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

S••• I••••••••• M•••••••••

Former SEC-registered adviserCRD 113008SEC 801-32359IAPD
Legal name O•••••••••
Latest filing Mar 31, 2017
First filing on the tape Mar 29, 2012 · 10 filings
RAUM
$25.1M
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$25.1M as of Mar 31, 2017
Mar 29, 2012$39.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 29, 20120 then
Employees (5.A)1 as of Mar 31, 2017
Apr 1, 20132 then
Private funds: no history
RAUM -21% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; 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
$626,279derivedRAUM 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
-21%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
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
40reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • O•••••• M••••••• F•••••• · President/Chief Compliance Officercontrol
        since 05/1988 · 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.
      What changed
      consecutive filings, newest first
      • Accounts · 77 to 40
        Mar 20, 2017 to Mar 31, 2017
      • Discretionary RAUM · $31.6M to $25.6M
        Mar 20, 2017 to Mar 31, 2017
      • RAUM · $31.6M to $25.6M
        Mar 20, 2017 to Mar 31, 2017
      • Discretionary RAUM · $25.6M to $25.1M
        Mar 31, 2017 to Mar 31, 2017
      • RAUM · $25.6M to $25.1M
        Mar 31, 2017 to Mar 31, 2017
      • Accounts · 78 to 77
        Mar 31, 2015 to Mar 31, 2016
      • HQ city · LAFAYETTE to unset
        Mar 31, 2015 to Mar 31, 2016
      • HQ state · CA to unset
        Mar 31, 2015 to Mar 31, 2016
      • Discretionary RAUM · $33.7M to $31.6M
        Mar 31, 2015 to Mar 31, 2016
      • RAUM · $33.7M to $31.6M
        Mar 31, 2015 to Mar 31, 2016
      • Accounts · 84 to 78
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $36.8M to $33.7M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $36.8M to $33.7M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 89 to 84
        Apr 1, 2013 to Mar 31, 2014
      • Employees · 2 to 1
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $37.8M to $36.8M
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $37.8M to $36.8M
        Apr 1, 2013 to Mar 31, 2014
      • Accounts · 92 to 89
        Jun 28, 2012 to Apr 1, 2013
      • Advisory employees · unset to 1.0
        Jun 28, 2012 to Apr 1, 2013
      • Employees · unset to 2.0
        Jun 28, 2012 to Apr 1, 2013
      • Discretionary RAUM · $39.2M to $37.8M
        Jun 28, 2012 to Apr 1, 2013
      • RAUM · $39.2M to $37.8M
        Jun 28, 2012 to Apr 1, 2013
      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