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•• G••••• I••••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 110363SEC 801-60027IAPD
Latest filing Mar 29, 2019
First filing on the tape Mar 30, 2012 · 20 filings
RAUM
$11B
reported, Item 5.F
Discretionary
94%
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
220
183 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
7
$1.3B gross assets
History
20 filings and snapshots on the tape
RAUM$11B as of Mar 29, 2019
Mar 30, 2012$3.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 30, 20120 then
Employees (5.A)220 as of Mar 29, 2019
Mar 28, 2013200 then
Private funds7 as of Mar 29, 2019
Mar 30, 20125 then
RAUM +5.0% over the last fiscal year+9.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
$225MderivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+5.0%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-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
Custody
$1.4B, 6 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)
  • 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)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$5.5B55%
  • Pension and profit-sharing plans$1.3B13%
  • Corporations and businesses$1.2B12%
  • Investment companies$1.2B12%
  • State and municipal entities$472M4.8%
  • Insurance companies$149M1.5%
  • Sovereign wealth funds$111M1.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
5reported
Charitable clients
n/areported
Accounts
47reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.4B for 6 clientsreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    5 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    O•• G•••••• C••••••••• S••••••• F••• I•• L••no longer reportedHedge Fund$44.1M1Mar 28, 2013
    O•• I••••••••• C••••••••• S••••••• F••• I• L••no longer reportedHedge Fund$23.9M2Mar 30, 2012
    O•• G•••••• L•••• W••• D•••••••• L•Hedge Fund$1.0M2Dec 8, 2017
    O•• G•••••• C••••••••• A•••••••• F•••• L••Hedge Fund$01Dec 8, 2017
    O•• G•••••• S••••• L••• F•••• L••Hedge Fund$02Mar 30, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • F•••••••• K••••••• M•••• · Treasurercontrol
      since 01/2013 · owns less than 5%
    • L• B•••••••• C•••••• · Chief Legal Officercontrol
      since 02/2016 · owns less than 5%
    • M••••••••• J•••• C••••• · Directorcontrol
      since 01/2014 · owns less than 5%
    • P••••••• D••••• M•••••• · Director And Chief Financial Officercontrol
      since 01/2010 · owns less than 5%
    • P••••••••• M•••• A•• · Chief Compliance Officercontrol
      since 03/2014 · owns less than 5%
    • S•••••• J••••••• D•••• · Presidentcontrol
      since 01/2018 · owns less than 5%
    Entity owners
    • O••••••••• I••• · Shareholder
      direct · owns 75% or more
    • M••••••••• M••••• L••• I•••••••• C•••••• · Member
      indirect · owns 75% or more of M••••••••• Holding, LLC
    • M••••••••• H•••••• L•• · Member
      indirect · owns 75% or more of M• A•••• M••••••••• H•••••• L••
    • M• A•••• M••••••••• H•••••• L•• · Shareholder
      indirect · owns 75% or more of O••••••••• A••••••••• Corp.
    • O••••••••• A••••••••• C••••••••• · Shareholder
      indirect · owns 75% or more of O••••••••• I•••
    Related persons
    Schedule D 7.A
    Advisers that list O•• G••••• I••••••••• I••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Centennial, CO27 employees
    • Rochester, NY22 employees
    What changed
    consecutive filings, newest first
    • Accounts · 40 to 47
      Apr 26, 2018 to Mar 29, 2019
    • Advisory employees · 214 to 183
      Apr 26, 2018 to Mar 29, 2019
    • BD registered reps · 5 to 1
      Apr 26, 2018 to Mar 29, 2019
    • Assets in custody · $1.3B to $1.4B
      Apr 26, 2018 to Mar 29, 2019
    • Employees · 221 to 220
      Apr 26, 2018 to Mar 29, 2019
    • Private funds · 8 to 7
      Apr 26, 2018 to Mar 29, 2019
    • Discretionary RAUM · $10B to $9.9B
      Apr 26, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $0 to $674M
      Apr 26, 2018 to Mar 29, 2019
    • Pension RAUM · $1.6B to $1.3B
      Apr 26, 2018 to Mar 29, 2019
    • Pooled vehicle RAUM · $5.3B to $5.5B
      Apr 26, 2018 to Mar 29, 2019
    • RAUM · $10B to $11B
      Apr 26, 2018 to Mar 29, 2019
    • Accounts · 30 to 40
      Dec 8, 2017 to Mar 29, 2018
    • Advisory employees · 190 to 214
      Dec 8, 2017 to Mar 29, 2018
    • Advisory activities · 4 to 6
      Dec 8, 2017 to Mar 29, 2018
    • BD registered reps · 4 to 5
      Dec 8, 2017 to Mar 29, 2018
    • Pension plan clients · unset to 5.0
      Dec 8, 2017 to Mar 29, 2018
    • Pooled vehicle clients · 11 to 19
      Dec 8, 2017 to Mar 29, 2018
    • Assets in custody · $1.2B to $1.3B
      Dec 8, 2017 to Mar 29, 2018
    • Employees · 222 to 221
      Dec 8, 2017 to Mar 29, 2018
    • Other offices · 3 to 2
      Dec 8, 2017 to Mar 29, 2018
    • Discretionary RAUM · $8.8B to $10B
      Dec 8, 2017 to Mar 29, 2018
    • Pension RAUM · $679M to $1.6B
      Dec 8, 2017 to Mar 29, 2018
    • Pooled vehicle RAUM · $5.2B to $5.3B
      Dec 8, 2017 to Mar 29, 2018
    • RAUM · $8.8B to $10B
      Dec 8, 2017 to Mar 29, 2018
    • Discretionary RAUM · $10B to $10B
      Mar 29, 2018 to Mar 29, 2018
    • RAUM · $10B to $10B
      Mar 29, 2018 to Mar 29, 2018
    • Accounts · 40 to 30
      Aug 15, 2017 to Dec 8, 2017
    • Pooled vehicle clients · unset to 11.0
      Aug 15, 2017 to Dec 8, 2017
    • Other offices · unset to 3.0
      Aug 15, 2017 to Dec 8, 2017
    • Private funds · 6 to 8
      Aug 15, 2017 to Dec 8, 2017
    • Discretionary RAUM · $8.6B to $8.8B
      Aug 15, 2017 to Dec 8, 2017
    • Non-discretionary RAUM · $148,177 to $0
      Aug 15, 2017 to Dec 8, 2017
    • Pension RAUM · unset to 678853835.0
      Aug 15, 2017 to Dec 8, 2017
    • Pooled vehicle RAUM · unset to 5162039139.0
      Aug 15, 2017 to Dec 8, 2017
    • RAUM · $8.6B to $8.8B
      Aug 15, 2017 to Dec 8, 2017
    • Private funds · 5 to 6
      Aug 9, 2017 to Aug 15, 2017
    • Accounts · 34 to 40
      Jan 5, 2017 to Mar 31, 2017
    • Advisory employees · 193 to 190
      Jan 5, 2017 to Mar 31, 2017
    • Assets in custody · $1.2B to $1.2B
      Jan 5, 2017 to Mar 31, 2017
    • Employees · 223 to 222
      Jan 5, 2017 to Mar 31, 2017
    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