Nordwand Investments, Llc
- Regulatory AUM
- $44.7M
- Discretionary
- $44.7M
- Clients
- 4
- Avg AUM / client
- $11.2M
- Accounts
- 4
- Employees
- 2
AUM over time
Annual snapshots from Form ADV filings · as of Mar 20, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pooled investment vehicles (non-investment companies) | 4 | $44.7M | 100.0% |
Private funds (4)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $50.9M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Nordwand Special Opportunities Fund I, Llc | Private Equity Fund | Delaware | $13.9M | 25 |
| Nordwand Special Opportunities Fund Ii, Llc feeder | Other Private Fund | Delaware | $13.3M | 21 |
| Nordwand Income Opportunities Fund I, Llc | Other Private Fund | Delaware | $12.0M | 10 |
| Nordwand Early Opportunities Fund I, Llc | Venture Capital Fund | Delaware | $11.8M | 8 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Francis Martin | Owner | Nov 2022 (4y) | ≈ 56.25% – 100% via Nordwand Capital, Llc | |
| Gerald Joshua Kane | Chief Compliance Officer | Jan 2023 (4y) | Less than 5% | |
| Theodore Wesley Brooks | Registered representative | CFA | Apr 2023 (3y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Nordwand Capital, Llc | Managing Member | Oct 2022 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- James Francis Martin: 75% – 100% of Nordwand Capital, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
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 (4, $50.9M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Nordwand Special Opportunities Fund I, Llc | Private Equity Fund | $13.9M | $0 | 25 |
| Nordwand Special Opportunities Fund Ii, Llc | Other Private Fund | $13.3M | $0 | 21 |
| Nordwand Income Opportunities Fund I, Llc | Other Private Fund | $12.0M | $0 | 10 |
| Nordwand Early Opportunities Fund I, Llc | Venture Capital Fund | $11.8M | $0 | 8 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/20/2026 | 1.31 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
- • Performance-based fees
Services
- • Portfolio management for pooled investment vehicles
Custody
Firm reports having custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 20, 2026.
View current Form ADV (SEC/IAPD) ↗