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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

O•••••• I••••••••• A•••••••• L••

Former SEC-registered adviserLondon, CRD 108523SEC 801-57704IAPD
Latest filing Aug 28, 2015
First filing on the tape Feb 24, 2012 · 8 filings
RAUM
$378M
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$378M as of Mar 17, 2015
Feb 24, 2012$595M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2015
Mar 28, 20130 then
Employees (5.A)5 as of Mar 17, 2015
Mar 28, 20134 then
Private funds: no history
RAUM -8.0% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 28, 2015; 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
$378MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-8.0%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 institutionsreportedItem 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
1reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• S••••••• J•••• · Director Of Applicant / Executive Commitee Member Of Direct Parentcontrol
        since 12/2011 · owns less than 5%
      • R••••• L•••••••• S••• · Executive Managing Principal Of Direct Parentcontrol
        since 08/1986 · owns less than 5%
      • W•••••• W•••••• R•••••• · Chief Executive Officer / Director Of Applicant / Executive Managing Principal Of Direct Parentcontrol
        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 12/2011 · owns 25% to 50% of O•• C•••• B• L••
      • W•••••• W•••••• R•••••• · Managing Membercontrol
        since 10/1998 · owns F of O•••••• G••••• L••
      • B••••••••• J•••• F•••••• · Cfo Of Direct Parent
        since 09/1986 · owns less than 5%
      • S•••••• I••• J•••••• F•••••• · Compliance Officer / Chief Compliance Officer Of Direct Parent
        since 06/2004 · owns less than 5%
      Entity owners
      • O•••••• I••••••••• A•••••••• L•• · Owner Of Applicant
        direct · owns 75% or more
      • O•••••• G••••• L•• · Member Manager
        indirect · owns 25% to 50% of O•••••• I••••••••• A•••••••• L••
      • O•• C•••• B• L•• · Member
        indirect · owns 25% to 50% of O•••••• I••••••••• A•••••••• L••
      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
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $411M to $378M
        Oct 9, 2014 to Mar 17, 2015
      • RAUM · $411M to $378M
        Oct 9, 2014 to Mar 17, 2015
      • Accounts · 3 to 1
        Mar 28, 2013 to Mar 28, 2014
      • Advisory employees · 3 to 4
        Mar 28, 2013 to Mar 28, 2014
      • Employees · 4 to 5
        Mar 28, 2013 to Mar 28, 2014
      • Discretionary RAUM · $692M to $411M
        Mar 28, 2013 to Mar 28, 2014
      • RAUM · $692M to $411M
        Mar 28, 2013 to Mar 28, 2014
      • Discretionary RAUM · $595M to $692M
        Nov 14, 2012 to Mar 28, 2013
      • RAUM · $595M to $692M
        Nov 14, 2012 to Mar 28, 2013
      • Advisory employees · unset to 3.0
        Feb 24, 2012 to Nov 14, 2012
      • Employees · unset to 4.0
        Feb 24, 2012 to Nov 14, 2012
      • State-registered IARs · unset to 0.0
        Feb 24, 2012 to Nov 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