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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

O•••••• C•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 120188SEC 801-61952IAPD
Latest filing Mar 29, 2016
First filing on the tape Mar 7, 2012 · 12 filings
RAUM
$8.0B
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
91
72 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$3.4B gross assets
History
12 filings and snapshots on the tape
RAUM$8.0B as of Mar 29, 2016
Mar 30, 2012$2.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Apr 1, 20130 then
Employees (5.A)91 as of Mar 29, 2016
Apr 1, 201366 then
Private funds1 as of Mar 29, 2016
Mar 30, 20122 then
RAUM +1.3% over the last fiscal year+39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2016; 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
$1.6BderivedRAUM 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
+1.3%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$3.4B, 2 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)
  • 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
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$3.4B for 2 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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O•••••• A••••••••• L••no longer reportedOther Private Fund$109,00035Mar 7, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• S•••• H•••• · Membercontrol
        since 10/1998 · owns 10% to 25%
      • C•••• D••••••• W• · Chief Compliance Officercontrol
        since 02/2016 · owns less than 5%
      • C•••••• A••••••••• M•••••• · General Counselcontrol
        since 07/2010 · owns less than 5%
      • G•••••• C•••• L•• · Membercontrol
        since 01/1998 · owns 10% to 25%
      • H••• G•••••••• C•••••••• · Membercontrol
        since 01/2010 · owns less than 5%
      • I••••• S•••••• D•••• · Managing Membercontrol
        since 02/2000 · owns 50% to 75%
      • N••••• W••••••• C••••• · Membercontrol
        since 01/2007 · owns less than 5%
      • S••••••••• J•••••••• T••• · Membercontrol
        since 01/2005 · owns 5% to 10%
      • S•••••••• E•••• D••• · Chief Financial Officercontrol
        since 10/2011 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list O•••••• C•••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 61 to 72
        Feb 23, 2016 to Mar 29, 2016
      • Assets in custody · $3.3B to $3.4B
        Feb 23, 2016 to Mar 29, 2016
      • Employees · 78 to 91
        Feb 23, 2016 to Mar 29, 2016
      • Discretionary RAUM · $7.9B to $8.0B
        Feb 23, 2016 to Mar 29, 2016
      • RAUM · $7.9B to $8.0B
        Feb 23, 2016 to Mar 29, 2016
      • Accounts · 7 to 5
        Jul 11, 2014 to Mar 31, 2015
      • Advisory employees · 58 to 61
        Jul 11, 2014 to Mar 31, 2015
      • Assets in custody · $1.9B to $3.3B
        Jul 11, 2014 to Mar 31, 2015
      • Employees · 72 to 78
        Jul 11, 2014 to Mar 31, 2015
      • Private funds · 2 to 1
        Jul 11, 2014 to Mar 31, 2015
      • Discretionary RAUM · $5.4B to $7.9B
        Jul 11, 2014 to Mar 31, 2015
      • RAUM · $5.4B to $7.9B
        Jul 11, 2014 to Mar 31, 2015
      • Accounts · 8 to 7
        Aug 27, 2013 to Mar 31, 2014
      • Advisory employees · 53 to 58
        Aug 27, 2013 to Mar 31, 2014
      • Assets in custody · $745M to $1.9B
        Aug 27, 2013 to Mar 31, 2014
      • Employees · 66 to 72
        Aug 27, 2013 to Mar 31, 2014
      • Discretionary RAUM · $3.0B to $5.4B
        Aug 27, 2013 to Mar 31, 2014
      • RAUM · $3.0B to $5.4B
        Aug 27, 2013 to Mar 31, 2014
      • Advisory employees · 49 to 53
        Jan 18, 2013 to Apr 1, 2013
      • Assets in custody · $357M to $745M
        Jan 18, 2013 to Apr 1, 2013
      • Employees · 59 to 66
        Jan 18, 2013 to Apr 1, 2013
      • Discretionary RAUM · $2.2B to $3.0B
        Jan 18, 2013 to Apr 1, 2013
      • RAUM · $2.2B to $3.0B
        Jan 18, 2013 to Apr 1, 2013
      • Related bank · false to true
        Jan 18, 2013 to Apr 1, 2013
      • Advisory employees · unset to 49.0
        Jun 12, 2012 to Jan 18, 2013
      • Employees · unset to 59.0
        Jun 12, 2012 to Jan 18, 2013
      • State-registered IARs · unset to 0.0
        Jun 12, 2012 to Jan 18, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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