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.

Firm class

independent wealth managerderivedprivate_client_share=0.63 fund_share=0.34 institutional_share=0.03 related_bd=false related_bank=false bd_reps=8.0

Regulatory AUM

$439MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$439M

Private client RAUM

$276MderivedItem 5.D individuals plus high net worth individuals

Private client share

63%derivedprivate client RAUM over total RAUM

Advisors on IAPD

0

Employees

66

Advisory employees

14

Offices

0Schedule D 1.F, beyond the principal office

Accounts

35

High net worth clients

33

SEC number

801-18395

CRD

105421

Filings on the tape

23

First filed

Dec 8, 2011

Latest filed

Mar 31, 2026

Organised

Corporation, CA

• Occurred

  Mar 29, 2019
  Regulatory AUM changed

  Osterweis Capital Management reported RAUM $373.6M, down 30% from $536.0M (2018-03-29 to 2019-03-29)

  Form ADVobserved 4 days ago
  $-162M
• Occurred

  Mar 29, 2018
  Regulatory AUM changed

  Osterweis Capital Management reported RAUM $536.0M, down 26% from $723.3M (2017-03-31 to 2018-03-29)

  Form ADVobserved 4 days ago
  $-187M

Graph

RIA / Wealth Management

Canonical id

dfx:ria:f87ea238-a4ed-d40e-1f1a-ffa8064486db

First observed

Dec 8, 2011

Last observed

Mar 31, 2026 5 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.