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•• H•••••• T•••••• L••
Latest filing Jun 16, 2026
First filing on the tape Sep 22, 2025 · 4 filings
SEC status approved since Sep 22, 2025
RAUM
$550M
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
16
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$550M as of Jun 16, 2026
Sep 22, 2025$0 then
HNW client RAUM$0 as of Jun 16, 2026
Sep 22, 2025$0 then
State-registered IARs (5.B.3)0 as of Jun 16, 2026
Sep 22, 20250 then
Employees (5.A)16 as of Jun 16, 2026
Sep 22, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 16, 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
- $550MderivedRAUM 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- 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
- Other investment advisers$550M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Q•••••• O••• · Co-Chief Operating Officercontrolsince 07/2025 · owns less than 5%
- R••••• S••••• J• · Chief Executive Officercontrolsince 06/2026 · owns less than 5%
- R•••••••• N•••••••• E••• · Vice Presidentcontrolsince 06/2025 · owns less than 5%
- S•••••••• C••••••••• J•• · Co-Chief Operating Officer / Chief Financial Officercontrolsince 06/2026 · owns less than 5%
- Y••••• W••••••• P•••• · Co-Chief Investment Officercontrolsince 06/2026 · owns less than 5%
Entity owners
- N•• H•••••• C••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Business name · P••• I••••• P••••••• L•• to N•• H•••••• T•••••• L••Mar 31, 2026 to Jun 16, 2026
- Legal name · P••• I••••• P••••••• L•• to N•• H•••••• T•••••• L••Mar 31, 2026 to Jun 16, 2026
- Advisory employees · 3 to 8Jan 9, 2026 to Mar 31, 2026
- Employees · 10 to 16Jan 9, 2026 to Mar 31, 2026
- Discretionary RAUM · $300M to $550MJan 9, 2026 to Mar 31, 2026
- RAUM · $300M to $550MJan 9, 2026 to Mar 31, 2026
- Accounts · 0 to 1Sep 22, 2025 to Jan 9, 2026
- Advisory employees · 1 to 3Sep 22, 2025 to Jan 9, 2026
- Employees · 4 to 10Sep 22, 2025 to Jan 9, 2026
- Discretionary RAUM · $0 to $300MSep 22, 2025 to Jan 9, 2026
- RAUM · $0 to $300MSep 22, 2025 to Jan 9, 2026
Signals
1 dated events
- N•• H•••••• T•••••• L•• reported RAUM $550.0M, up 83% from $300.0M (2026-01-09 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
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
- Principal office phone
- 212-600-9200reportedpublic record, Form ADV, Jun 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
- 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