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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

O••••• F••• M••••••••• L•••••• P•••••••••

CRD 133988

PEMBROKE

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Search this name across graphsid dfx:ria:2963a0dd-398f-2dca-0b69-cb1bd31e6527

Data as of Mar 28, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 28, 2017
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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $480MItem 5.F on the latest filing (2017-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $385M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T•• O••••• P••••••• F•••• F••• C•••• S•	Hedge Fund	$30.9M	Jun 15, 2015	1	Mar 29, 2012	dropped	021-149982
T•• O••••• E••••••• M•••••• F••• L••••••	Hedge Fund	$9.9M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• D•••••• D••••	MANAGING MEMBER, OWNER	C	yes	07/2001	Mar 29, 2012	Mar 28, 2017
B•••••••• D•••••• D••••	CHAIRMAN OF THE GENERAL PARTNER	Na	yes	12/1993	Mar 29, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O••••• F••• M••••••••• L••	n/a	Former SEC adviser	$1.2B	N	yes	n/a
O••••• G•••• H••••••• L••	n/a	n/a	n/a	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$480M	$512M	-6.2%	$877M	-18.2%	30	39	n/a	n/a

Relationships

Affiliated with (1)

→ O••••• F••• M••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV

Owns (5)

← S••••••• M••••••• K•OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Jun 15, 2015 to presentfactForm ADV
← R•••• R•••••• R••••••OwnerPRESIDENT OF GENERAL PARTNER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← D••••• T•••••• H••••••OwnerVICE PRESIDENT OF THE GENERAL PARTNER, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2963a0dd-398f-2dca-0b69-cb1bd31e6527
First observed: Mar 29, 2012
Last observed: Mar 28, 2017 115 months 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.