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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Former SEC-registered adviser
O••••• F••• M••••••••• L••
Latest filing Mar 29, 2019
First filing on the tape Mar 28, 2012 · 14 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
4.3%
$50.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
12
$766M gross assets
History
14 filings and snapshots on the tape
RAUM$1.2B as of Mar 29, 2019
Mar 28, 2012$1.4B then
HNW client RAUM$50.3M as of Mar 29, 2019
Mar 23, 2018$57.6M then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 19, 20130 then
Employees (5.A)25 as of Mar 29, 2019
Mar 19, 201338 then
Private funds12 as of Mar 29, 2019
Mar 28, 201210 then
RAUM -15% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
- $12.6MderivedHNW RAUM over HNW clients
- Average account
- $53.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%derivedof RAUM
- Institutional
- 0.0%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
- -15%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +100%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Custody
- $137M, 1 clientsreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$810M69%
- Investment companies$204M17%
- Corporations and businesses$106M9.0%
- High-net-worth individuals$50.3M4.3%
- Individual clients
- 0reported
- HNW clients
- 4reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 22reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $137M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• O••••• F•••• M••••• L•••no longer reported | Hedge Fund | $120M | 3 | Mar 28, 2012 |
| G••• L••no longer reported | Hedge Fund | $63.3M | 1 | Mar 28, 2012 |
| O••• L••no longer reported | Hedge Fund | $25.9M | 1 | Mar 30, 2016 |
| T•• O••••• S••••• O••••••••• F••• L••no longer reported | Hedge Fund | $21.9M | 6 | Mar 28, 2012 |
| R•••••••• P••••••• L•• | Hedge Fund | $21.6M | 9 | Mar 30, 2016 |
| T•• O••••• E••••••• M•••••• F••• L•no longer reported | Hedge Fund | $11.7M | 31 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• D•••••• D•••• · Managing Membercontrolsince 07/1988 · owns less than 5%
- L••••• G•••••••• M•••••• · Chief Financial Officer, Chief Compliance Officercontrolsince 06/1989 · owns less than 5%
- B•••••••• D•••••• D•••• · Managing Membercontrolsince 10/2001 · owns 25% to 50% of O••••• G•••• H••••••• L••
- L••••••• N••••• S•• · Director Of Administrationsince 07/1988 · owns less than 5%
- R•••••• C••••••••• A•• · General Counselsince 06/2004 · owns less than 5%
- S••••••• M••••••• K• · Chief Investment Officersince 06/2015 · owns less than 5%
Entity owners
- O••••• G•••• H••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- O••••• F••• M••••••••• L•••••• P•••••••••pooled vehicle sponsory
- O••••• G•••• H••••••• L••pooled vehicle sponsory
- O••••• M••••••••• P••••••• L•••pooled vehicle sponsory
Advisers that list O••••• F••• M••••••••• L•• as a related person
- 133988 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 19 to 22Mar 23, 2018 to Mar 29, 2019
- Advisory employees · 12 to 11Mar 23, 2018 to Mar 29, 2019
- BD registered reps · 4 to 0Mar 23, 2018 to Mar 29, 2019
- Corporate clients · 2 to 3Mar 23, 2018 to Mar 29, 2019
- HNW clients · 2 to 4Mar 23, 2018 to Mar 29, 2019
- Assets in custody · $152M to $137MMar 23, 2018 to Mar 29, 2019
- Employees · 29 to 25Mar 23, 2018 to Mar 29, 2019
- Private funds · 13 to 12Mar 23, 2018 to Mar 29, 2019
- Discretionary RAUM · $871M to $771MMar 23, 2018 to Mar 29, 2019
- HNW RAUM · $57.6M to $50.3MMar 23, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $506M to $399MMar 23, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $912M to $810MMar 23, 2018 to Mar 29, 2019
- RAUM · $1.4B to $1.2BMar 23, 2018 to Mar 29, 2019
- Related broker-dealer · true to falseMar 23, 2018 to Mar 29, 2019
- Accounts · 24 to 19Sep 29, 2017 to Mar 23, 2018
- Advisory employees · 11 to 12Sep 29, 2017 to Mar 23, 2018
- BD registered reps · 5 to 4Sep 29, 2017 to Mar 23, 2018
- Charity clients · unset to 0.0Sep 29, 2017 to Mar 23, 2018
- Corporate clients · unset to 2.0Sep 29, 2017 to Mar 23, 2018
- HNW clients · unset to 2.0Sep 29, 2017 to Mar 23, 2018
- Individual clients · unset to 0.0Sep 29, 2017 to Mar 23, 2018
- Pension plan clients · unset to 0.0Sep 29, 2017 to Mar 23, 2018
- Pooled vehicle clients · unset to 14.0Sep 29, 2017 to Mar 23, 2018
- Assets in custody · $161M to $152MSep 29, 2017 to Mar 23, 2018
- Employees · 30 to 29Sep 29, 2017 to Mar 23, 2018
- Other offices · unset to 0.0Sep 29, 2017 to Mar 23, 2018
- Private funds · 15 to 13Sep 29, 2017 to Mar 23, 2018
- Discretionary RAUM · $925M to $871MSep 29, 2017 to Mar 23, 2018
- HNW RAUM · unset to 57579000.0Sep 29, 2017 to Mar 23, 2018
- Individual RAUM · unset to 0.0Sep 29, 2017 to Mar 23, 2018
- Non-discretionary RAUM · $621M to $506MSep 29, 2017 to Mar 23, 2018
- Pension RAUM · unset to 0.0Sep 29, 2017 to Mar 23, 2018
- Pooled vehicle RAUM · unset to 911855000.0Sep 29, 2017 to Mar 23, 2018
- RAUM · $1.5B to $1.4BSep 29, 2017 to Mar 23, 2018
- Accounts · 19 to 24Mar 29, 2017 to Sep 29, 2017
- Private funds · 11 to 15Mar 29, 2017 to Sep 29, 2017
- Discretionary RAUM · $657M to $925MMar 29, 2017 to Sep 29, 2017
- Non-discretionary RAUM · $724M to $621MMar 29, 2017 to Sep 29, 2017
- RAUM · $1.4B to $1.5BMar 29, 2017 to Sep 29, 2017
- Related adviser · true to falseMar 29, 2017 to Sep 29, 2017
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda 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