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•••••••••
Latest filing Jul 16, 2026
First filing on the tape Mar 30, 2012 · 26 filings
SEC status approved since Sep 3, 1992
RAUM
$2.2B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
67%
$1.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
35
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
13
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$2.2B as of Jul 16, 2026
Mar 30, 2012$389M then
HNW client RAUM$1.5B as of Jul 16, 2026
Mar 29, 2018$532M then
State-registered IARs (5.B.3)0 as of Jul 16, 2026
Mar 30, 20120 then
Employees (5.A)35 as of Jul 16, 2026
Mar 28, 201350 then
Private funds13 as of Jul 16, 2026
Mar 30, 20122 then
RAUM -0.4% over the last fiscal year+1.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $23.4MderivedHNW RAUM over HNW clients
- Average account
- $25.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 5.7%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
- -0.4%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $2.2B, 84 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)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.5B67%
- Pooled investment vehicles$475M21%
- Corporations and businesses$139M6.3%
- Charitable organizations$127M5.7%
- Individual clients
- n/areported
- HNW clients
- 63reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 87reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.2B for 84 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.67 fund_share=0.21 institutional_share=0.06 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
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
22 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••• D•• S•• H•••••••• L••no longer reported | Real Estate Fund | $524M | 15 | Mar 29, 2020 |
| V••••••• L•••• A• N••••• L•••••• P••••••••• | Other Private Fund | $239M | 4 | Mar 30, 2012 |
| U•••• W••• L•• | Private Equity Fund | $33.4M | 12 | Mar 30, 2021 |
| M••••• L•••• L•• | Private Equity Fund | $31.3M | 14 | Mar 30, 2021 |
| K••••• 2••• Q••• L•• | Other Private Fund | $29.4M | 8 | Mar 31, 2022 |
| F••••••• R•••• L• | Other Private Fund | $26.6M | 9 | Mar 30, 2012 |
| S••••• W•• I•• L•• | Hedge Fund | $20.7M | 10 | Mar 29, 2018 |
| C•••••• R•••• L•• | Private Equity Fund | $20.7M | 8 | Mar 29, 2018 |
| I•••••• L••• P•••••••• L•• | $20.5M | 15 | Jul 16, 2026 | |
| C••••• R•••• V•••• L•• | Private Equity Fund | $15.7M | 15 | Mar 31, 2022 |
| V•• V•••••• L•• | Other Private Fund | $15.2M | 16 | Mar 31, 2022 |
| S••••• R•••• L•• | $15.1M | 14 | Jul 16, 2026 | |
| L••••• R••• I•• L••no longer reported | Private Equity Fund | $14.3M | 18 | Mar 29, 2020 |
| H••••• D••••• L•• | Private Equity Fund | $13.1M | 14 | Mar 30, 2021 |
| G••• W••• L•• | $6.9M | 10 | Jul 16, 2026 | |
| L••••• R•••• L••no longer reported | Private Equity Fund | $5.0M | 21 | Mar 29, 2020 |
| L••••• W••• L••no longer reported | Private Equity Fund | $3.8M | 15 | Mar 31, 2022 |
| C•••••• W••• L••no longer reported | Hedge Fund | $3.5M | 11 | Mar 30, 2021 |
| C••• I•••••••• I••• L•••no longer reported | Private Equity Fund | $968,446 | 7 | Mar 30, 2021 |
| C••• I•••••••• I•• L••no longer reported | Private Equity Fund | $926,001 | 4 | Mar 30, 2023 |
| P•••••• P••••• L••no longer reported | Private Equity Fund | $145,584 | 18 | Mar 31, 2022 |
| W••••••• D••••• L••no longer reported | Private Equity Fund | $0 | 0 | Mar 29, 2019 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• P••••• W••••• · Presidentcontrolsince 03/2018 · owns less than 5%
- D••• J•••••••• S••••• · Shareholdercontrolsince 10/2024 · owns 25% to 50%
- D••••••• M••••••• J••• · Chief Financial Officercontrolsince 01/2020 · owns less than 5%
- G••••• S••• · Portfolio Managercontrolsince 05/2024 · owns less than 5%
- M•••••• R•••••• M••••• · President, Secretary And Chief Compliance Officer And Chief Investment Officercontrolsince 07/2008 · owns less than 5%
- C••••••• P••••• W••••• · Co-Trusteecontrolsince 09/2023 · owns F of R••••• A• D•• T•••• D•••• M•••• 2•• 2•••• A• A••••••
- S•••••• R•••••• P••• · Co-Trusteecontrolsince 09/2023 · owns F of R••••• A• D•• T•••• D•••• M•••• 2•• 2•••• A• A••••••
Entity owners
- R••••• A• D•• T•••• D•••• M•••• 2•• 2•••• A• A•••••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- T•• C•••••• F•••• L••investment adviserbankpooled vehicle sponsornRAUM $723M
Advisers that list O•••••• C••••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
7 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Jul 16, 2026RAUM per account of $25,488,107 against a peer median of $813,262 (1333 comparable advisers, 99.0th percentile, 16.6 robust deviations)peers: independent wealth managers, $1B to $5B (1,333) · 99% percentile
- control person changedChange between filings · filing Jul 16, 2026S•••••• R•••••• P••• (CO-TRUSTEE) left Schedule A between the filings of 2024-05-16 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 16, 2026D••••••• M••••••• J••• (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2024-05-16 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 16, 2026C••••••• P••••• W••••• (PRESIDENT) left Schedule A between the filings of 2024-05-16 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 16, 2026D••• J•••••••• S••••• (SHAREHOLDER) appeared on Schedule A between the filings of 2024-05-16 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,362)
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 51.0% to 67.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- client mix shiftChange between filings · filing Mar 31, 2026private-client share of RAUM moved from 51.0% to 67.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 89 to 87Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 7 to 6Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 15 to 13Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $2.2B to $2.2BMar 31, 2025 to Mar 31, 2026
- Employees · 36 to 35Mar 31, 2025 to Mar 31, 2026
- Private funds · 15 to 13Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.2B to $2.2BMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $1.1B to $1.5BMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $27.5M to $57.9MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $894M to $475MMar 31, 2025 to Mar 31, 2026
- RAUM · $2.2B to $2.2BMar 31, 2025 to Mar 31, 2026
- Accounts · 83 to 89May 16, 2024 to Mar 31, 2025
- Advisory employees · 4 to 7May 16, 2024 to Mar 31, 2025
- HNW clients · 57 to 63May 16, 2024 to Mar 31, 2025
- Assets in custody · $2.3B to $2.2BMay 16, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to 51-100May 16, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.2B to $2.2BMay 16, 2024 to Mar 31, 2025
- HNW RAUM · $1.2B to $1.1BMay 16, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $73.5M to $27.5MMay 16, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $887M to $894MMay 16, 2024 to Mar 31, 2025
- RAUM · $2.3B to $2.2BMay 16, 2024 to Mar 31, 2025
- Assets in custody · $2.3B to $2.3BMar 29, 2024 to May 16, 2024
- Discretionary RAUM · $2.2B to $2.2BMar 29, 2024 to May 16, 2024
- Pooled vehicle RAUM · $905M to $887MMar 29, 2024 to May 16, 2024
- RAUM · $2.3B to $2.3BMar 29, 2024 to May 16, 2024
- Accounts · 87 to 83Oct 13, 2023 to Mar 29, 2024
- Advisory employees · 6 to 4Oct 13, 2023 to Mar 29, 2024
- HNW clients · 58 to 57Oct 13, 2023 to Mar 29, 2024
- Pooled vehicle clients · 18 to 15Oct 13, 2023 to Mar 29, 2024
- Assets in custody · $2.1B to $2.3BOct 13, 2023 to Mar 29, 2024
- Employees · 40 to 36Oct 13, 2023 to Mar 29, 2024
- Private funds · 18 to 15Oct 13, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.1B to $2.2BOct 13, 2023 to Mar 29, 2024
- HNW RAUM · $1.1B to $1.2BOct 13, 2023 to Mar 29, 2024
- Individual RAUM · unset to 0.0Oct 13, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $56.0M to $73.5MOct 13, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $799M to $905MOct 13, 2023 to Mar 29, 2024
- RAUM · $2.1B to $2.3BOct 13, 2023 to Mar 29, 2024
- Assets in custody · $2.1B to $2.1BMar 30, 2023 to May 4, 2023
- Discretionary RAUM · $2.1B to $2.1BMar 30, 2023 to May 4, 2023
Signals
16 dated events
- Sumo Gupta (Portfolio Manager) appeared on Schedule A of O•••••• C•••••••••May 16, 2024 · Control person joined · fact
- Sean Andrew Katz (Portfolio Manager) no longer on Schedule A of O•••••• C••••••••• (listed 2024-03-29, absent 2024-05-16)May 16, 2024 · Control person left · inference
- Robert Steven Baum (Chief Operating Officer) no longer on Schedule A of O•••••• C••••••••• (listed 2023-10-13, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Paul Ronald Spogli (Co-Trustee) appeared on Schedule A of O•••••• C•••••••••Oct 13, 2023 · Control person joined · fact
- Addison Robert Day (Chairman And Co-Portfolio Manager) no longer on Schedule A of O•••••• C••••••••• (listed 2023-05-10, absent 2023-10-13)Oct 13, 2023 · Control person left · inference
- O•••••• C••••••••• reported RAUM $2.1B, down 26% from $2.9B (2022-05-03 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- O•••••• C••••••••• reported RAUM $2.6B, up 95% from $1.3B (2020-07-17 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Sean Andrew Katz (Co-Portfolio Manager) appeared on Schedule A of O•••••• C•••••••••Mar 30, 2021 · Control person joined · fact
- O•••••• C••••••••• reported RAUM $1.3B, up 71% from $783.3M (2019-03-29 to 2020-03-29)Mar 29, 2020 · RAUM change · derived
- John Matthew Drevlow (Chief Financial Officer) appeared on Schedule A of O•••••• C•••••••••Mar 29, 2020 · Control person joined · fact
- Fred Gluckman (Cfo And Managing Director) no longer on Schedule A of O•••••• C••••••••• (listed 2019-03-29, absent 2020-03-29)Mar 29, 2020 · Control person left · inference
- Robert Steven Baum (Chief Operating Officer) appeared on Schedule A of O•••••• C•••••••••Mar 29, 2020 · Control person joined · fact
- Weldon Jerry Carlton (Vice Chairman And Secretary) no longer on Schedule A of O•••••• C••••••••• (listed 2018-03-29, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Hiroshi Paul Hiyake (Chief Financial Officer) no longer on Schedule A of O•••••• C••••••••• (listed 2018-03-29, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Fred Gluckman (Cfo And Managing Director) appeared on Schedule A of O•••••• C•••••••••Mar 29, 2019 · Control person joined · fact
- O•••••• C••••••••• reported RAUM $864.9M, up 57% from $552.4M (2017-03-30 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- O•••••• C••••••••• · Independent Sponsorsshared crd · capital_provider
- O•••••• C••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 213-891-6300reportedpublic record, Form ADV, Jul 16, 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
- Independent wealth managerderiveda 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
Across the graphs
O•••••• C••••••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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