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•••••• I••••••••• A•••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 108522SEC 801-56031IAPD
Latest filing Jun 6, 2017
First filing on the tape Feb 24, 2012 · 15 filings
RAUM
$4.4B
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
25
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$4.4B as of Jan 24, 2017
Feb 24, 2012$4.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 24, 2017
Mar 28, 20130 then
Employees (5.A)25 as of Jan 24, 2017
Mar 28, 201334 then
Private funds: 1
RAUM -10% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 6, 2017; 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
$200MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
-10%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, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • 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)
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
22reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O•• G••••••• G••••• F•••• L•no longer reportedHedge Fund$1.9M4Jun 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• S••••••• J•••• · Executive Committee Member / Principalcontrol
        since 12/2011 · owns less than 5%
      • R••••• L•••••••• S••• · Executive Managing Principalcontrol
        since 08/1986 · owns less than 5%
      • W•••••• W•••••• R•••••• · Executive Managing Principalcontrol
        since 08/1986 · owns less than 5%
      • B••••••• S••••••• J•••• · Managing Membercontrol
        since 12/2011 · owns F of O•••••• G••••• L••
      • B••••••• S••••••• J•••• · Managing Membercontrol
        since 12/2011 · owns F of O•• C•••• B• L••
      • R••••• L•••••••• S••• · Managing Membercontrol
        since 12/2011 · owns 50% to 75% of O•• C•••• B• L••
      • R••••• L•••••••• S••• · Managing Membercontrol
        since 10/1998 · owns F of O•••••• G••••• L••
      • W•••••• W•••••• R•••••• · Managing Membercontrol
        since 10/1998 · owns F of O•••••• G••••• L••
      • W•••••• W•••••• R•••••• · Managing Membercontrol
        since 12/2011 · owns 25% to 50% of O•• C•••• B• L••
      • D•••••• R••••• · Chief Financial Officer
        since 10/2015 · owns less than 5%
      • S•••••• I••• J•••••• F•••••• · Chief Compliance Officer / Principal
        since 06/2004 · owns less than 5%
      Entity owners
      • O•••••• G••••• L•• · Member Manager
        direct · owns 25% to 50%
      • O•• C•••• B• L•• · Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Advisers that list O•••••• I••••••••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • 60311 Frankfurt M., Germany
      • Central Hong Kong, Hong Kong
      • London, United Kingdom
      What changed
      consecutive filings, newest first
      • Accounts · 21 to 22
        Sep 30, 2016 to Jan 24, 2017
      • Employees · 31 to 25
        Sep 30, 2016 to Jan 24, 2017
      • Discretionary RAUM · $4.9B to $4.4B
        Sep 30, 2016 to Jan 24, 2017
      • RAUM · $4.9B to $4.4B
        Sep 30, 2016 to Jan 24, 2017
      • Accounts · 18 to 21
        Aug 28, 2015 to Mar 10, 2016
      • Employees · 32 to 31
        Aug 28, 2015 to Mar 10, 2016
      • Discretionary RAUM · $6.0B to $4.9B
        Aug 28, 2015 to Mar 10, 2016
      • Non-discretionary RAUM · $13.9M to $0
        Aug 28, 2015 to Mar 10, 2016
      • RAUM · $6.0B to $4.9B
        Aug 28, 2015 to Mar 10, 2016
      • Advisory employees · 7 to 6
        Mar 16, 2015 to Mar 30, 2015
      • Employees · 33 to 32
        Mar 16, 2015 to Mar 30, 2015
      • Accounts · 21 to 18
        Oct 9, 2014 to Mar 16, 2015
      • Discretionary RAUM · $6.2B to $6.0B
        Oct 9, 2014 to Mar 16, 2015
      • Non-discretionary RAUM · $11.9M to $13.9M
        Oct 9, 2014 to Mar 16, 2015
      • RAUM · $6.2B to $6.0B
        Oct 9, 2014 to Mar 16, 2015
      • Accounts · 27 to 21
        Oct 10, 2013 to Mar 28, 2014
      • Advisory employees · 8 to 7
        Oct 10, 2013 to Mar 28, 2014
      • Assets in custody · 1932813.0 to unset
        Oct 10, 2013 to Mar 28, 2014
      • Custody of client assets · true to false
        Oct 10, 2013 to Mar 28, 2014
      • Employees · 34 to 33
        Oct 10, 2013 to Mar 28, 2014
      • Discretionary RAUM · $5.1B to $6.2B
        Oct 10, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $16.9M to $11.9M
        Oct 10, 2013 to Mar 28, 2014
      • RAUM · $5.1B to $6.2B
        Oct 10, 2013 to Mar 28, 2014
      • Private funds · 1 to unset
        Oct 4, 2013 to Oct 10, 2013
      • Accounts · 37 to 27
        Nov 14, 2012 to Mar 28, 2013
      • Assets in custody · $1.4M to $1.9M
        Nov 14, 2012 to Mar 28, 2013
      • Employees · 36 to 34
        Nov 14, 2012 to Mar 28, 2013
      • Discretionary RAUM · $4.5B to $5.1B
        Nov 14, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $8.6M to $16.9M
        Nov 14, 2012 to Mar 28, 2013
      • RAUM · $4.5B to $5.1B
        Nov 14, 2012 to Mar 28, 2013
      • Advisory employees · unset to 8.0
        Jun 14, 2012 to Nov 14, 2012
      • Employees · unset to 36.0
        Jun 14, 2012 to Nov 14, 2012
      • State-registered IARs · unset to 0.0
        Jun 14, 2012 to Nov 14, 2012
      • Assets in custody · unset to 1422652.0
        Feb 24, 2012 to Jun 14, 2012
      • Custody of client assets · false to true
        Feb 24, 2012 to Jun 14, 2012
      • Private funds · unset to 1
        Feb 24, 2012 to Jun 14, 2012
      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