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Former SEC-registered adviser

O•••••••• C••••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 124393SEC 801-65016IAPD
Latest filing Mar 24, 2023
First filing on the tape Mar 21, 2012 · 17 filings
RAUM
$102M
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
0
beyond the principal office
Private funds
1
$108M gross assets
History
17 filings and snapshots on the tape
RAUM$102M as of Mar 24, 2023
Mar 21, 2012$69.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2023
Mar 4, 20130 then
Employees (5.A)1 as of Mar 24, 2023
Mar 4, 20131 then
Private funds1 as of Mar 24, 2023
Mar 21, 20121 then
RAUM -10% over the last fiscal year-2.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2023; 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
$102MderivedRAUM 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
-10%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 pooled vehiclesreportedItem 5.G
Custody
$102M, 1 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$102M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$102M for 1 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
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    O•••••••• I• L••Other Private Fund$60.1M77Mar 21, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • C••••• E•••••• Y••••• · Managing Member/Chief Compliance Officercontrol
      since 10/2005 · 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
    • Assets in custody · $113M to $102M
      Mar 1, 2022 to Mar 24, 2023
    • Discretionary RAUM · $113M to $102M
      Mar 1, 2022 to Mar 24, 2023
    • Pooled vehicle RAUM · $113M to $102M
      Mar 1, 2022 to Mar 24, 2023
    • RAUM · $113M to $102M
      Mar 1, 2022 to Mar 24, 2023
    • Assets in custody · $99.6M to $113M
      Mar 12, 2021 to Mar 1, 2022
    • Discretionary RAUM · $99.6M to $113M
      Mar 12, 2021 to Mar 1, 2022
    • Pooled vehicle RAUM · $99.6M to $113M
      Mar 12, 2021 to Mar 1, 2022
    • RAUM · $99.6M to $113M
      Mar 12, 2021 to Mar 1, 2022
    • Assets in custody · $109M to $99.6M
      Mar 27, 2020 to Mar 12, 2021
    • Discretionary RAUM · $109M to $99.6M
      Mar 27, 2020 to Mar 12, 2021
    • Pooled vehicle RAUM · $109M to $99.6M
      Mar 27, 2020 to Mar 12, 2021
    • RAUM · $109M to $99.6M
      Mar 27, 2020 to Mar 12, 2021
    • Assets in custody · $103M to $109M
      Mar 26, 2019 to Mar 27, 2020
    • Other offices · 1 to 0
      Mar 26, 2019 to Mar 27, 2020
    • Discretionary RAUM · $103M to $109M
      Mar 26, 2019 to Mar 27, 2020
    • Pooled vehicle RAUM · $103M to $109M
      Mar 26, 2019 to Mar 27, 2020
    • RAUM · $103M to $109M
      Mar 26, 2019 to Mar 27, 2020
    • Assets in custody · $108M to $103M
      Jan 4, 2019 to Mar 26, 2019
    • Discretionary RAUM · $108M to $103M
      Jan 4, 2019 to Mar 26, 2019
    • Pooled vehicle RAUM · $108M to $103M
      Jan 4, 2019 to Mar 26, 2019
    • RAUM · $108M to $103M
      Jan 4, 2019 to Mar 26, 2019
    • Advisory activities · 2 to 1
      Mar 22, 2017 to Mar 21, 2018
    • Pooled vehicle clients · unset to 1.0
      Mar 22, 2017 to Mar 21, 2018
    • Assets in custody · $91.5M to $108M
      Mar 22, 2017 to Mar 21, 2018
    • Other offices · unset to 1.0
      Mar 22, 2017 to Mar 21, 2018
    • Discretionary RAUM · $99.7M to $108M
      Mar 22, 2017 to Mar 21, 2018
    • Pooled vehicle RAUM · unset to 108083087.0
      Mar 22, 2017 to Mar 21, 2018
    • RAUM · $99.7M to $108M
      Mar 22, 2017 to Mar 21, 2018
    • Discretionary RAUM · $91.5M to $99.7M
      Mar 31, 2016 to Mar 22, 2017
    • RAUM · $91.5M to $99.7M
      Mar 31, 2016 to Mar 22, 2017
    • Assets in custody · $90.5M to $91.5M
      Dec 7, 2015 to Mar 31, 2016
    • Discretionary RAUM · $90.5M to $91.5M
      Dec 7, 2015 to Mar 31, 2016
    • RAUM · $90.5M to $91.5M
      Dec 7, 2015 to Mar 31, 2016
    • HQ city · unset to LOS ANGELES
      Apr 1, 2015 to Dec 7, 2015
    • HQ state · unset to CA
      Apr 1, 2015 to Dec 7, 2015
    • Advisory activities · 1 to 2
      Mar 13, 2014 to Mar 31, 2015
    • HQ city · LOS ANGELES to unset
      Mar 13, 2014 to Mar 31, 2015
    • HQ state · CA to unset
      Mar 13, 2014 to Mar 31, 2015
    • Discretionary RAUM · $83.9M to $90.5M
      Mar 13, 2014 to Mar 31, 2015
    • RAUM · $83.9M to $90.5M
      Mar 13, 2014 to Mar 31, 2015
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    How to reach
    public business contact points only, each with its source
    Website
    O••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 21, 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
    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