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•• P•••••• I••••••••• I••
Latest filing Dec 19, 2019
First filing on the tape Mar 30, 2012 · 17 filings
RAUM
$2.0B
reported, Item 5.F
Discretionary
0.0%
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$3.0B as of Mar 29, 2019
Mar 30, 2012$6.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 28, 20130 then
Employees (5.A)210 as of Mar 29, 2019
Mar 28, 2013188 then
Private funds: no history
RAUM -40% over the last fiscal year-35% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 19, 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $998MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 100%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
- -11%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $1.4M, 2 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.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
- State and municipal entities$2.0B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.4M for 2 clientsreported
- 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
Left, latest
- S••••• D•••• D•••••••• to A••••••• P••••••••• A•••••••• I••Dec 19, 2005 · Other
- D••••• F•••••• P••••• to K••••• A••••••• S•••••••• L••Dec 19, 2005 · Other
- D•••• L••• to F••••••• P••••••• A•• W•••••••• A•••••••Dec 19, 2005 · Other
- C•••••••• P•••••• G••••• to C•••• I••••••••• S••••••• C••••Dec 19, 2005 · Other
- J••• A••••• H•••••• to A••••• W••••• M•••••••••Dec 19, 2005 · Other
- B•••• F•••••••• M••••• to T• R••• P•••• A••••••••• I•••Dec 19, 2005 · Other
- B•••• C•••••• P••••• to A••••••• A•••• M••••••••• I•••Dec 19, 2005 · Other
- M•••••• J•••• M•••• to C••••••• M••••••••• I••••••••• A•••••••• L••Dec 19, 2005 · Other
- A•••• S•••• to S••• A••••••• S••••••• L•• C•Dec 19, 2005 · Other
- C••••••••• B• B••• to C•••••• S••••• • C••• I•••Oct 10, 2005 · Other
- J••••••• T•••••• S•••••• to W•••• F•••• A•••••••Mar 10, 2005 · Other
- S••••• M•••• P••••• to C••••••• M••••••••• A•••••••• I•••Nov 12, 2004 · Other
- R•••••• K•••• F•••• to L•••••• F•••••••• D••••••••• I•••May 24, 2004 · Other
- R••••• W•••• G•••• to H• B•••• I•••Jan 16, 2004 · Other
- J•••• R•••••• B••• to M•• I•••••••• S•••••••• L••Nov 17, 2003 · Other
Joined, latest
- J••• A••••• H•••••• from Q•••• • R•••••• I•••Jun 11, 2004 · Other
- B•••• F•••••••• M••••• from A• G• E•••••• • S•••• I•••Jun 11, 2004 · Other
- D•••• L••• from W•••••• • R•••Jun 11, 2004 · Other
- M•••••• J•••• M•••• from S••••• C•••••• M••••••••• I••Jun 11, 2004 · Other
- C•••••••• P•••••• G••••• from U•• F•••••••• S••••••• I•••May 24, 2004 · Other
- S••••• M•••• P••••• from L••• M•••• W••• W•••••• I•••••••••May 19, 2004 · Other
- J••••••• T•••••• S•••••• from U•• F•••••••• S••••••• I•••Mar 27, 2003 · Other
- R••••• M•••••• H••••• from A••••••••• F•••••••• S•••••••• L••Sep 17, 2002 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• K••••••• M•••• · Chief Financial Officer & Treasurercontrolsince 06/2008 · owns less than 5%
- M••••••••• J•••• C••••• · Director & Presidentcontrolsince 06/2019 · owns less than 5%
- R•••••• R•••••• H••••• · Directorcontrolsince 05/2019 · owns less than 5%
- S••••• L••••• M•••••• · Directorcontrolsince 05/2019 · owns less than 5%
- W••••• D••••• M•••• · Chief Compliance Officercontrolsince 12/2019 · owns less than 5%
Entity owners
- I•••••• G•••• S•••••••• I••• · Shareholderdirect · owns 75% or more
- I•••••• H•••••• C•••••• •••• I••• · Sole Shareholderindirect · owns 75% or more of O••••••••• A••••••••• C•••• •••••
- I•••••• H•••••• C•••••• L•••••• · Sole Shareholderindirect · owns 75% or more of I•••••• H•••••• C•••••• •••• I•••
- I•••••• L••• · Sole Shareholderindirect · owns 75% or more of I•••••• H•••••• C•••••• L••••••
- O•• G••••• A•••• M••••••••• I••• · Sole Shareholderindirect · owns 75% or more of I•••••• G•••• S•••••••• I•••
- O••••••••• A••••••••• C•••• ••••• · Shareholderindirect · owns 75% or more of O••••••••• I•••
- O••••••••• I••• · Shareholderindirect · owns 75% or more of O•• G••••• A•••• M••••••••• I•••
Related persons
Schedule D 7.A
- F••• R••••• I••••••••• M••••••••• C••• L•••investment advisern
- G•••• W••• W• R••• ••• I••••••••• M••••••••• L•••investment advisern
- H••••••••• A•••• M••••••••• C•••••••••investment adviserbankpooled vehicle sponsornRAUM $386M
- I•••••• A•••••••• I•••investment adviserbankyRAUM $750B
- I•••••• A•••• M••••••••• •••••• P••• L•••investment advisernRAUM $10B
- I•••••• A•••• M••••••••• •••••• L••••••investment advisernRAUM $76B
- I•••••• M••••••••• S•••investment advisernRAUM $49B
- I•••••• A•••• M••••••••• L•••investment advisernRAUM $188B
- I••••••investment adviserbankpooled vehicle sponsornRAUM $20B
- I•••••• C•••••• M••••••••• L••investment adviserbanknRAUM $941B
- I•••••• C•••••• M••••••• I•••broker-dealern
- I•••••• D••••••••• I•••broker-dealern
- I•••••• E••••••• R• L•••investment advisern
- I•••••• F••• M••••••• L••pooled vehicle sponsorn
- I•••••• G••••• R••• E••••• A••• P••••••• I•••investment adviserpooled vehicle sponsornRAUM $3.1B
- I•••••• H••• K••• L••••••investment advisernRAUM $26B
- I•••••• I•••••••• A•••••• I•••real estaten
- I•••••• I••••••••• A••••••• L••investment advisernRAUM $4.4B
- I•••••• M•••••• A•••••••• L••investment advisernRAUM $31B
- I•••••• M••••••••• S•••pooled vehicle sponsorn
- I•••••• P••••••• L••real estaten
- I•••••• P•••••• C••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $860M
- I•••••• R••• E••••• Management S.à R.L.investment advisernRAUM $13B
- I•••••• R• F••• L•••investment adviserpooled vehicle sponsorn
- I•••••• S••••• S•••••• M••••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $29B
- I•••••• S••••••••• P•••••••• L••pooled vehicle sponsorn
- I•••••• T•••• C••••••n
- I•••••• U• S••••••• L••investment advisern
- I•• ••••••• L••••••investment adviserpooled vehicle sponsorn
- Redblack Advisers, Inc.investment advisernRAUM $824M
Advisers that list O•• P•••••• I••••••••• I•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 94 to 2Mar 29, 2019 to Jun 24, 2019
- Advisory employees · 183 to 0Mar 29, 2019 to Jun 24, 2019
- BD registered reps · 1 to 0Mar 29, 2019 to Jun 24, 2019
- Employees · 210 to 0Mar 29, 2019 to Jun 24, 2019
- Non-discretionary RAUM · $3.0B to $2.0BMar 29, 2019 to Jun 24, 2019
- RAUM · $3.0B to $2.0BMar 29, 2019 to Jun 24, 2019
- Accounts · 3 to 94Apr 26, 2018 to Mar 29, 2019
- Advisory employees · 203 to 183Apr 26, 2018 to Mar 29, 2019
- BD registered reps · 4 to 1Apr 26, 2018 to Mar 29, 2019
- Assets in custody · $7.9M to $1.4MApr 26, 2018 to Mar 29, 2019
- Employees · 211 to 210Apr 26, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $3.3B to $3.0BApr 26, 2018 to Mar 29, 2019
- RAUM · $3.3B to $3.0BApr 26, 2018 to Mar 29, 2019
- Accounts · 11 to 3Aug 9, 2017 to Mar 29, 2018
- Advisory employees · 190 to 203Aug 9, 2017 to Mar 29, 2018
- BD registered reps · 3 to 4Aug 9, 2017 to Mar 29, 2018
- Assets in custody · $1.7B to $7.9MAug 9, 2017 to Mar 29, 2018
- Employees · 213 to 211Aug 9, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Aug 9, 2017 to Mar 29, 2018
- Discretionary RAUM · $1.7B to $0Aug 9, 2017 to Mar 29, 2018
- Non-discretionary RAUM · $7.7B to $3.3BAug 9, 2017 to Mar 29, 2018
- RAUM · $9.4B to $3.3BAug 9, 2017 to Mar 29, 2018
- Advisory activities · 2 to 1Mar 30, 2016 to Mar 31, 2017
- Assets in custody · $1.6B to $1.7BMar 30, 2016 to Mar 31, 2017
- Employees · 212 to 213Mar 30, 2016 to Mar 31, 2017
- Discretionary RAUM · $1.6B to $1.7BMar 30, 2016 to Mar 31, 2017
- Non-discretionary RAUM · $5.8B to $7.7BMar 30, 2016 to Mar 31, 2017
- RAUM · $7.4B to $9.4BMar 30, 2016 to Mar 31, 2017
- Accounts · 12 to 11Mar 31, 2015 to Mar 30, 2016
- Advisory employees · 182 to 190Mar 31, 2015 to Mar 30, 2016
- BD registered reps · 2 to 3Mar 31, 2015 to Mar 30, 2016
- Assets in custody · $10B to $1.6BMar 31, 2015 to Mar 30, 2016
- Employees · 200 to 212Mar 31, 2015 to Mar 30, 2016
- Discretionary RAUM · $1.6B to $1.6BMar 31, 2015 to Mar 30, 2016
- Non-discretionary RAUM · $8.4B to $5.8BMar 31, 2015 to Mar 30, 2016
- RAUM · $10B to $7.4BMar 31, 2015 to Mar 30, 2016
- Advisory employees · 167 to 182Mar 28, 2014 to Mar 31, 2015
- BD registered reps · 4 to 2Mar 28, 2014 to Mar 31, 2015
- Assets in custody · $9.3B to $10BMar 28, 2014 to Mar 31, 2015
- Employees · 187 to 200Mar 28, 2014 to Mar 31, 2015
Signals
10 dated events
- Marie Donna White (Chief Compliance Officer) appeared on Schedule A of O•• P•••••• I••••••••• I••Dec 18, 2019 · Control person joined · fact
- Ann Mary Picciotto (Chief Compliance Officer) no longer on Schedule A of O•• P•••••• I••••••••• I•• (listed 2019-06-24, absent 2019-12-18)Dec 18, 2019 · Control person left · inference
- Matthew David Pfeffer (Director & Chief Financial Officer) no longer on Schedule A of O•• P•••••• I••••••••• I•• (listed 2019-03-29, absent 2019-06-24)Jun 24, 2019 · Control person left · inference
- Cynthia Lo Bessette (Chief Legal Officer) no longer on Schedule A of O•• P•••••• I••••••••• I•• (listed 2019-03-29, absent 2019-06-24)Jun 24, 2019 · Control person left · inference
- Mary Kathleen Beichert (President & Director) no longer on Schedule A of O•• P•••••• I••••••••• I•• (listed 2019-03-29, absent 2019-06-24)Jun 24, 2019 · Control person left · inference
- O•• P•••••• I••••••••• I•• reported RAUM $2.0B, down 33% from $3.0B (2019-03-29 to 2019-06-24)Jun 24, 2019 · RAUM change · derived
- Carlin John Mcdonough (Director & President) appeared on Schedule A of O•• P•••••• I••••••••• I••Jun 24, 2019 · Control person joined · fact
- Harris R••••• Rigsby (Director) appeared on Schedule A of O•• P•••••• I••••••••• I••Jun 24, 2019 · Control person joined · fact
- Michael Loren Starr (Director) appeared on Schedule A of O•• P•••••• I••••••••• I••Jun 24, 2019 · Control person joined · fact
- O•• P•••••• I••••••••• I•• reported RAUM $3.3B, down 64% from $9.4B (2017-08-09 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
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