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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
N••••• W•••••
Legal name N••••• W••••• A•••••••• I•••
Latest filing Feb 3, 2025
First filing on the tape May 17, 2024 · 7 filings
SEC status 120-day approval since Jun 13, 2024
RAUM
$21.7M
reported, Item 5.F
Discretionary
36%
of RAUM
Private clients
5.6%
$1.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$21.7M as of Feb 3, 2025
May 17, 2024$0 then
HNW client RAUM$1.2M as of Feb 3, 2025
Oct 14, 2024$1.1M then
State-registered IARs (5.B.3)1 as of Feb 3, 2025
May 17, 20241 then
Employees (5.A)2 as of Feb 3, 2025
May 17, 20242 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 3, 2025; every figure names its basis
- RAUM per advisor
- $21.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $301,696derivedHNW RAUM over HNW clients
- Average account
- $658,165derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 36%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
- 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 assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$17.8M94%
- High-net-worth individuals$1.2M6.3%
- Individual clients
- n/areported
- HNW clients
- 4reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 33reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
Left, latest
- V••••• K••••• H•••••••• to B••••• G••••• A•••• M•••••••••Aug 26, 2025 · Other
Joined, latest
- V••••• K••••• H•••••••• from J••• M••••• S••••••••• L••Aug 27, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••• Y•••••• · Member - Ccocontrolsince 04/2024 · owns 50% to 75%
- H••••••••• V•••••• K••••• · Managing Member - Principalcontrolsince 04/2024 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Coral Gables, Fl · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 18 to 33Oct 14, 2024 to Feb 3, 2025
- Corporate clients · 3 to 5Oct 14, 2024 to Feb 3, 2025
- Assets in custody · 7861046.0 to unsetOct 14, 2024 to Feb 3, 2025
- Custody of client assets · true to falseOct 14, 2024 to Feb 3, 2025
- Financial planning clients · unset to Oct 14, 2024 to Feb 3, 2025
- Discretionary RAUM · $7.9M to $7.8MOct 14, 2024 to Feb 3, 2025
- HNW RAUM · $1.1M to $1.2MOct 14, 2024 to Feb 3, 2025
- Non-discretionary RAUM · $0 to $13.9MOct 14, 2024 to Feb 3, 2025
- RAUM · $7.9M to $21.7MOct 14, 2024 to Feb 3, 2025
- Accounts · 0 to 18Aug 21, 2024 to Oct 14, 2024
- Advisory activities · 6 to 3Aug 21, 2024 to Oct 14, 2024
- Corporate clients · unset to 3.0Aug 21, 2024 to Oct 14, 2024
- HNW clients · unset to 4.0Aug 21, 2024 to Oct 14, 2024
- Assets in custody · unset to 7861046.0Aug 21, 2024 to Oct 14, 2024
- Custody of client assets · false to trueAug 21, 2024 to Oct 14, 2024
- Financial planning clients · 0 to unsetAug 21, 2024 to Oct 14, 2024
- Discretionary RAUM · $0 to $7.9MAug 21, 2024 to Oct 14, 2024
- HNW RAUM · unset to 1122899.0Aug 21, 2024 to Oct 14, 2024
- RAUM · $0 to $7.9MAug 21, 2024 to Oct 14, 2024
- BD registered reps · 0 to 1Oct 14, 2024 to Oct 14, 2024
- Business name · N••••• to N••••• W•••••Jun 20, 2024 to Aug 21, 2024
- Organization form · Limited Liability Company to CorporationJun 4, 2024 to Jun 20, 2024
Signals
3 dated events
- N••••• W••••• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $21.7M)Sep 2, 2025 · Left the SEC roster · derived
- V••••• K••••• H•••••••• left N••••• W••••• for B••••• G••••• A•••• M••••••••• (registered 2025-04-30)Aug 26, 2025 · Advisor changed firm · fact
- Newera filed its initial SEC registration (Form ADV)May 17, 2024 · 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