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

O•• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 133229SEC 801-63618IAPD
Latest filing Mar 29, 2019
First filing on the tape Mar 30, 2012 · 14 filings
RAUM
$3.7B
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
21
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$3.7B as of Mar 29, 2019
Mar 30, 2012$849M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Apr 1, 20131 then
Employees (5.A)21 as of Mar 29, 2019
Apr 1, 20137 then
Private funds: no history
RAUM +11% over the last fiscal year+36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$183MderivedRAUM 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
+11%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 investment companiesreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$3.7B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
20reported
Financial planning clients
n/areported
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
      • F•••••••• K••••••• M•••• · Treasurercontrol
        since 12/2015 · owns less than 5%
      • F•••••• S••••• · Executive Vice Presidentcontrol
        since 04/2016 · owns less than 5%
      • L• B•••••••• C•••••• · Chief Legal Officercontrol
        since 02/2016 · owns less than 5%
      • P••••••• D••••• M•••••• · Director And Chief Financial Officercontrol
        since 12/2015 · owns less than 5%
      • P••••••••• M•••• A•• · Chief Compliance Officercontrol
        since 12/2015 · owns less than 5%
      • S••••••••• A•••••• P••••• · President And Directorcontrol
        since 12/2015 · owns less than 5%
      Entity owners
      • O••••••••• I••• · Direct Owner
        direct · owns 75% or more
      • M••••••••• M••••• L••• I•••••••• C•••••• · Member
        indirect · owns 75% or more of M••••••••• Holding, LLC
      • M••••••••• H•••••• L•• · Member
        indirect · owns 75% or more of M• A•••• M••••••••• H•••••• L••
      • M• A•••• M••••••••• H•••••• L•• · Shareholder
        indirect · owns 75% or more of O••••••••• A••••••••• Corp.
      • O••••••••• A••••••••• C••••••••• · Shareholder
        indirect · owns 75% or more of O••••••••• I•••
      Related persons
      Schedule D 7.A
      Advisers that list O•• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 21 to 20
        Apr 26, 2018 to Mar 29, 2019
      • Advisory activities · 2 to 1
        Apr 26, 2018 to Mar 29, 2019
      • Discretionary RAUM · $3.3B to $3.7B
        Apr 26, 2018 to Mar 29, 2019
      • RAUM · $3.3B to $3.7B
        Apr 26, 2018 to Mar 29, 2019
      • Business name · V•• A••••••••• L•• to O•• A•••••••• L••
        Mar 29, 2018 to Apr 26, 2018
      • Accounts · 13 to 21
        Oct 31, 2017 to Mar 29, 2018
      • Advisory employees · 4 to 2
        Oct 31, 2017 to Mar 29, 2018
      • BD registered reps · 8 to 9
        Oct 31, 2017 to Mar 29, 2018
      • Employees · 12 to 21
        Oct 31, 2017 to Mar 29, 2018
      • State-registered IARs · 8 to 0
        Oct 31, 2017 to Mar 29, 2018
      • Legal name · V•• A••••••••• L•• to O•• A•••••••• L••
        Oct 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $3.0B to $3.3B
        Oct 31, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · $6.7M to $0
        Oct 31, 2017 to Mar 29, 2018
      • RAUM · $3.0B to $3.3B
        Oct 31, 2017 to Mar 29, 2018
      • HQ city · PHILADELPHIA to NEW YORK
        Aug 9, 2017 to Oct 31, 2017
      • HQ state · PA to NY
        Aug 9, 2017 to Oct 31, 2017
      • Other offices · unset to 0.0
        Aug 9, 2017 to Oct 31, 2017
      • Discretionary RAUM · $2.7B to $3.0B
        Aug 9, 2017 to Oct 31, 2017
      • Non-discretionary RAUM · $6.8M to $6.7M
        Aug 9, 2017 to Oct 31, 2017
      • RAUM · $2.7B to $3.0B
        Aug 9, 2017 to Oct 31, 2017
      • Accounts · 11 to 13
        Apr 14, 2016 to Mar 31, 2017
      • Advisory activities · 4 to 2
        Apr 14, 2016 to Mar 31, 2017
      • BD registered reps · 7 to 8
        Apr 14, 2016 to Mar 31, 2017
      • State-registered IARs · 7 to 8
        Apr 14, 2016 to Mar 31, 2017
      • Discretionary RAUM · $1.5B to $2.7B
        Apr 14, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $5.4M to $6.8M
        Apr 14, 2016 to Mar 31, 2017
      • RAUM · $1.5B to $2.7B
        Apr 14, 2016 to Mar 31, 2017
      • Advisory employees · 3 to 4
        Dec 3, 2015 to Mar 30, 2016
      • BD registered reps · 8 to 7
        Dec 3, 2015 to Mar 30, 2016
      • Employees · 11 to 12
        Dec 3, 2015 to Mar 30, 2016
      • State-registered IARs · 8 to 7
        Dec 3, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.7B to $1.5B
        Dec 3, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $5.8M to $5.4M
        Dec 3, 2015 to Mar 30, 2016
      • RAUM · $1.7B to $1.5B
        Dec 3, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.7B to $1.7B
        Mar 31, 2015 to Dec 3, 2015
      • Non-discretionary RAUM · $6.1M to $5.8M
        Mar 31, 2015 to Dec 3, 2015
      • RAUM · $1.7B to $1.7B
        Mar 31, 2015 to Dec 3, 2015
      • Related bank · false to true
        Mar 31, 2015 to Dec 3, 2015
      • Related broker-dealer · false to true
        Mar 31, 2015 to Dec 3, 2015
      • Related insurance company · true to false
        Mar 31, 2015 to Dec 3, 2015
      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