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••••••• L••
Latest filing Aug 3, 2026
First filing on the tape Sep 13, 2023 · 17 filings
SEC status approved since Mar 22, 2024
RAUM
$654,553
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$654,553 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$654,553
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$654,553 as of Aug 3, 2026
Apr 1, 2025$189,507 then
HNW client RAUM$0 as of Aug 3, 2026
Apr 1, 2025$0 then
State-registered IARs (5.B.3)0 as of Aug 3, 2026
Apr 1, 20250 then
Employees (5.A)2 as of Aug 3, 2026
Apr 1, 20253 then
Private funds: no history
RAUM +245% over the last fiscal yearIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Aug 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $654,553derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 140derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $4,675derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, 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
- +245%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +27%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$654,553100%
- Individual clients
- 140reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 140reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••• L• S•••• | Johns Creek, Ga | Sep 16, 2025 | 29 y | 5 |
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
- L••• L• S•••• from B•••• W•••••• L••Sep 16, 2025 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• A•••••• · Co-Founder And Chief Investment Officercontrolsince 03/2023 · owns less than 5%
- O•••• A•••••• · Co-Foundercontrolsince 03/2023 · owns less than 5%
- R•••• K••••• A•••••• · Chief Executive Officer And Chief Compliance Officercontrolsince 08/2023 · owns less than 5%
- C•••••• A•••••• · Shareholdercontrolsince 01/2023 · owns 50% to 75% of N••••• I•••
- O•••• A•••••• · Shareholdercontrolsince 01/2023 · owns 50% to 75% of N••••• I•••
Entity owners
- N••••• I••• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- RAUM · $189,507 to $654,553Nov 24, 2025 to Mar 31, 2026
- Accounts · 110 to 140Nov 24, 2025 to Mar 31, 2026
- BD registered reps · 1 to 0Nov 24, 2025 to Mar 31, 2026
- Individual clients · 110 to 140Nov 24, 2025 to Mar 31, 2026
- Employees · 3 to 2Nov 24, 2025 to Mar 31, 2026
- Other offices · 1 to 0Nov 24, 2025 to Mar 31, 2026
- Discretionary RAUM · $189,507 to $654,553Nov 24, 2025 to Mar 31, 2026
- Individual RAUM · $189,507 to $654,553Nov 24, 2025 to Mar 31, 2026
- Financial planning clients · unset to Apr 1, 2025 to Jun 16, 2025
- Accounts · 0 to 110Nov 6, 2024 to Apr 1, 2025
- Individual clients · 0 to 110Nov 6, 2024 to Apr 1, 2025
- HQ city · unset to Nov 6, 2024 to Apr 1, 2025
- HQ state · unset to Nov 6, 2024 to Apr 1, 2025
- Discretionary RAUM · $0 to $189,507Nov 6, 2024 to Apr 1, 2025
- Individual RAUM · $0 to $189,507Nov 6, 2024 to Apr 1, 2025
- RAUM · $0 to $189,507Nov 6, 2024 to Apr 1, 2025
- HQ city · NEW YORK to unsetNov 8, 2023 to Jan 29, 2024
- HQ state · NY to unsetNov 8, 2023 to Jan 29, 2024
- Other offices · 0 to 1Nov 8, 2023 to Jan 29, 2024
- HQ city · unset to NEW YORKOct 9, 2023 to Oct 31, 2023
- HQ state · unset to NYOct 9, 2023 to Oct 31, 2023
- Other offices · 1 to 0Oct 9, 2023 to Oct 31, 2023
Signals
1 dated events
- N••••• A••••••• L•• filed its initial SEC registration (Form ADV)Sep 13, 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
- Business email
- s••••••@n•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- p•••••••@n•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- n•••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (650) 391-4391reportedpublic record, Form ADV, Aug 3, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $654,553derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026