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

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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM 10b 100b

O••••••••• A•••• M•••••••••

O••••••••• A•••• M••••••••• INC., CRD 105559

NEW YORK, NY

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Search this name across graphsid dfx:ria:4d052679-8890-eb25-2f28-9924bae88ecc

Data as of Sep 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 153
Dated events: 5
On other graphs: 2
Observed: Mar 27, 2012 to Sep 1, 2026
69 observations

Across DFX

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

Private Equityidentity

O••••••••• A•••• M•••••••••

Private equity manager · shared crd

Independent Sponsorsidentity

O••••••••• A•••• M•••••••••

Capital provider to sponsors · shared crd

Facts

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

Firm class: broker-dealer affiliated wealth managerderivedprivate_client_share=0.82 fund_share=0.0 institutional_share=0.05 related_bd=true related_bank=true bd_reps=53.0
Regulatory AUM: $21BItem 5.F on the latest filing (2026-09-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $16B
Private client RAUM: $17BderivedItem 5.D individuals plus high net worth individuals
Private client share: 82%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P•••• M•••••• C••••••	n/a	NEW YORK, NY	21	29	1	yes
M•••••• D•••••• R••••••	Chartered Financial Analyst	CARMEL, IN	19	33

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
A• M••••••••• U•• A••••• F••• L••	n/a	$68.1M	Sep 1, 2026	174	Sep 1, 2026	reported	021-525917
A• 2•• P•••••• E••••• A••••• F••• L••	n/a

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
C••••••• P••••• M••••••	President	Na	yes	06/2025	Sep 1, 2026	Sep 1, 2026
E••• V•••• I••••••••• C••	DIRECT PARENT	E	yes	10/1986	Sep 1, 2026

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••••••••• • C•• I•••	n/a	Bd affiliated wealth	$37B	N	yes	NY
A•••••••• A••••••• M••••••••• L•••••	n/a	Asset manager	$4.9B	Y	yes

Offices

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

City	State	Country	Employees	Also broker-dealer
Carmel	In	United States	7	no
FT. WORTH	TX	United States	4	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; showing 15 of 16

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	20.0%	0	0	0	0	1

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	$21B	$20B	6.8%	$16B	9.5%	129	134	2	2

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
O••••••••• • C•• I•••	3	Jun 20, 2025	Apr 15, 2003	WESTLAKE VILLAGE, CA	Team lift out	Ibd to ibd	0.3%
O••••••••• • C•• I•••	5	Jan 5, 2016

Relationships

showing 80 of 153

Affiliated with (12)

→ A•••••••• A••••••• M••••••••• L•••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ A•••••••• A••••••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ O••••••••• I••••••••• M••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ O••••••••• A••••••••• I••••••••• M••••••••• L••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Dec 31, 2025
Advisor changed firm
M•••••• G••••• S•••••••• left O••••••••• A•••• M••••••••• for O••••••••• • C•• I••• (registered 2011-02-01)
Form ADVobserved 6 days ago
Occurred
Jun 20, 2025
Team lift-out
3 advisors left O••••••••• • C•• I••• (Westlake Village, CA) for O••••••••• A•••• M••••••••• on the same day
Form ADVobserved 6 days ago
3 advisors
Occurred
Apr 20, 2023
Control person left
Olga Roberts (Controls 100% Of Elka Estates) no longer on Schedule A of O••••••••• A•••• M••••••••• (listed 2023-03-21, absent 2023-04-20)
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4d052679-8890-eb25-2f28-9924bae88ecc
First observed: Mar 27, 2012
Last observed: Sep 1, 2026 21 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.

2025	Mar 19, 2026	$21B	$16B	129	129	2	3	n/a
2024	Mar 27, 2025	$20B	$15B	134	134	2	n/a	n/a
2023	Mar 19, 2024	$19B	$14B	127	127	2	n/a	n/a
2022	Mar 21, 2023	$16B	$12B	127	127	2	n/a	n/a
2021	Mar 18, 2022	$20B	$14B	134	134	2	n/a	n/a
2020	Mar 24, 2021	$17B	$12B	134	134	2	n/a	n/a
2019	Mar 10, 2020	$15B	$11B	133	133	2	n/a	n/a
2018	Mar 19, 2019	$13B	$9.3B	118	118	1	n/a	n/a
2017	Mar 23, 2018	$14B	$9.8B	125	37	1	n/a	n/a
2016	Mar 24, 2017	$12B	$2.8B	121	35	n/a	n/a	n/a
2015	Mar 22, 2016	$12B	$2.7B	119	30	n/a	n/a	n/a
2014	Mar 30, 2015	$13B	$2.6B	115	25	n/a	n/a	n/a
2013	Mar 28, 2014	$13B	$2.3B	115	25	n/a	n/a	n/a
2012	Mar 20, 2013	$9.2B	$2.2B	115	25	n/a	n/a	n/a
2011	Mar 27, 2012	$9.1B	$2.6B	n/a	n/a	n/a	n/a	n/a