DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

O•••• C•••• A•••••••• L••

CRD 171402

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Search this name across graphsid dfx:ria:8c1abf1a-5c9a-26eb-8ba9-1f2b604dac54

Data as of Aug 20, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 7
On other graphs: 0
Observed: Nov 12, 2014 to Aug 20, 2025
24 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: $230M••• Locked
Discretionary RAUM: $230M
Private client RAUM: $1.4Mderived••• Locked
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• J•••••• A•••••	MEMBER, CHIEF OPERATING OFFICER	B	yes	08/2015	Apr 27, 2021	Aug 20, 2024
W••••••• T••••• C••••••	MEMBER, MANAGER	C	yes	10/2014	Nov 12, 2014	Aug 20, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Greenwich	Ct	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$230M	$208M	10.6%	$207M	3.5%	4	5	1	1

Relationships

Affiliated with (1)

← O•••• C•••• MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV

Controls (3)

← W•••••••• G•••••• T••••••OwnerMEMBER, MANAGER, ownership code B, individual
Nov 12, 2014 to Aug 20, 2024factForm ADV
← W••••••• T••••• C••••••OwnerMEMBER, MANAGER, ownership code C, individual
Nov 12, 2014 to Aug 20, 2024factForm ADV
← B••••• J•••••• A•••••OwnerMEMBER, CHIEF OPERATING OFFICER, ownership code B, individual

Dated events

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

Occurred
Oct 17, 2023
Control person left
Keith Roger Long (Member, Manager) no longer on Schedule A of O•••• C•••• A•••••••• L•• (listed 2023-03-17, absent 2023-10-17)
Form ADVobserved 7 days ago
Occurred
Apr 27, 2021
Control person joined
Arthur Justin Beals (Member, Chief Operating Officer) appeared on Schedule A of O•••• C•••• A•••••••• L••
Form ADVobserved 7 days ago
Occurred
Apr 27, 2021
Control person left
Justin A Beals (Member, Chief Operating Officer) no longer on Schedule A of O•••• C•••• A•••••••• L•• (listed 2021-03-31, absent 2021-04-27)
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8c1abf1a-5c9a-26eb-8ba9-1f2b604dac54
First observed: Nov 12, 2014
Last observed: Aug 20, 2025 13 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.