Nfi Advisors, Inc
- Regulatory AUM
- $41.7M
- Discretionary
- $41.7M
- Clients
- 39
- Avg AUM / client
- $1.1M
- Accounts
- 160
- Employees
- 3
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 09, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 36 | $5.2M | 12.5% |
| Pooled investment vehicles (non-investment companies) | 3 | $36.5M | 87.5% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Jun 2012 · $6.1M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Nfi Capital Partners, Lp | Hedge Fund | Delaware | $6.1M | 34 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Thomas Phillip Norris | President | Jan 2004 (23y) | 75% or more | |
| Barnes, Diana | Chief Compliance Officer | Nov 2005 (21y) | Less than 5% | |
| Daniel Tacker | Registered representative | Jan 2025 (2y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (1, $6.1M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Nfi Capital Partners, Lp | Hedge Fund | $6.1M | $250K | 34 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/09/2026 | 1.65 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Other fees
- • RESIDUAL REFERRAL OF THIRD-PARTY INVESTMENT ADVISORS.
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
Custody
Reported custodians
- Charles Schwab & Co. $41.7M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 09, 2026.
View current Form ADV (SEC/IAPD) ↗