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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SEC-registered adviser
O•••••••• C•••••• M•••••••••
Legal name O•••••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 9, 2011 · 24 filings
SEC status approved since May 2, 1997
RAUM
$7.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
13%
$989M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
666
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$7.5B as of Mar 31, 2026
Mar 30, 2012$3.4B then
HNW client RAUM$989M as of Mar 31, 2026
Mar 29, 2018$517M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)666 as of Mar 31, 2026
Mar 6, 201346 then
Private funds: 4
RAUM -0.8% over the last fiscal year+7.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $20.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%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
- -0.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$6.4B85%
- High-net-worth individuals$989M13%
- Charitable organizations$69.4M0.9%
- Corporations and businesses$68.7M0.9%
- Individuals$151,4870.0%
- Individual clients
- 2reported
- HNW clients
- 344reported
- Pension plan clients
- 0reported
- Charitable clients
- 8reported
- Accounts
- 362reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.13 fund_share=0.85 institutional_share=0.01 related_bd=false related_bank=false bd_reps=8.0derived
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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••••• P•••••••• L••no longer reported | Hedge Fund | $131M | 44 | Dec 9, 2011 |
| D••••••• Q•••••••• P•••••••• L•••no longer reported | Hedge Fund | $28.6M | 8 | Dec 9, 2011 |
| A••••• P•••••••• L•••no longer reported | Hedge Fund | $22.3M | 8 | Dec 9, 2011 |
| D••••••• O•••••••no longer reported | Hedge Fund | $2.9M | 3 | Dec 9, 2011 |
Owners and control persons
Schedule A and B, latest filing
- H••••••••• C•••••••• · Co-Ceo And Co-Presidentcontrolsince 06/2017 · owns less than 5%
- O••••••••• J•••• S••••• · Trustee, O•••••••• R•••••••• Trustcontrolsince 03/1997 · owns less than 5%
- T••••••••• J•••• F•••• · Chief Compliance Officercontrolsince 01/2005 · owns less than 5%
- A•••••• M•••••• E•••••••• · Trustee, C••• K•••••• • M••••• A••••• R•••••••• T••••since 01/2004 · owns less than 5%
- C••••• S•••• · Trustee, E••••••••• F••••• T••••since 01/2017 · owns less than 5%
- C••••••• J•••• S•••• · Directorsince 04/2022 · owns less than 5%
- E••••••• S••••• M•••••• · Trustee, E••••••••• F••••• T••••since 01/2017 · owns less than 5%
- H••••••••• G••••••• S•••• · Trustee, H•••••••• F••••• T••••since 01/2004 · owns less than 5%
- H••••••••• R••••••• D••• · Trustee, H•••••••• F••••• T••••since 01/2004 · owns less than 5%
- K•••• B••••••• M••••• · Trustee, K••• F••••• T•••• D•• 6••••••••since 01/2018 · owns less than 5%
- K•••• R•••••• Z••••• · Trustee, K••• F••••• T•••• D•• 6••••••••since 01/2018 · owns less than 5%
- K••••••• C•••• P••••• · Trustee, C••• K•••••• • M••••• A••••• R•••••••• T••••since 01/2004 · owns less than 5%
- M••••••••• J•••• S•••••• · Directorsince 04/2022 · owns less than 5%
- M•••••••• C••••• L•••••• · Shareholdersince 05/2022 · owns 5% to 10%
Entity owners
- C••• K•••••• • M••••• A••••• R•••••••• T•••• · Memberdirect · owns 10% to 25%
- E••••••••• F••••• T•••• · Memberdirect · owns 5% to 10%
- H•••••••• F••••• T•••• · Memberdirect · owns 5% to 10%
- K••• F••••• T•••• D•• 6•••••••• · Memberdirect · owns 5% to 10%
- O•• U••• H•••••••• L•• · Memberdirect · owns 10% to 25%
- O•••••••• R•••••••• T••••• U•••••••• 0••••••••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- O•••••••• C•••••• M•••••••••investment advisernRAUM $439M
Advisers that list O•••••••• C•••••• M••••••••• as a related person
- 105421 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count surgeChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 63.0 to 666.0 (+957.0%) between the annual amendments of 2025-04-01 and 2026-03-31; the peer median change was 0.0% (108 comparable advisers, 100.0th percentile of changes)peers: other advisers, $5B to $20B (108) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 323 to 362Apr 1, 2025 to Mar 31, 2026
- BD registered reps · 7 to 8Apr 1, 2025 to Mar 31, 2026
- HNW clients · 306 to 344Apr 1, 2025 to Mar 31, 2026
- Employees · 63 to 666Apr 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $7.5B to $7.5BApr 1, 2025 to Mar 31, 2026
- HNW RAUM · $908M to $989MApr 1, 2025 to Mar 31, 2026
- Individual RAUM · $8,547 to $151,487Apr 1, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $30.0M to $34.1MApr 1, 2025 to Mar 31, 2026
- RAUM · $7.6B to $7.5BApr 1, 2025 to Mar 31, 2026
- Accounts · 321 to 323Mar 29, 2024 to Apr 1, 2025
- Advisory employees · 13 to 14Mar 29, 2024 to Apr 1, 2025
- Charity clients · 9 to 8Mar 29, 2024 to Apr 1, 2025
- HNW clients · 285 to 306Mar 29, 2024 to Apr 1, 2025
- Individual clients · 20 to 2Mar 29, 2024 to Apr 1, 2025
- Employees · 60 to 63Mar 29, 2024 to Apr 1, 2025
- Financial planning clients · 26-50 to 26-50Mar 29, 2024 to Apr 1, 2025
- Discretionary RAUM · $6.3B to $7.5BMar 29, 2024 to Apr 1, 2025
- HNW RAUM · $771M to $908MMar 29, 2024 to Apr 1, 2025
- Individual RAUM · $24.8M to $8,547Mar 29, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $22.7M to $30.0MMar 29, 2024 to Apr 1, 2025
- RAUM · $6.4B to $7.6BMar 29, 2024 to Apr 1, 2025
- Accounts · 309 to 321Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 16 to 13Mar 31, 2023 to Mar 29, 2024
- BD registered reps · 6 to 7Mar 31, 2023 to Mar 29, 2024
- Charity clients · 8 to 9Mar 31, 2023 to Mar 29, 2024
- HNW clients · 272 to 285Mar 31, 2023 to Mar 29, 2024
- Individual clients · 19 to 20Mar 31, 2023 to Mar 29, 2024
- Employees · 61 to 60Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $6.0B to $6.3BMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $705M to $771MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $23.1M to $24.8MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $14.1M to $22.7MMar 31, 2023 to Mar 29, 2024
- RAUM · $6.0B to $6.4BMar 31, 2023 to Mar 29, 2024
- Accounts · 280 to 309Jul 26, 2022 to Mar 31, 2023
- Advisory employees · 19 to 16Jul 26, 2022 to Mar 31, 2023
- BD registered reps · 5 to 6Jul 26, 2022 to Mar 31, 2023
- HNW clients · 244 to 272Jul 26, 2022 to Mar 31, 2023
- Individual clients · 18 to 19Jul 26, 2022 to Mar 31, 2023
- Employees · 64 to 61Jul 26, 2022 to Mar 31, 2023
- Discretionary RAUM · $6.6B to $6.0BJul 26, 2022 to Mar 31, 2023
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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/O••••••••-CAPITAL-MANAGEMENTreportedpublic record, Form ADV, Sep 19, 2026
- Website
- O••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-434-4441reportedpublic record, Form ADV, Mar 31, 2026
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
- Other 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