DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
O•••••••• C•••••• M•••••••••
Legal name O•••••••• C•••••• M••••••••• I••
Latest filing Mar 31, 2026
First filing on the tape Dec 8, 2011 · 23 filings
SEC status approved since Mar 3, 1983
RAUM
$439M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
63%
$276M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
66
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$439M as of Mar 31, 2026
Mar 30, 2012$1.5B then
HNW client RAUM$276M as of Mar 31, 2026
Mar 29, 2018$337M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)66 as of Mar 31, 2026
Mar 7, 201346 then
Private funds: no history
RAUM -2.9% over the last fiscal year+2.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.4MderivedHNW RAUM over HNW clients
- Average account
- $12.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$276M63%
- Investment companies$148M34%
- State and municipal entities$15.1M3.4%
- Individual clients
- n/areported
- HNW clients
- 33reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 35reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.63 fund_share=0.34 institutional_share=0.03 related_bd=false related_bank=false bd_reps=8.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• C•••••••• · Shareholdercontrolsince 01/2018 · owns 5% to 10%
- K••••••• C•••• P••••• · Co-Ceo And Co-Presidentcontrolsince 04/2017 · owns less than 5%
- O••••••••• J•••• S••••• · Chairmancontrolsince 05/2016 · owns less than 5%
- T••••••••• J•••• F•••• · Chief Compliance Officercontrolsince 01/2005 · owns less than 5%
- A•••••• M•••••• E•••••••• · Trustee, C••• K•••••• • M••••• A••••• R•••••••• T••••since 01/2004 · owns less than 5%
- C••••• S•••• · Trustee, E••••••••• F••••• T••••since 01/2017 · owns less than 5%
- C••••••• J•••• S•••• · Directorsince 04/2022 · owns less than 5%
- E••••••• S••••• M•••••• · Trustee, E••••••••• F••••• T••••since 01/2017 · owns less than 5%
- H••••••••• G••••••• S•••• · Trustee, H•••••••• F••••• T••••since 01/2004 · owns less than 5%
- H••••••••• R••••••• D••• · Trustee, H•••••••• F••••• T••••since 01/2004 · owns less than 5%
- K•••• B••••••• M••••• · Trustee, K••• F••••• T•••• D•• 6••••••••since 01/2018 · owns less than 5%
- K•••• R•••••• Z••••• · Trustee, K••• F••••• T•••• D•• 6••••••••since 01/2018 · owns less than 5%
- M••••••••• J•••• S•••••• · Directorsince 04/2022 · owns less than 5%
- M•••••••• C••••• L•••••• · Shareholdersince 05/2022 · owns 5% to 10%
Entity owners
- C••• K•••••• • M••••• A••••• R•••••••• T•••• · Shareholderdirect · owns 10% to 25%
- E••••••••• F••••• T•••• · Shareholderdirect · owns 5% to 10%
- H•••••••• F••••• T•••• · Shareholderdirect · owns 5% to 10%
- K••• F••••• T•••• D•• 6•••••••• · Shareholderdirect · owns 5% to 10%
- O•• S•••• H•••••••• L•• · Shareholderdirect · owns 10% to 25%
- O•••••••• R•••••••• T••••• U•••••••• 0••••••••• · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- O•••••••• C•••••• M•••••••••investment advisernRAUM $7.5B
Advisers that list O•••••••• C•••••• M••••••••• as a related person
- 109580 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 31, 2026HNW RAUM per HNW client of $8,360,926 against a peer median of $2,402,920 (4942 comparable advisers, 99.0th percentile, 4.0 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 99% percentile
Data quality: the 2026-06-30 holdings report shows $2,120,950,602 across 280 positions while Form ADV reports RAUM of $439,351,047 (4.8x); one of the two is misfiled, misattributed or in the wrong unit
What changed
consecutive filings, newest first
- Accounts · 39 to 35Apr 1, 2025 to Mar 31, 2026
- BD registered reps · 7 to 8Apr 1, 2025 to Mar 31, 2026
- HNW clients · 38 to 33Apr 1, 2025 to Mar 31, 2026
- Employees · 63 to 66Apr 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $452M to $439MApr 1, 2025 to Mar 31, 2026
- HNW RAUM · $287M to $276MApr 1, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $587,925Apr 1, 2025 to Mar 31, 2026
- RAUM · $452M to $439MApr 1, 2025 to Mar 31, 2026
- Accounts · 47 to 39Mar 29, 2024 to Apr 1, 2025
- Advisory employees · 13 to 14Mar 29, 2024 to Apr 1, 2025
- HNW clients · 46 to 38Mar 29, 2024 to Apr 1, 2025
- Employees · 60 to 63Mar 29, 2024 to Apr 1, 2025
- Financial planning clients · 26-50 to 26-50Mar 29, 2024 to Apr 1, 2025
- Discretionary RAUM · $445M to $452MMar 29, 2024 to Apr 1, 2025
- HNW RAUM · $286M to $287MMar 29, 2024 to Apr 1, 2025
- RAUM · $445M to $452MMar 29, 2024 to Apr 1, 2025
- Accounts · 48 to 47Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 16 to 13Mar 31, 2023 to Mar 29, 2024
- BD registered reps · 6 to 7Mar 31, 2023 to Mar 29, 2024
- HNW clients · 47 to 46Mar 31, 2023 to Mar 29, 2024
- Employees · 61 to 60Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $404M to $445MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $260M to $286MMar 31, 2023 to Mar 29, 2024
- RAUM · $404M to $445MMar 31, 2023 to Mar 29, 2024
- Accounts · 46 to 48Jul 26, 2022 to Mar 31, 2023
- Advisory employees · 19 to 16Jul 26, 2022 to Mar 31, 2023
- BD registered reps · 5 to 6Jul 26, 2022 to Mar 31, 2023
- HNW clients · 45 to 47Jul 26, 2022 to Mar 31, 2023
- Employees · 64 to 61Jul 26, 2022 to Mar 31, 2023
- Discretionary RAUM · $445M to $404MJul 26, 2022 to Mar 31, 2023
- HNW RAUM · $276M to $260MJul 26, 2022 to Mar 31, 2023
- RAUM · $445M to $404MJul 26, 2022 to Mar 31, 2023
- Advisory employees · 18 to 19Mar 31, 2022 to Jul 26, 2022
- Employees · 58 to 64Mar 31, 2022 to Jul 26, 2022
- Discretionary RAUM · $563M to $445MMar 31, 2022 to Jul 26, 2022
- HNW RAUM · $360M to $276MMar 31, 2022 to Jul 26, 2022
- RAUM · $563M to $445MMar 31, 2022 to Jul 26, 2022
- Accounts · 50 to 46Mar 30, 2021 to Mar 31, 2022
- BD registered reps · 6 to 5Mar 30, 2021 to Mar 31, 2022
- HNW clients · 47 to 45Mar 30, 2021 to Mar 31, 2022
Signals
2 dated events
- O•••••••• C•••••• M••••••••• reported RAUM $373.6M, down 30% from $536.0M (2018-03-29 to 2019-03-29)Mar 29, 2019 · ria raum c••••e · derived
- O•••••••• C•••••• M••••••••• reported RAUM $536.0M, down 26% from $723.3M (2017-03-31 to 2018-03-29)Mar 29, 2018 · ria raum c••••e · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- contact@osterweis.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- institutionalservices@osterweis.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- privateclient@osterweis.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 415-434-4441reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-700-3316reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 866-236-0050reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- O••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-434-4441reportedpublic record, Form ADV, Mar 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026