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••••••••• I••••••••• M••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Mar 27, 2012 · 37 filings
SEC status approved since Dec 3, 2004
RAUM
$929M
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
8
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$929M as of Mar 19, 2026
Mar 27, 2012$978M then
HNW client RAUM$0 as of Mar 19, 2026
Mar 14, 2018$1.1M then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 20, 20130 then
Employees (5.A)8 as of Mar 19, 2026
Mar 20, 20138 then
Private funds: no history
RAUM +1.5% over the last fiscal year+3.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $15.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 67%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.5%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 individuals, portfolio management for businesses and institutionsreportedItem 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)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$360M54%
- State and municipal entities$170M26%
- Charitable organizations$72.1M11%
- Corporations and businesses$44.4M6.7%
- Pension and profit-sharing plans$17.3M2.6%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 2reported
- Charitable clients
- 11reported
- Accounts
- 61reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.67 related_bd=true related_bank=true bd_reps=2.0derived
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
- K•••• E••••• W••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 17, 2007 · Other
Joined, latest
- K•••• E••••• W••• from O••••••••• • C•• I•••Dec 9, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• D•••••• · Chief Legal Officercontrolsince 10/2005 · owns less than 5%
- L••••••••• A•••••• G••••••••• · Chairmancontrolsince 10/2004 · owns less than 5%
- M•••••••• B••••• E••••• · Presidentcontrolsince 04/2015 · owns less than 5%
- M•••••••• D•••••• P•••••• · Secretarycontrolsince 10/2004 · owns less than 5%
- S•••••• D••••••• T••••••• · Global Compliance Officercontrolsince 02/2016 · owns less than 5%
- K••••• L••••••• · Chief Compliance Officersince 02/2019 · owns less than 5%
- W••••••• B•••• M•••••• · Senior Vp, Chief Financial Officersince 08/2022 · owns less than 5%
Entity owners
- O••••••••• A•••• M••••••••• · Direct Ownerdirect · owns 75% or more
- O••••••••• H••••••• I••• · 100% Ownerindirect · owns 75% or more of E••• V•••• I••••••••• C•• · public reporting company
- E••• V•••• I••••••••• C•• · 100% Ownerindirect · owns 75% or more of O••••••••• A•••• M••••••••• · public reporting company
Related persons
Schedule D 7.A
- A•••••••• A••••••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $469M
- A•••••••• A••••••• M••••••••• L•••••investment adviserbankpooled vehicle sponsornRAUM $4.9B
- F•••••• I••••••••• I•••broker-dealern
- O••• A••••••• L••bankpooled vehicle sponsorn
- O••••••••• • C•• I•••broker-dealerinvestment adviserpooled vehicle sponsorLP sponsorcustodiannRAUM $37B
- O••••••••• A••••••••• I••••••••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $178M
- O••••••••• A•••• M•••••••••investment adviseryRAUM $21B
- O••••••••• E••••• L•••broker-dealern
- O••••••••• I••••••••• A••• L••••••broker-dealern
- O••••••••• I••••• ••••• L••broker-dealern
- O••••••••• L••• A•••••• L••real estaten
- O••••••••• T•••• C•••••• I•••n
Advisers that list O••••••••• I••••••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Carmel, IN7 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 19, 2026RAUM per account of $15,236,331 against a peer median of $3,071,006 (43 comparable advisers, 100.0th percentile, 3.7 robust deviations)peers: other advisers, $500M to $1B (43) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 65 to 61Oct 16, 2025 to Mar 19, 2026
- Charity clients · 12 to 11Oct 16, 2025 to Mar 19, 2026
- Discretionary RAUM · $916M to $929MOct 16, 2025 to Mar 19, 2026
- Pension RAUM · $9.8M to $17.3MOct 16, 2025 to Mar 19, 2026
- RAUM · $916M to $929MOct 16, 2025 to Mar 19, 2026
- Financial planning clients · 0 to 0Jul 21, 2025 to Oct 16, 2025
- Accounts · 69 to 65Mar 7, 2024 to Mar 5, 2025
- Advisory employees · 6 to 7Mar 7, 2024 to Mar 5, 2025
- BD registered reps · 1 to 2Mar 7, 2024 to Mar 5, 2025
- Charity clients · 11 to 12Mar 7, 2024 to Mar 5, 2025
- Corporate clients · 12 to 11Mar 7, 2024 to Mar 5, 2025
- HNW clients · 1 to 0Mar 7, 2024 to Mar 5, 2025
- Employees · 7 to 8Mar 7, 2024 to Mar 5, 2025
- Insurance-licensed employees · 2 to 4Mar 7, 2024 to Mar 5, 2025
- Discretionary RAUM · $852M to $916MMar 7, 2024 to Mar 5, 2025
- HNW RAUM · $825,847 to $0Mar 7, 2024 to Mar 5, 2025
- Pension RAUM · $9.1M to $9.8MMar 7, 2024 to Mar 5, 2025
- RAUM · $852M to $916MMar 7, 2024 to Mar 5, 2025
- Accounts · 73 to 69Dec 26, 2023 to Mar 7, 2024
- Advisory employees · 7 to 6Dec 26, 2023 to Mar 7, 2024
- Charity clients · 10 to 11Dec 26, 2023 to Mar 7, 2024
- Corporate clients · 13 to 12Dec 26, 2023 to Mar 7, 2024
- Assets in custody · 0.0 to unsetDec 26, 2023 to Mar 7, 2024
- Employees · 8 to 7Dec 26, 2023 to Mar 7, 2024
- Discretionary RAUM · $835M to $852MDec 26, 2023 to Mar 7, 2024
- HNW RAUM · $835,197 to $825,847Dec 26, 2023 to Mar 7, 2024
- Pension RAUM · $11.0M to $9.1MDec 26, 2023 to Mar 7, 2024
- RAUM · $835M to $852MDec 26, 2023 to Mar 7, 2024
- Accounts · 70 to 73Nov 4, 2022 to Mar 9, 2023
- Advisory employees · 6 to 7Nov 4, 2022 to Mar 9, 2023
- Charity clients · 11 to 10Nov 4, 2022 to Mar 9, 2023
- Corporate clients · 11 to 13Nov 4, 2022 to Mar 9, 2023
- Employees · 7 to 8Nov 4, 2022 to Mar 9, 2023
- Discretionary RAUM · $869M to $835MNov 4, 2022 to Mar 9, 2023
- HNW RAUM · $980,296 to $835,197Nov 4, 2022 to Mar 9, 2023
- Pension RAUM · $14.2M to $11.0MNov 4, 2022 to Mar 9, 2023
- RAUM · $869M to $835MNov 4, 2022 to Mar 9, 2023
- Accounts · 67 to 70Aug 11, 2021 to Mar 11, 2022
- Assets in custody · unset to 0.0Aug 11, 2021 to Mar 11, 2022
- Financial planning clients · unset to 0Aug 11, 2021 to Mar 11, 2022
Signals
4 dated events
- Frank Salvatore Agosta (Acting Cfo) no longer on Schedule A of O••••••••• I••••••••• M••••••••• L•• (listed 2022-03-11, absent 2022-09-02)Sep 2, 2022 · Control person left · inference
- Jeffrey Alfano (Cfo) no longer on Schedule A of O••••••••• I••••••••• M••••••••• L•• (listed 2021-08-11, absent 2022-03-11)Mar 11, 2022 · Control person left · inference
- Frank Salvatore Agosta (Acting Cfo) appeared on Schedule A of O••••••••• I••••••••• M••••••••• L••Mar 11, 2022 · Control person joined · fact
- O••••••••• I••••••••• M••••••••• L•• reported RAUM $695.0M, down 46% from $1.3B (2017-05-11 to 2018-03-14)Mar 14, 2018 · RAUM change · derived
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
- o•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-667-4156reportedpublic record, Form ADV, Mar 19, 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
- Other 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