DFX Intelligence

O• A••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM under $100M

O• A••••••• L••

CRD 328812

BOCA RATON, FL

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Search this name across graphsid dfx:ria:22a72c26-a36c-9539-79ab-b88a37b7c62b

Data as of Jul 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 0
Observed: Oct 11, 2023 to Jul 29, 2026
13 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $1.0M••• Locked
Discretionary RAUM: $1.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $1.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L••••••• R••••• B•••••••	n/a	BOCA RATON, FL	1	13	n/a	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• L•••••••• R•••••	Cco	E	yes	09/2023	Oct 11, 2023	May 10, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••••• G••••• I•••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Jan 23, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	100.0%	0	1	0	2	2

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.0M	$0	n/a	n/a	n/a	2	2	0	0

Relationships

Registered with (3)

← L••••••• R••••• B•••••••Advisorregistration: current employment
Apr 9, 2025 to presentfactForm ADV
← Thomas Lee MaplesAdvisorregistration: previous registration
Jun 24, 2024 to Jul 29, 2026factForm ADV
← James Timothy HickeyAdvisorregistration: previous registration
Dec 20, 2023 to May 8, 2024factForm ADV

Controls (1)

Dated events

Occurred
Jul 29, 2026
Advisor changed firm
Thomas Lee Maples left O• A••••••• L•• for Singer Wealth Advisors Llc (registered 2026-08-19)
Form ADVobserved 7 days ago
Occurred
May 8, 2024
Control person left
Timothy James Hickey (Cco) no longer on Schedule A of O• A••••••• L•• (listed 2024-02-23, absent 2024-05-08)
Form ADVobserved 7 days ago
Occurred
May 8, 2024
Advisor changed firm
James Timothy Hickey left O• A••••••• L•• for Crimson Wealth (registered 2024-12-12)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:22a72c26-a36c-9539-79ab-b88a37b7c62b
First observed: Oct 11, 2023
Last observed: Jul 29, 2026 55 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.