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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 100m 1b

O••••• G••••• A•••••••• I•••

CRD 308150

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:3a381396-5c31-aeea-9136-58415520c4dc

Data as of May 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 8
On other graphs: 1
Observed: Nov 13, 2020 to May 4, 2026
16 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Creditidentity

O••••• G••••• A•••••••• I•••

Private credit manager · shared crd

Facts

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

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.1 institutional_share=0.09 related_bd=true related_bank=false bd_reps=2.0
Regulatory AUM: $402MItem 5.F on the latest filing (2026-05-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $402M
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
O••••• C•••••••• F••• L••	Hedge Fund	$29.7M	Oct 13, 2022	1	Nov 13, 2020	dropped	n/a
O••••• R•••• A••••••••• M••••• L••	Hedge Fund	$20.7M

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••••• S•••••• L•••••••	CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER	Na	yes	11/2019	Nov 13, 2020	Aug 12, 2024
D••• A••••••• I•••	HOLDING COMPANY	E	yes	01/2010	Nov 13, 2020

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
W•••••• O••••• • C•• I•••••••••	n/a	No RAUM reported	$0	N	yes	n/a
O••••• S••••••••• I•••••••••	n/a	n/a	n/a	N	yes

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	0	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
2025	$402M	$368M	9.3%	$294M	11.0%	40	34	1	1

Relationships

Affiliated with (2)

→ W•••••• O••••• • C•MPANYRegistered adviserother investment adviser, common control
factForm ADV
← W•••••• O••••• • C•MPANYRegistered adviserother investment adviser, common control
factForm ADV

Advises (6)

→ O••••• C••••• Q•••••••• M••••• L••Private fundHedge Fund, IA
Nov 13, 2020 to presentfactForm ADV
→ O••••• R•••• A••••••••• M••••• L••

Dated events

Occurred
Aug 7, 2024
Control person left
Scott William O'Neil (Trustee) no longer on Schedule A of O••••• G••••• A•••••••• I••• (listed 2024-04-30, absent 2024-08-07)
Form ADVobserved 7 days ago
Occurred
May 19, 2023
Control person left
Joseph William Oneil (Shareholder) no longer on Schedule A of O••••• G••••• A•••••••• I••• (listed 2023-04-27, absent 2023-05-19)
Form ADVobserved 7 days ago
Occurred
Mar 23, 2023
Regulatory AUM changed
O••••• G••••• A•••••••• I••• reported RAUM $294.0M, down 30% from $417.4M (2022-10-13 to 2023-03-23)
Form ADVobserved 7 days ago
$-123M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3a381396-5c31-aeea-9136-58415520c4dc
First observed: Nov 13, 2020
Last observed: May 4, 2026 4 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.

Controls (10)

← B••••• S•••••• L•••••••OwnerCHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER, ownership code NA, individual
Nov 13, 2020 to Aug 12, 2024factForm ADV
← E•••••••• P••••••• M•••••OwnerDIRECTOR OF D••• SCIENCE, ownership code NA, individual
Nov 13, 2020 to Aug 12, 2024factForm ADV
← M••••••• A••••••••• V•••••OwnerGENERAL COUNSEL & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 13, 2020 to Aug 12, 2024factForm ADV
← G•••••• C••••••••• F••••••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Nov 13, 2020 to Aug 12, 2024factForm ADV
← L••• P•••••• ••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 23, 2023 to Aug 12, 2024factForm ADV
← D••• A••••••• I•••OwnerHOLDING COMPANY, ownership code E, domestic entity
Nov 13, 2020 to Aug 12, 2024factForm ADV
← I••••••••• L••OwnerTRUSTEE, ownership code F, domestic entity
Aug 12, 2024 to Aug 12, 2024factForm ADV
← O••••• C•••••• M••••••••• I•••OwnerPARENT COMPANY, ownership code E, foreign entity
Nov 13, 2020 to Aug 12, 2024factForm ADV
← W•••••• S•••• O••••• G•• E••••• T•••• S•••• U•••• T•• F•• C• O••••• I••••••••• T•••• O• 2••• • D•••• A• O• J••• 8• 2•••OwnerS••••HOLDER, ownership code D, domestic entity
Aug 7, 2024 to Aug 12, 2024factForm ADV
← W•••••• S•••• O••••• G•• E••••• T•••• S•••• U•••• T•• W•••••• J• O••••• I••••••••• T•••• O• 2•••• D•••• A• O• J••• 8• 2•••OwnerS••••HOLDER, ownership code D, domestic entity
Aug 7, 2024 to Aug 12, 2024factForm ADV