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•••••• M•••••••••
Legal name O••••• C•••••• M••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 23, 2012 · 19 filings
SEC status approved since Sep 27, 2006
RAUM
$506M
reported, Item 5.F
Discretionary
9.7%
of RAUM
Private clients
85%
$428M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$506M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$506M as of Mar 25, 2026
Mar 23, 2012$105M then
HNW client RAUM$309M as of Mar 25, 2026
Feb 14, 2020$93.5M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 23, 20120 then
Employees (5.A)2 as of Mar 25, 2026
Apr 1, 20131 then
Private funds: no history
RAUM +20% over the last fiscal year+20% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $506MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 452derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $283,049derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 9.7%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $91.4M, 121 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$309M61%
- Individuals$120M24%
- Pension and profit-sharing plans$62.9M12%
- Corporations and businesses$14.1M2.8%
- Individual clients
- 342reported
- HNW clients
- 110reported
- Pension plan clients
- 24reported
- Charitable clients
- n/areported
- Accounts
- 1,786reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $91.4M for 121 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.12 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 |
|---|---|---|---|---|
| M••• K•••••• O••••• | Seattle, Wa | Jul 25, 2003 | 29 y | 2 |
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
- M••• K•••••• O••••• from W•••• F•••• A•••••••Jul 25, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O•••••• M•••• K•••••• · President/Chief Compliance Officercontrolsince 07/2003 · 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 · 1,717 to 1,786Jul 24, 2025 to Mar 25, 2026
- Corporate clients · 32 to 26Jul 24, 2025 to Mar 25, 2026
- Individual clients · 355 to 342Jul 24, 2025 to Mar 25, 2026
- Pension plan clients · 27 to 24Jul 24, 2025 to Mar 25, 2026
- Assets in custody · $112M to $91.4MJul 24, 2025 to Mar 25, 2026
- Discretionary RAUM · $43.7M to $48.8MJul 24, 2025 to Mar 25, 2026
- HNW RAUM · $295M to $309MJul 24, 2025 to Mar 25, 2026
- Individual RAUM · $57.6M to $120MJul 24, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $379M to $457MJul 24, 2025 to Mar 25, 2026
- Pension RAUM · $60.4M to $62.9MJul 24, 2025 to Mar 25, 2026
- RAUM · $422M to $506MJul 24, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Jul 24, 2025
- Legal name · O••••• C•••••• M••••••••• I••• to O••••• C•••••• M•••••••••, LLCMar 31, 2025 to Jul 24, 2025
- Organization form · Corporation to Limited Liability CompanyMar 31, 2025 to Jul 24, 2025
- Accounts · 1,629 to 1,717Feb 29, 2024 to Mar 31, 2025
- Corporate clients · 29 to 32Feb 29, 2024 to Mar 31, 2025
- HNW clients · 84 to 110Feb 29, 2024 to Mar 31, 2025
- Individual clients · 356 to 355Feb 29, 2024 to Mar 31, 2025
- Pension plan clients · 18 to 27Feb 29, 2024 to Mar 31, 2025
- Assets in custody · $22.6M to $112MFeb 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $52.4M to $43.7MFeb 29, 2024 to Mar 31, 2025
- HNW RAUM · $207M to $295MFeb 29, 2024 to Mar 31, 2025
- Individual RAUM · $88.9M to $57.6MFeb 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $312M to $379MFeb 29, 2024 to Mar 31, 2025
- Pension RAUM · $65.7M to $60.4MFeb 29, 2024 to Mar 31, 2025
- RAUM · $365M to $422MFeb 29, 2024 to Mar 31, 2025
- Accounts · 1,565 to 1,629Mar 27, 2023 to Feb 29, 2024
- HNW clients · 78 to 84Mar 27, 2023 to Feb 29, 2024
- Individual clients · 350 to 356Mar 27, 2023 to Feb 29, 2024
- Pension plan clients · 20 to 18Mar 27, 2023 to Feb 29, 2024
- Assets in custody · $55.0M to $22.6MMar 27, 2023 to Feb 29, 2024
- Financial planning clients · 51-100 to 0Mar 27, 2023 to Feb 29, 2024
- Discretionary RAUM · $34.3M to $52.4MMar 27, 2023 to Feb 29, 2024
- HNW RAUM · $182M to $207MMar 27, 2023 to Feb 29, 2024
- Individual RAUM · $54.1M to $88.9MMar 27, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $255M to $312MMar 27, 2023 to Feb 29, 2024
- Pension RAUM · $51.8M to $65.7MMar 27, 2023 to Feb 29, 2024
- RAUM · $289M to $365MMar 27, 2023 to Feb 29, 2024
- Accounts · 1,538 to 1,565Mar 22, 2022 to Mar 27, 2023
- Advisory employees · 2 to 1Mar 22, 2022 to Mar 27, 2023
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.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 206-775-7500reportedpublic record, Form ADV, Mar 25, 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
- $506Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026