DFX Intelligence
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SEC-registered adviser
O••••• C•••••• M•••••••••
Legal name O••••• C•••••• M••••••••• I•••
Latest filing May 13, 2026
First filing on the tape Mar 28, 2012 · 23 filings
SEC status approved since Jun 27, 1991
RAUM
$239M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$239M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$239M as of May 13, 2026
Mar 28, 2012$195M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of May 13, 2026
Mar 28, 20120 then
Employees (5.A)3 as of May 13, 2026
Mar 20, 20132 then
Private funds1 as of May 13, 2026
Mar 28, 20121 then
RAUM +163% over the last fiscal year+69% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $239MderivedRAUM 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
- $119MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +160%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $6.2M, 1 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$233M98%
- Pooled investment vehicles$5.8M2.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.2M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• M•••••• O••••• | Livermore, Ca | Jan 1, 2026 | 42 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••••• I••••••••• P•••••••• L• | Hedge Fund | $4.5M | 1 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- O•••••• G••••••• M•••••• · President/Chief Compliance Officercontrolsince 02/1998 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Apr 6, 2026RAUM (Item 5.F) moved from $90,900,000 to $236,338,906 (+160.0%) between the annual amendments of 2025-03-28 and 2026-04-06; the peer median change was +4.0% (1145 comparable advisers, 98.0th percentile of changes)peers: asset managers, $100M to $500M (1,145) · 98% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $236M to $239MApr 6, 2026 to May 13, 2026
- Pooled vehicle RAUM · $6.2M to $5.8MApr 6, 2026 to May 13, 2026
- RAUM · $236M to $239MApr 6, 2026 to May 13, 2026
- Advisory employees · 1 to 2Mar 28, 2025 to Apr 6, 2026
- Assets in custody · $3.4M to $6.2MMar 28, 2025 to Apr 6, 2026
- Discretionary RAUM · $90.9M to $236MMar 28, 2025 to Apr 6, 2026
- Pooled vehicle RAUM · $3.4M to $6.2MMar 28, 2025 to Apr 6, 2026
- RAUM · $90.9M to $236MMar 28, 2025 to Apr 6, 2026
- Advisory activities · 4 to 3Mar 26, 2024 to Mar 28, 2025
- Assets in custody · $2.7M to $3.4MMar 26, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $51.3M to $90.9MMar 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $2.7M to $3.4MMar 26, 2024 to Mar 28, 2025
- RAUM · $51.3M to $90.9MMar 26, 2024 to Mar 28, 2025
- Assets in custody · $4.5M to $2.7MMar 14, 2023 to Mar 26, 2024
- Discretionary RAUM · $49.9M to $51.3MMar 14, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $3.3M to $2.7MMar 14, 2023 to Mar 26, 2024
- RAUM · $49.9M to $51.3MMar 14, 2023 to Mar 26, 2024
- Discretionary RAUM · $77.5M to $49.9MMar 17, 2022 to Mar 14, 2023
- Pooled vehicle RAUM · $4.5M to $3.3MMar 17, 2022 to Mar 14, 2023
- RAUM · $77.5M to $49.9MMar 17, 2022 to Mar 14, 2023
- Accounts · 1 to 2Mar 30, 2021 to Mar 17, 2022
- Pooled vehicle clients · unset to 1.0Mar 30, 2021 to Mar 17, 2022
- Assets in custody · unset to 4500000.0Mar 30, 2021 to Mar 17, 2022
- Custody of client assets · false to trueMar 30, 2021 to Mar 17, 2022
- Private funds · unset to 1Mar 30, 2021 to Mar 17, 2022
- Discretionary RAUM · $87.1M to $77.5MMar 30, 2021 to Mar 17, 2022
- Pooled vehicle RAUM · unset to 4500000.0Mar 30, 2021 to Mar 17, 2022
- RAUM · $87.1M to $77.5MMar 30, 2021 to Mar 17, 2022
- Accounts · 2 to 1Mar 17, 2020 to Mar 30, 2021
- Pooled vehicle clients · 1.0 to unsetMar 17, 2020 to Mar 30, 2021
- Assets in custody · 2510141.0 to unsetMar 17, 2020 to Mar 30, 2021
- Custody of client assets · true to falseMar 17, 2020 to Mar 30, 2021
- Private funds · 1 to unsetMar 17, 2020 to Mar 30, 2021
- Discretionary RAUM · $42.7M to $87.1MMar 17, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · 3000000.0 to unsetMar 17, 2020 to Mar 30, 2021
- RAUM · $42.7M to $87.1MMar 17, 2020 to Mar 30, 2021
- Discretionary RAUM · $28.0M to $42.7MFeb 28, 2019 to Mar 17, 2020
- RAUM · $28.0M to $42.7MFeb 28, 2019 to Mar 17, 2020
- Accounts · 1 to 2Jan 25, 2018 to Feb 28, 2019
Signals
1 dated events
- O••••• C•••••• M••••••••• reported RAUM $236.3M, up 160% from $90.9M (2025-03-28 to 2026-04-06)Apr 6, 2026 · RAUM change · derived
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
- Website
- w••.o•••••••••.comreportedpublic record, Form ADV, May 13, 2026
- Principal office phone
- 925-455-0802reportedpublic record, Form ADV, May 13, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $239Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026