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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Former SEC-registered adviser

N•••••••• B••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 5493SEC 801-8259IAPD
Latest filing Jan 4, 2016
First filing on the tape Mar 30, 2012 · 10 filings
RAUM
$54B
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
487
381 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$54B as of Mar 30, 2015
Mar 30, 2012$32B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Mar 30, 20120 then
Employees (5.A)487 as of Mar 30, 2015
Mar 28, 2013380 then
Private funds: no history
RAUM +5.4% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 4, 2016; 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
$744MderivedRAUM 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
unknownderived6 offices incl. principal (1.F.5)
RAUM growth, one year
+5.4%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
72reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A••••••••• J•••• R••• · Managing Director, Branch Office Manager, Texascontrol
    since 05/2010 · owns less than 5%
  • A••••• J••••• V•••••• · Ceo & President Nb Holdings LLC, Sole Member Of Registrant And Chief Investment Officer-Equitiescontrol
    since 08/2008 · owns less than 5%
  • C••••• R••••• J••• · President & Ceocontrol
    since 12/2008 · owns less than 5%
  • D••••••• J•••• J• · Senior Vice President, Chief Financial Officer And Treasurercontrol
    since 03/2012 · owns less than 5%
  • T•••• B•••••• C••••• · Managing Director, Cio F•••• I•••••control
    since 12/2008 · owns less than 5%
  • A•••••• A••••• B•••• · Senior Vice President, General Counsel
    since 01/2013 · owns less than 5%
  • C•••••• B••• E••••• · Managing Director, Chief Compliance Officer, Director Of Compliance - B/D
    since 02/2006 · owns less than 5%
  • W•••••••• C••••••• N••••••• · Senior Vice President, Chief Compliance Officer, Director Of Compliance - I/A
    since 02/2006 · owns less than 5%
Entity owners
  • N•••••••• B••••• I••••••••• A••••••• L•• · Member
    direct · owns 75% or more
  • N••• A••••••••• L•• · Member
    indirect · owns 75% or more of N•••••••• B••••• G•••• L••
  • N•••••••• B••••• F•••• I••••• H••••••• L•• · Member
    indirect · owns 75% or more of N•••••••• B••••• I••••••••• A••••••• L••,
  • N•••••••• B••••• G•••• L•• · Holding Company
    indirect · owns 75% or more of N•••••••• B••••• F•••• I••••• H••••••• L••
Related persons
Schedule D 7.A
Advisers that list N•••••••• B••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Atlanta, GA
  • Boston, MA
  • Chicago, IL
  • Dallas, TX
  • San Francisco, CA
What changed
consecutive filings, newest first
  • Advisory employees · 354 to 381
    Oct 21, 2014 to Mar 30, 2015
  • BD registered reps · 147 to 151
    Oct 21, 2014 to Mar 30, 2015
  • Employees · 472 to 487
    Oct 21, 2014 to Mar 30, 2015
  • Insurance-licensed employees · 96 to 105
    Oct 21, 2014 to Mar 30, 2015
  • Discretionary RAUM · $51B to $54B
    Oct 21, 2014 to Mar 30, 2015
  • RAUM · $51B to $54B
    Oct 21, 2014 to Mar 30, 2015
  • Advisory employees · 260 to 354
    Jul 24, 2013 to Mar 31, 2014
  • BD registered reps · 151 to 147
    Jul 24, 2013 to Mar 31, 2014
  • Employees · 380 to 472
    Jul 24, 2013 to Mar 31, 2014
  • Insurance-licensed employees · 58 to 96
    Jul 24, 2013 to Mar 31, 2014
  • Discretionary RAUM · $36B to $51B
    Jul 24, 2013 to Mar 31, 2014
  • RAUM · $36B to $51B
    Jul 24, 2013 to Mar 31, 2014
  • Accounts · 69 to 72
    Jun 12, 2012 to Mar 28, 2013
  • Advisory employees · unset to 260.0
    Jun 12, 2012 to Mar 28, 2013
  • BD registered reps · unset to 151.0
    Jun 12, 2012 to Mar 28, 2013
  • Employees · unset to 380.0
    Jun 12, 2012 to Mar 28, 2013
  • Insurance-licensed employees · 49 to 58
    Jun 12, 2012 to Mar 28, 2013
  • Discretionary RAUM · $32B to $36B
    Jun 12, 2012 to Mar 28, 2013
  • RAUM · $32B to $36B
    Jun 12, 2012 to Mar 28, 2013
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.
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
Former SEC-registered adviserderiveda 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