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••••••••• C•••••• P•••••••
Legal name N••••••••• C•••••• P••••••• L••
Latest filing May 22, 2026
First filing on the tape May 20, 2024 · 7 filings
SEC status approved since Jun 20, 2024
RAUM
$1.3B
reported, Item 5.F
Discretionary
60%
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
12
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$1.3B as of May 22, 2026
Mar 28, 2025$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 22, 2026
Mar 28, 20250 then
Employees (5.A)12 as of May 22, 2026
Mar 28, 202513 then
Private funds6 as of May 22, 2026
Mar 28, 20255 then
RAUM +22% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 22, 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
- $187MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 60%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
- +22%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- yesreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••••••••• C••••••• J• L•• | Private Equity Fund | $125M | 2 | Oct 18, 2024 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• D•••••• P•••••• · Chief Compliance Officer, Chief Operating Officercontrolsince 08/2023 · owns less than 5%
- S•••••• G•••••••• D•••• · Chief Executive Officer, Managing Partnercontrolsince 11/2022 · owns less than 5%
- S•••••• G•••••••• D•••• · Limited Partnercontrolsince 07/2023 · owns 75% or more of N••••••••• P•••••••• H•••••••• L•
- S•••••• G•••••••• D•••• · Membercontrolsince 07/2023 · owns 75% or more of N••••••••• U••• L••
Entity owners
- N••••••••• M••••••••• H•••••••• L• · Sole Memberdirect · owns 75% or more
- N••••••••• P•••••••• H•••••••• L• · Limited Partnerindirect · owns 75% or more of N••••••••• M••••••••• H•••••••• L•
- N••••••••• U••• L•• · General Partnerindirect · owns F of N••••••••• P•••••••• H•••••••• L•
- N••••••••• U••• L•• · General Partnerindirect · owns F of N••••••••• M••••••••• H•••••••• L•
Related persons
Schedule D 7.A
- N••••••••• C•••••• P••••••• G• L•pooled vehicle sponsorn
- N••••••••• C••••••• J• M• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY6 employees
What changed
consecutive filings, newest first
- Accounts · 6 to 7May 28, 2025 to Mar 31, 2026
- Advisory employees · 11 to 12May 28, 2025 to Mar 31, 2026
- Pooled vehicle clients · 5 to 6May 28, 2025 to Mar 31, 2026
- Employees · 13 to 12May 28, 2025 to Mar 31, 2026
- Private funds · 5 to 6May 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $541M to $783MMay 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $535M to $527MMay 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.1B to $1.3BMay 28, 2025 to Mar 31, 2026
- RAUM · $1.1B to $1.3BMay 28, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 28, 2025
- Accounts · 1 to 6Oct 18, 2024 to Mar 28, 2025
- Advisory employees · 9 to 11Oct 18, 2024 to Mar 28, 2025
- Pooled vehicle clients · 1 to 5Oct 18, 2024 to Mar 28, 2025
- Employees · 11 to 13Oct 18, 2024 to Mar 28, 2025
- Private funds · 1 to 5Oct 18, 2024 to Mar 28, 2025
- Discretionary RAUM · $125M to $541MOct 18, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $0 to $535MOct 18, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $125M to $1.1BOct 18, 2024 to Mar 28, 2025
- RAUM · $125M to $1.1BOct 18, 2024 to Mar 28, 2025
- Accounts · unset to 1.0May 24, 2024 to Oct 18, 2024
- Advisory employees · 8 to 9May 24, 2024 to Oct 18, 2024
- Pooled vehicle clients · unset to 1.0May 24, 2024 to Oct 18, 2024
- Assets in custody · unset to 0.0May 24, 2024 to Oct 18, 2024
- Custody of client assets · false to trueMay 24, 2024 to Oct 18, 2024
- Employees · 9 to 11May 24, 2024 to Oct 18, 2024
- Private funds · unset to 1May 24, 2024 to Oct 18, 2024
- Discretionary RAUM · unset to 125000000.0May 24, 2024 to Oct 18, 2024
- Non-discretionary RAUM · unset to 0.0May 24, 2024 to Oct 18, 2024
- Pooled vehicle RAUM · unset to 125000000.0May 24, 2024 to Oct 18, 2024
- RAUM · unset to 125000000.0May 24, 2024 to Oct 18, 2024
Signals
2 dated events
- N••••••••• C•••••• P••••••• reported RAUM $1.1B, up 762% from $125.0M (2024-10-18 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- N••••••••• C•••••• P••••••• filed its initial SEC registration (Form ADV)May 20, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- N••••••••• C•••••• P••••••• · Independent Sponsorsshared crd · capital_provider
- N••••••••• C•••••• P••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- northamptonllc.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 914-309-1746reportedpublic record, Form ADV, May 22, 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