees (5.A)3 as of Mar 31, 2026
Mar 28, 20243 then
Private funds13 as of Mar 31, 2026
Mar 28, 20243 then
RAUM +77% over the last fiscal yearIARs 0 to 0
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
- $467MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +77%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
- 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$6.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- 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=true related_bank=true bd_reps=3.0derived
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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•••••••• B••••• L••• A••••••• C•• 5•• L••• | Securitized Asset Fund | $487M | 3 | Mar 28, 2024 |
| N•••••••• B••••• L••• A••••••• C•• 5•• L••• | Securitized Asset Fund | $305M | 3 | Mar 28, 2024 |
| N•••••••• B••••• L••• A••••••• L•••••• S••••• L•••••• C•• I•• L••• | Securitized Asset Fund | $73.7M | 1 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• A••••• K•••• · Director, Managing Director And Chief Executive Officercontrolsince 06/2024 · owns less than 5%
- B••••••• A•••• F•••• · Director And Managing Directorcontrolsince 06/2024 · owns less than 5%
- D•••••• K••••••• M• · Director And Managing Directorcontrolsince 05/2022 · owns less than 5%
- W•••••• S••••••• G•••••• · Director And Managing Directorcontrolsince 05/2022 · owns less than 5%
- L•••• B•••• · Chief Compliance Officer, Assistant Secretary And Senior Vice Presidentsince 05/2022 · owns less than 5%
Entity owners
- N•••••••• B••••• L••• A••••••• H••••••• I• L• · Memberdirect · owns 75% or more
- N••• A••••••••• L•• · Memberindirect · owns 75% or more of N•••••••• B••••• G•••• L••
- N•••••••• B••••• G•••• L•• · Memberindirect · owns 75% or more of N•••••••• B••••• I••••••••• A••••••• H••••••• L••
- N•••••••• B••••• I••••••••• A••••••• G• H••••••• L•• · Memberindirect · owns 75% or more of N•••••••• B••••• L••• A••••••• H••••••• I• G• L••
- N•••••••• B••••• I••••••••• A••••••• H••••••• L•• · Memberindirect · owns 75% or more of N•••••••• B••••• I••••••••• A••••••• G• H••••••• L••
- N•••••••• B••••• I••••••••• A••••••• L•• · L•••••• Partnerindirect · owns F of N•••••••• B••••• L••• A••••••• H••••••• I• L•
- N•••••••• B••••• L••• A••••••• H••••••• I• G• L•• · General Partnerindirect · owns F of N•••••••• B••••• L••• A••••••• H••••••• I• ••••••••• L•
- N•••••••• B••••• L••• A••••••• H••••••• I• G• L•• · General Partnerindirect · owns F of N•••••••• B••••• L••• A••••••• H••••••• I• L•
- N•••••••• B••••• L••• A••••••• H••••••• I• G• L•• · General Partnerindirect · owns F of N•••••••• B••••• L••• A••••••• H••••••• I• ••••••• L•
- C•••••• C•••••• L• · L•••••• Partnerindirect · owns 25% to 50% of N•••••••• B••••• L••• A••••••• H••••••• I• ••••••• L•
- N•••••••• B••••• L••• A••••••• H••••••• I• ••••••• L• · L•••••• Partnerindirect · owns 50% to 75% of N•••••••• B••••• L••• A••••••• H••••••• I• L•
- N•••••••• B••••• L••• A••••••• H••••••• I• ••••••••• L• · L•••••• Partnerindirect · owns 25% to 50% of N•••••••• B••••• L••• A••••••• H••••••• I• L•
- T•• O••• S•••• U••••••••• · L•••••• Partnerindirect · owns 25% to 50% of N•••••••• B••••• L••• A••••••• H••••••• I• ••••••••• L•
Related persons
Schedule D 7.A
- N• A••••••••• A••••••• L••investment adviserbankpooled vehicle sponsornRAUM $160B
- N•••••••• B••••• A••• L••••••investment adviserbankpooled vehicle sponsornRAUM $11B
- N•••••••• B••••• A•••• M••••••••• I•••••• L••••••investment adviserbankpooled vehicle sponsorn
- N•••••••• B••••• B• L••broker-dealerinvestment adviserbankn
- N•••••••• B••••• C••••• U••investment adviserbankpooled vehicle sponsornRAUM $12B
- N•••••••• B••••• E••••• L••••••investment adviserbankpooled vehicle sponsornRAUM $98B
- N•••••••• B••••• I••••••••• A••••••• L••investment adviserbankpooled vehicle sponsoryRAUM $399B
- N•••••••• B••••• L••• A••••••• H••••••• I• G• L••pooled vehicle sponsorn
- N•••••••• B••••• L••• A••••••• I• L••investment advisernRAUM $9.0B
- N•••••••• B••••• L••• A••••••• L••investment advisernRAUM $4.9B
- N•••••••• B••••• S•••••••• P••• L••••••investment adviserbanknRAUM $29B
Advisers that list N•••••••• B••••• L••• A••••••• I• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- private fund count surgeChange between filings · filing Mar 31, 2026private funds (Schedule D 7.B.1) moved from 7.0 to 13.0 (+86.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +3.0% (487 comparable advisers, 98.0th percentile of changes)peers: asset managers, $5B to $20B (487) · 98% percentile
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $3,436,658,086 to $6,070,500,782 (+77.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +13.0% (631 comparable advisers, 92.0th percentile of changes)peers: asset managers, $5B to $20B (631) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 7 to 13Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 7 to 13Mar 31, 2025 to Mar 31, 2026
- Private funds · 7 to 13Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.4B to $6.1BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.4B to $6.1BMar 31, 2025 to Mar 31, 2026
- RAUM · $3.4B to $6.1BMar 31, 2025 to Mar 31, 2026
- Accounts · 3 to 7Oct 2, 2024 to Mar 31, 2025
- Pooled vehicle clients · 3 to 7Oct 2, 2024 to Mar 31, 2025
- Financial planning clients · unset to Oct 2, 2024 to Mar 31, 2025
- Private funds · 3 to 7Oct 2, 2024 to Mar 31, 2025
- Discretionary RAUM · $865M to $3.4BOct 2, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $865M to $3.4BOct 2, 2024 to Mar 31, 2025
- RAUM · $865M to $3.4BOct 2, 2024 to Mar 31, 2025
- Accounts · unset to 3.0Jan 11, 2023 to Mar 28, 2024
- Pooled vehicle clients · 0 to 3Jan 11, 2023 to Mar 28, 2024
- HQ city · NEW YORK to CHICAGOJan 11, 2023 to Mar 28, 2024
- HQ state · NY to ILJan 11, 2023 to Mar 28, 2024
- Private funds · unset to 3Jan 11, 2023 to Mar 28, 2024
- Discretionary RAUM · unset to 865208349.0Jan 11, 2023 to Mar 28, 2024
- Non-discretionary RAUM · unset to 0.0Jan 11, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $0 to $865MJan 11, 2023 to Mar 28, 2024
- RAUM · unset to 865208349.0Jan 11, 2023 to Mar 28, 2024
Signals
7 dated events
- N•••••••• B••••• L••• A••••••• I• L•• reported RAUM $6.1B, up 77% from $3.4B (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- N•••••••• B••••• L••• A••••••• I• L•• reported RAUM $3.4B, up 297% from $865.2M (2024-10-02 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Vincent Joseph Amato (Director And Managing Director) no longer on Schedule A of N•••••••• B••••• L••• A••••••• I• L•• (listed 2024-03-28, absent 2024-07-25)Jul 25, 2024 · Control person left · inference
- Curtis Bradley Tank (Director, Managing Director And Chief Executive Officer) no longer on Schedule A of N•••••••• B••••• L••• A••••••• I• L•• (listed 2024-03-28, absent 2024-07-25)Jul 25, 2024 · Control person left · inference
- K•••• A•••• B••••• (Director, Managing Director And Chief Executive Officer) appeared on Schedule A of N•••••••• B••••• L••• A••••••• I• L••Jul 25, 2024 · Control person joined · fact
- A••• B•••••• (Director And Managing Director) appeared on Schedule A of N•••••••• B••••• L••• A••••••• I• L••Jul 25, 2024 · Control person joined · fact
- N•••••••• B••••• L••• A••••••• I• L•• filed its initial SEC registration (Form ADV)Jan 11, 2023 · 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/N••••••••-B•••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- NB.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-325-7700reportedpublic 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