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.

SEC-registered adviser

N•• W••••• S••••••••

Independent wealth managerSan Jose, CaliforniaCRD 334754SEC 801-135633websiteIAPD
Legal name N•• W••••• S•••••••• I•••
Latest filing Aug 11, 2026
First filing on the tape Mar 10, 2026 · 3 filings
SEC status approved since Mar 20, 2026
RAUM
$117M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$117M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$38.9M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$117M as of Aug 11, 2026
Mar 10, 2026$117M then
HNW client RAUM$71.8M as of Aug 11, 2026
Mar 10, 2026$71.8M then
State-registered IARs (5.B.3)4 as of Aug 11, 2026
Mar 10, 20264 then
Employees (5.A)6 as of Aug 11, 2026
Mar 10, 20266 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 11, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$38.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
46derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$969,601derivedHNW RAUM over HNW clients
Average account
$386,609derivedRAUM 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
3.0derived1 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 feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
$234MreportedItem 5.I
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$71.8M61%
  • Individuals$45.0M39%
Individual clients
65reported
HNW clients
74reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
302reported
Financial planning clients
101-250reported
Wrap fee programs
$117M sponsored, $117M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
G••••••• C•••• M•••••San Jose, CaMay 8, 202510 y0
G••••••• D••••• H•••••San Jose, CaMay 27, 202511 y0
D••••• S••••• R••••••San Jose, CaNov 5, 202527 y0
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 headcount1 left over 36 months
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
    • M•••••• G•••••••• C•••• · Managing Member / Ccocontrol
      since 01/2025 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    San Jose, Ca · principal310
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    1 dated events
    • R••• D• M••••••••• left N•• W••••• S•••••••• for G•••••• S•••• W••••• S•••••••• L••• (registered 2025-05-14)
      May 9, 2025 · Advisor changed firm · 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 phone
    888-322-2009reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    949-449-8285reportedpublished by the firm, firm site, Sep 16, 2026
    Firm profile
    linkedin.com/company/nim-retirement-groupreportedpublic record, Form ADV, Sep 18, 2026
    Website
    nimretirementgroup.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    888 322 2009reportedpublic record, Form ADV, Aug 11, 2026
    Team page
    nimretirementgroup.com/teamreportedpublished by the firm, firm site, Sep 16, 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
    $38.9Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026