DFX Intelligence

H•••• J•••• I••••••••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 100m 1b

H•••• J•••• I••••••••• M••••••••• I•••

CRD 169293

NEW YORK, NY

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Search this name across graphsid dfx:ria:f96a6fec-3f97-4d82-40f5-666eacb18599

Data as of Mar 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 4
On other graphs: 0
Observed: Jan 24, 2014 to Mar 10, 2026
27 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: institutional managerderivedprivate_client_share=0.04 fund_share=0.0 institutional_share=0.96 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $402M••• Locked
Discretionary RAUM: $402M
Private client RAUM: $14.2Mderived••• Locked
Private client share: 4%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $402Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• H•••• O••••••	n/a	NEW YORK, NY	0	40	1	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
O••••••• J••••• H••••	CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER AND PORTFOLIO MANAGER	E	yes	01/2014	Jan 24, 2014	Mar 25, 2024
A•••• O•••••• 2••• T••••	Owner	A	no	01/2014	Mar 24, 2016	Mar 25, 2024

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$402M	$369M	9.0%	$317M	8.3%	5	5	0	0

Relationships

Registered with (1)

← J•••• H•••• O••••••Advisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV

Owns (4)

← K•••••• A••••• P•••••OwnerCCO, ownership code NA, individual
Mar 27, 2019 to Mar 25, 2024factForm ADV
← O••••••• S••••• H••••••••OwnerOWNER, ownership code A, individual
Mar 24, 2016 to Mar 25, 2024factForm ADV
← O••••••• C••••••••• J••••OwnerOWNER, ownership code A, individual

Dated events

Occurred
Mar 8, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-193M
Occurred
Mar 30, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-169M
Occurred
Mar 23, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$138M
Occurred
Jan 24, 2014
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f96a6fec-3f97-4d82-40f5-666eacb18599
First observed: Jan 24, 2014
Last observed: Mar 10, 2026 6 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.