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

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

O•• M••••••• A•••••••

O•• M••••••• A••••••• L••, CRD 168087

CHICAGO, IL

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Search this name across graphsid dfx:ria:a189493f-cc9a-0210-98b4-7e5d3da10b80

Data as of Feb 14, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 8, 2013 to Feb 14, 2014
4 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: $23.3MItem 5.F on the latest filing (2014-02-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $23.3M
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: 2
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
R••••• C••• B•••	Chartered Financial Analyst	CHICAGO, IL	12	13	n/a	no
C••••••••• M•••••• H••••	Chartered Financial Analyst	CHICAGO, IL	12	23

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•• M••••••• F•••• L•••	Hedge Fund	$15.3M	Feb 14, 2014	5	Oct 8, 2013	reported	021-186822

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•••• R•••••• C•••	MANAGING MEMBER	D	yes	12/2012	Feb 7, 2014	Feb 14, 2014
H••••• C••••••••• M••••••	CHIEF COMPLIANCE OFFICER/MANAGING MEMBER	D	yes	12/2012	Oct 8, 2013

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•• M••••••• A••••••• L••	n/a	n/a	n/a	Y	yes	n/a

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	0	0	0.0%	0	0	0	0	0

Relationships

Registered with (2)

← C••••••••• M•••••• H••••Advisorregistration: current employment
May 1, 2014 to presentfactForm ADV
← R••••• C••• B•••Advisorregistration: current employment
Apr 18, 2014 to presentfactForm ADV

Advises (1)

→ O•• M••••••• F•••• L•••Private fundHedge Fund, IA
Oct 8, 2013 to presentfactForm ADV

Controls (2)

Dated events

Occurred
Oct 8, 2013
First Form ADV filing
O•• M••••••• A••••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a189493f-cc9a-0210-98b4-7e5d3da10b80
First observed: Oct 8, 2013
Last observed: Feb 14, 2014 153 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.