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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Former SEC-registered adviser

N••• M•••• I•• L••

Former SEC-registered adviserCRD 327699SEC 801-128822websiteIAPD
Latest filing Aug 5, 2024
First filing on the tape Aug 31, 2023 · 9 filings
SEC status approved since Sep 29, 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
4
1 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$0 as of Aug 5, 2024
Mar 15, 2024$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 5, 2024
Aug 31, 20231 then
Employees (5.A)4 as of Aug 5, 2024
Aug 31, 20236 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 5, 2024; every figure names its basis
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
4.0derivedItem 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
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
699reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• L•••• J••••• · Chief Executive Officercontrol
      since 06/2024 · owns less than 5%
    • L•••• J•••••• N•• · Chief Technology Officercontrol
      since 06/2024 · owns less than 5%
    • S••••••••• S•••••••• C•••••• · Chief Compliance Officercontrol
      since 06/2023 · owns less than 5%
    • B•••••• L•••• J••••• · Managing Partner / Chief Executive Officercontrol
      since 06/2023 · owns 25% to 50% of N••• M•••• I•••••••••
    • L•••• J•••••• N•• · Managing Partner / Chief Technology Officercontrol
      since 06/2023 · owns 25% to 50% of N••• M•••• I•••••••••
    Entity owners
    • N••• M•••• I••••••••• · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Islamorada, Fl000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · unset to 0.0
      Oct 13, 2023 to Mar 15, 2024
    • Individual clients · unset to 699.0
      Oct 13, 2023 to Mar 15, 2024
    • Employees · 6 to 4
      Oct 13, 2023 to Mar 15, 2024
    • Insurance-licensed employees · 1 to 0
      Oct 13, 2023 to Mar 15, 2024
    • Discretionary RAUM · unset to 0.0
      Oct 13, 2023 to Mar 15, 2024
    • Individual RAUM · unset to 0.0
      Oct 13, 2023 to Mar 15, 2024
    • Non-discretionary RAUM · unset to 0.0
      Oct 13, 2023 to Mar 15, 2024
    • RAUM · unset to 0.0
      Oct 13, 2023 to Mar 15, 2024
    • Related adviser · true to false
      Oct 13, 2023 to Mar 15, 2024
    • HQ city · TAVERNIER to unset
      Aug 31, 2023 to Sep 14, 2023
    • HQ state · FL to unset
      Aug 31, 2023 to Sep 14, 2023
    Signals
    3 dated events
    • N••• M•••• I•• L•• no longer on the SEC adviser roster (last listed 2025-03-06)
      May 2, 2025 · Left the SEC roster · derived
    • S••••••• C•••••• S••••••••• left N••• M•••• I•• L•• for F••••• B•••• C•••••• M••••••••• L•• (registered 2024-11-13)
      Mar 28, 2025 · Advisor changed firm · fact
    • N••• M•••• I•• L•• filed its initial SEC registration (Form ADV)
      Aug 31, 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.
    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
    Former SEC-registered adviserderiveda 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