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••• L••• C•••••• L•
Latest filing Mar 24, 2026
First filing on the tape Aug 15, 2024 · 5 filings
SEC status approved since Sep 13, 2024
RAUM
$176M
reported, Item 5.F
Discretionary
100%
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$176M as of Mar 24, 2026
Jan 9, 2025$131M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Jan 9, 20250 then
Employees (5.A)5 as of Mar 24, 2026
Jan 9, 20255 then
Private funds1 as of Mar 24, 2026
Jan 9, 20251 then
RAUM +40% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $58.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +40%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-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $176M, 3 clientsreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$176M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $176M for 3 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=true 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••• L••• C•••••• M••••• F••• L• | Hedge Fund | $0 | 0 | Aug 15, 2024 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• D••••• P••••• · Chief Operating Officer, Chief Financial Officer, Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- N•••••• J•••••• A••••• · Founder, Chief Investment Officercontrolsince 01/2024 · owns less than 5%
- N•••••• J•••••• A••••• · Managing Membercontrolsince 01/2024 · owns 75% or more of N••• L••• C•••••• G• L••
- N•••••• J•••••• A••••• · Managing Membercontrolsince 01/2024 · owns 75% or more of N••• L••• C•••••• H••••••• L••
Entity owners
- N••• L••• C•••••• G• L•• · General Partnerdirect · owns less than 5%
- N••• L••• C•••••• H••••••• L•• · Limited Partnerdirect · owns 75% or more
Related persons
Schedule D 7.A
- N••• L••• C•••••• F••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $126M to $176MOct 23, 2025 to Mar 24, 2026
- Discretionary RAUM · $126M to $176MOct 23, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $126M to $176MOct 23, 2025 to Mar 24, 2026
- RAUM · $126M to $176MOct 23, 2025 to Mar 24, 2026
- Assets in custody · $131M to $126MJan 9, 2025 to Mar 6, 2025
- Financial planning clients · unset to Jan 9, 2025 to Mar 6, 2025
- Discretionary RAUM · $131M to $126MJan 9, 2025 to Mar 6, 2025
- Pooled vehicle RAUM · $131M to $126MJan 9, 2025 to Mar 6, 2025
- RAUM · $131M to $126MJan 9, 2025 to Mar 6, 2025
- Accounts · unset to 3.0Aug 15, 2024 to Jan 9, 2025
- Assets in custody · $0 to $131MAug 15, 2024 to Jan 9, 2025
- Discretionary RAUM · unset to 130554181.0Aug 15, 2024 to Jan 9, 2025
- Non-discretionary RAUM · unset to 0.0Aug 15, 2024 to Jan 9, 2025
- Pooled vehicle RAUM · $0 to $131MAug 15, 2024 to Jan 9, 2025
- RAUM · unset to 130554181.0Aug 15, 2024 to Jan 9, 2025
- Related bank · false to trueAug 15, 2024 to Jan 9, 2025
Signals
1 dated events
- N••• L••• C•••••• L• filed its initial SEC registration (Form ADV)Aug 15, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/nineleftreportedpublic record, Form ADV, Sep 19, 2026
- Website
- n•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-202-3010reportedpublic record, Form ADV, Mar 24, 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