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••••••••• A•••••••
Legal name N••••••••• A••••••• L••
Latest filing Aug 6, 2026
First filing on the tape Apr 14, 2023 · 20 filings
SEC status approved since Oct 18, 2023
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
6
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$0 as of Aug 6, 2026
Feb 27, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 6, 2026
Feb 20, 20240 then
Employees (5.A)6 as of Aug 6, 2026
Feb 20, 20243 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Aug 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- 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
- 6.0derivedItem 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
- otherreportedItem 5.E
- Advisory activities
- selection of other advisers, otherreportedItem 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
- marketing includes testimonials (5.L.1.c)
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
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.0 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
Left, latest
- M•••••••• D•••••• to F••••••Dec 20, 2024 · Other
- M••• C••••••••• T••••• R•••• to N••••••••Dec 20, 2024 · Other
- H•••••• N••••• C•••••• to F••••• W••••• A•••••••Dec 20, 2024 · Other
Joined, latest
- M••• C••••••••• T••••• R•••• from A••••• I••••••••• L••Apr 16, 2024 · RIA to a newly registered adviser
- H•••••• N••••• C•••••• from O••••• I••••••••• A••••••• L••Feb 29, 2024 · RIA to a newly registered adviser
- M•••••••• D•••••• from O••••• I••••••••• A••••••• L••Nov 7, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• M•••••••• W••• · Chief Executive Officercontrolsince 03/2023 · owns less than 5%
- M•••• D•••••• M•••• · Chief Compliance Officersince 08/2024 · owns less than 5%
- C•••• T••• C•••••••• · Ceosince 03/2010 · owns 75% or more of N••••••••• I•••
Entity owners
- N••••••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| F•••••, Ca | 0 | 0 | 0 | ||
| Scottsdale, Az · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 12 to 6Nov 14, 2025 to Mar 19, 2026
- State-registered IARs · 0 to 1Nov 14, 2025 to Mar 19, 2026
- Financial planning clients · unset to May 21, 2025 to Jul 18, 2025
- Related adviser · false to trueMay 21, 2025 to Jul 18, 2025
- Individual clients · 146.0 to unsetFeb 27, 2025 to May 1, 2025
- Employees · 3 to 12Feb 27, 2025 to May 1, 2025
- Financial planning clients · 0 to unsetFeb 27, 2025 to May 1, 2025
- HQ city · SAN FRANCISCO to SCOTTSDALEFeb 27, 2025 to May 1, 2025
- HQ state · CA to AZFeb 27, 2025 to May 1, 2025
- Individual RAUM · 0.0 to unsetFeb 27, 2025 to May 1, 2025
- Accounts · unset to 0.0Dec 20, 2024 to Feb 27, 2025
- Discretionary RAUM · unset to 0.0Dec 20, 2024 to Feb 27, 2025
- Non-discretionary RAUM · unset to 0.0Dec 20, 2024 to Feb 27, 2025
- RAUM · unset to 0.0Dec 20, 2024 to Feb 27, 2025
- Individual clients · unset to 146.0Feb 20, 2024 to Mar 1, 2024
- Other offices · 1 to 0Feb 20, 2024 to Mar 1, 2024
- Individual RAUM · unset to 0.0Feb 20, 2024 to Mar 1, 2024
- Financial planning clients · unset to 0Apr 14, 2023 to Oct 13, 2023
- Legal name · N••••••••• A•••••••, LLC to N••••••••• A••••••• LLCApr 14, 2023 to Oct 13, 2023
Signals
8 dated events
- M••• C••••••••• T••••• R•••• left N••••••••• A••••••• for Nectarine (registered 2025-01-13)Dec 20, 2024 · Advisor changed firm · fact
- H•••••• N••••• C•••••• left N••••••••• A••••••• for F••••• W••••• A••••••• (registered 2024-02-29)Dec 20, 2024 · Advisor changed firm · fact
- M•••••••• D•••••• left N••••••••• A••••••• for Farther (registered 2026-01-01)Dec 20, 2024 · Advisor changed firm · fact
- Niel Jeremy Armstrong (Chief Compliance Officer) no longer on Schedule A of N••••••••• A••••••• (listed 2024-07-01, absent 2024-08-12)Aug 12, 2024 · Control person left · inference
- J••••• J••• B••• (Chief Operating Officer) no longer on Schedule A of N••••••••• A••••••• (listed 2024-07-01, absent 2024-08-12)Aug 12, 2024 · Control person left · inference
- J••••• J••• B••• (Chief Operating Officer) appeared on Schedule A of N••••••••• A•••••••Oct 13, 2023 · Control person joined · fact
- R Joseph Fahr (Chief Revenue Officer; Operations Director) no longer on Schedule A of N••••••••• A••••••• (listed 2023-04-14, absent 2023-10-13)Oct 13, 2023 · Control person left · inference
- N••••••••• A••••••• filed its initial SEC registration (Form ADV)Apr 14, 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
- Principal office phone
- 415-549-8913reportedpublic record, Form ADV, Aug 6, 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
- No RAUM reportedderiveda 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