DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

O•••••• A•••• M•••••••••

O•••••• A•••• M•••••••••, LLC, CRD 159121

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9a20ba34-4a92-4fd3-54a4-f3d51e18b255

Data as of Apr 1, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 13, 2012 to Apr 1, 2013
2 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: $33.9M••• Locked
Discretionary RAUM: $33.7M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••• J•••	CHIEF EXECUTIVE OFFICER	C	yes	04/2011	Feb 13, 2012	Apr 1, 2013
R•••• D••••••• M•••••••	CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER	A	yes	04/2011	Feb 13, 2012	Apr 1, 2013

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• P•••• L•	n/a	Former SEC adviser	$762M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Apr 1, 2013	$33.9M	$33.7M	7	6	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$33.9M	n/a	n/a	n/a	n/a	7	n/a	n/a	n/a

Relationships

Affiliated with (2)

→ M••••• P•••• L•Registered adviserother investment adviser, common control
factForm ADV
← M••••• P•••• L•Registered adviserother investment adviser, common control
factForm ADV

Controls (3)

← S••••••••• J•••••••• E••••••OwnerCHAIRMAN, ownership code D, individual
Feb 13, 2012 to presentfactForm ADV
← D•••• J•••OwnerCHIEF EXECUTIVE OFFICER, ownership code C, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9a20ba34-4a92-4fd3-54a4-f3d51e18b255
First observed: Feb 13, 2012
Last observed: Apr 1, 2013 164 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.