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SEC-registered adviser

N•••• O•• C•••••• C•••••• L••

No RAUM reportedGreenwich, ConnecticutCRD 338234SEC 801-134681websiteIAPD
Latest filing Mar 23, 2026
First filing on the tape Jan 5, 2026 · 2 filings
SEC status approved since Jan 6, 2026
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$0 as of Mar 23, 2026
Jan 5, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 23, 2026
Jan 5, 20265 then
Employees (5.A)8 as of Mar 23, 2026
Jan 5, 20267 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
6.0derived1 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, 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
  • 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=0.0 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K••• J•••• S•••••••• · Portfolio Manager Compliance Officercontrol
        since 07/2025 · owns less than 5%
      Entity owners
      • N•••• O•• C•••••• M••••••••• · Owner
        direct · 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.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • business activity changedChange between filings · filing Mar 23, 2026
        portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2026-01-05, yes on the filing of 2026-03-23
        peers: other advisers, under $100M (664)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 6
        Jan 5, 2026 to Mar 23, 2026
      • Advisory activities · 2 to 3
        Jan 5, 2026 to Mar 23, 2026
      • Employees · 7 to 8
        Jan 5, 2026 to Mar 23, 2026
      • State-registered IARs · 5 to 6
        Jan 5, 2026 to Mar 23, 2026
      Signals
      1 dated events
      • ••• Locked
        Jan 5, 2026 · Owner of a newly registered adviser · 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
      Website
      N••••OWLCAPITAL.COMreportedpublic record, Form ADV, Mar 23, 2026
      Principal office phone
      203-302-3870reportedpublic record, Form ADV, Mar 23, 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
      No RAUM reportedderiveda 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