DFX Intelligence

O•••• I••••••••• 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•••• I••••••••• A•••••••• L••

O•••• I••••••••• A••••••• LLC, CRD 104890

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Search this name across graphsid dfx:ria:efc21bd3-54b8-0abf-d80b-bd6ffa8771d0

Data as of Jun 9, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Feb 15, 2012 to Jun 9, 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: $146M••• Locked
Discretionary RAUM: $143M
Private client RAUM: $146Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
O••••• D•••••• H••••	Ceo	E	yes	01/1999	Feb 15, 2012	Feb 9, 2024
R•••••• H•••• S•••••• L•••	CHIEF COMPLIANCE OFFICER	Na	yes	04/2020	Mar 25, 2020	Feb 9, 2024

Regulatory AUM by fiscal year

••• Locked

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

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	$146M	$143M	2.2%	$150M	-0.9%	2	2	0	0

Relationships

Registered with (3)

← D••••• J••••• G••••••Advisorregistration: previous registration
Mar 14, 2017 to Mar 17, 2025factForm ADV
← A••••• K•••••Advisorregistration: previous registration
Jan 24, 2019 to Jun 27, 2019factForm ADV
← C••••••• S•••• M•••••••Advisorregistration: previous registration
Feb 23, 2005 to Apr 13, 2016factForm ADV

Controls (2)

Dated events

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

Occurred
Mar 17, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 25, 2020
Control person joined
••• Locked
Form ADVobserved 8 days ago

Show 1 bookkeeping events

Occurred
Dec 20, 2025
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:efc21bd3-54b8-0abf-d80b-bd6ffa8771d0
First observed: Feb 15, 2012
Last observed: Jun 9, 2025 15 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.