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.

Former SEC-registered adviser

Orion Capital Management Inc

Former SEC-registered adviserWinnetka, IllinoisCRD 106734SEC 801-40234IAPD
Latest filing Jun 12, 2015
First filing on the tape Mar 21, 2012 · 12 filings
RAUM
$150M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$150M as of Mar 18, 2015
Mar 21, 2012$139M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 18, 2015
Mar 7, 20135 then
Employees (5.A)6 as of Mar 18, 2015
Mar 7, 20138 then
Private funds: no history
RAUM +1.3% over the last fiscal year+2.6% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Jun 12, 2015; every figure names its basis
RAUM per advisor
$37.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$281,248derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.3%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for investment companies, pension consulting, selection of other advisers, otherreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
534reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Doty Stephen Cummings · Vice Presidentcontrol
    since 07/2014 · owns less than 5%
  • Walter James Kyle · President & Chief Compliance Officercontrol
    since 05/1991 · owns 75% or more
  • Walter James Kyle · Treasurercontrol
    since 12/2010 · owns less than 5%
  • Roslyn O'Connor · Secretarycontrol
    since 12/2010 · owns less than 5%
Related persons
Schedule D 7.A
  • Mark Lownds
    insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 538 to 534
    Dec 9, 2014 to Mar 18, 2015
  • Advisory employees · 5 to 4
    Dec 9, 2014 to Mar 18, 2015
  • Employees · 8 to 6
    Dec 9, 2014 to Mar 18, 2015
  • State-registered IARs · 5 to 4
    Dec 9, 2014 to Mar 18, 2015
  • Discretionary RAUM · $147M to $150M
    Dec 9, 2014 to Mar 18, 2015
  • Non-discretionary RAUM · $877,738 to $0
    Dec 9, 2014 to Mar 18, 2015
  • RAUM · $148M to $150M
    Dec 9, 2014 to Mar 18, 2015
  • Accounts · 560 to 538
    Sep 24, 2013 to Feb 24, 2014
  • Discretionary RAUM · $148M to $147M
    Sep 24, 2013 to Feb 24, 2014
  • Non-discretionary RAUM · $0 to $877,738
    Sep 24, 2013 to Feb 24, 2014
  • RAUM · $148M to $148M
    Sep 24, 2013 to Feb 24, 2014
  • Advisory activities · 4 to 5
    Mar 7, 2013 to Sep 23, 2013
  • Accounts · 540 to 560
    Jun 27, 2012 to Mar 7, 2013
  • Advisory employees · unset to 5.0
    Jun 27, 2012 to Mar 7, 2013
  • BD registered reps · unset to 0.0
    Jun 27, 2012 to Mar 7, 2013
  • Employees · unset to 8.0
    Jun 27, 2012 to Mar 7, 2013
  • State-registered IARs · unset to 5.0
    Jun 27, 2012 to Mar 7, 2013
  • Discretionary RAUM · $139M to $148M
    Jun 27, 2012 to Mar 7, 2013
  • RAUM · $139M to $148M
    Jun 27, 2012 to Mar 7, 2013
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