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••• A•••••
Legal name N•• A•••••• L•••
Latest filing Aug 21, 2026
First filing on the tape Jun 29, 2026 · 2 filings
SEC status approved since Jun 1, 2026
RAUM
$307M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$307M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$76.7M
derived; firm RAUM over IAPD count
Employees
5
5 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$307M as of Aug 21, 2026
Jun 29, 2026$0 then
HNW client RAUM: $304M
State-registered IARs (5.B.3)4 as of Aug 21, 2026
Jun 29, 20263 then
Employees (5.A)5 as of Aug 21, 2026
Jun 29, 20265 then
Private funds: no history
Practice profile
derived from the filing of Aug 21, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $76.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$304M99%
- Individuals$3.3M1.1%
- Individual clients
- 9reported
- HNW clients
- 92reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 101reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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 headcount0 left over 36 months
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
- L••••••••• K••• · Chief Operations Officercontrolsince 05/2026 · owns less than 5%
- U•••••••• A•••• D• · Chief Executive Officercontrolsince 05/2026 · owns less than 5%
- U•••••••• A•••••• D• · Chief Investment Officer/Managing Member Chief Administrative Officercontrolsince 05/2026 · owns less than 5%
Entity owners
- N•• H•••••••• L•• · Memberdirect · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greenwich, Ct · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 101Jun 29, 2026 to Aug 21, 2026
- HNW clients · unset to 92.0Jun 29, 2026 to Aug 21, 2026
- Individual clients · unset to 9.0Jun 29, 2026 to Aug 21, 2026
- State-registered IARs · 3 to 4Jun 29, 2026 to Aug 21, 2026
- Discretionary RAUM · $0 to $307MJun 29, 2026 to Aug 21, 2026
- HNW RAUM · unset to 303576990.0Jun 29, 2026 to Aug 21, 2026
- Individual RAUM · unset to 3299944.0Jun 29, 2026 to Aug 21, 2026
- RAUM · $0 to $307MJun 29, 2026 to Aug 21, 2026
Signals
No event on the tape.
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 email
- c••••••@n••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-930-2880reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/n10-assets/aboutreportedpublic record, Form ADV, Sep 19, 2026
- Website
- n••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-930-2880reportedpublic record, Form ADV, Aug 21, 2026
- Contact form
- n••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- n••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $76.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026