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••••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Feb 27, 2012 · 21 filings
SEC status approved since May 17, 2018
RAUM
$205M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
98%
$201M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$205M as of Mar 11, 2026
Feb 27, 2012$50.3M then
HNW client RAUM$201M as of Mar 11, 2026
Feb 22, 2019$130M then
State-registered IARs (5.B.3)2 as of Mar 11, 2026
Feb 27, 20120 then
Employees (5.A)3 as of Mar 11, 2026
Feb 22, 20192 then
Private funds2 as of Mar 11, 2026
Mar 17, 20221 then
RAUM +13% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $855,412derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -17%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- High-net-worth individuals$201M98%
- Pooled investment vehicles$3.9M1.9%
- Individual clients
- 0reported
- HNW clients
- 55reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 240reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.98 fund_share=0.02 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• F••••••• O•••• | Boston, Ma | May 3, 2005 | 46 y | 0 |
| J•• M•••••• O•••• | Boston, Ma | Sep 3, 2013 | 13 y | 0 |
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
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 1••• V•••••••• L•• | Hedge Fund | $1.9M | 12 | Mar 17, 2022 |
| 3•• T••••• L•• | Other Private Fund | $1.2M | 18 | Mar 24, 2023 |
| 3•• I••••••••• I• L•• | Other Private Fund | $735,000 | 7 | Mar 24, 2023 |
| 3•• O•••••• L•• | Other Private Fund | $645,000 | 25 | Mar 24, 2023 |
Owners and control persons
Schedule A and B, latest filing
- O••••• J•••• F••••••• · Chief Compliance Officercontrolsince 02/2005 · owns less than 5%
- O••••• J••• M•••••• · Managing Membercontrolsince 12/2016 · owns 75% or more
Related persons
Schedule D 7.A
- J•• M•••••• O••••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 238 to 240Aug 14, 2025 to Mar 11, 2026
- HNW clients · 66 to 55Aug 14, 2025 to Mar 11, 2026
- Discretionary RAUM · $167M to $187MAug 14, 2025 to Mar 11, 2026
- HNW RAUM · $177M to $201MAug 14, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $15.0M to $17.9MAug 14, 2025 to Mar 11, 2026
- Pooled vehicle RAUM · $4.1M to $3.9MAug 14, 2025 to Mar 11, 2026
- RAUM · $182M to $205MAug 14, 2025 to Mar 11, 2026
- Accounts · 290 to 238Mar 18, 2024 to Mar 18, 2025
- HNW clients · 73 to 66Mar 18, 2024 to Mar 18, 2025
- Financial planning clients · unset to Mar 18, 2024 to Mar 18, 2025
- Discretionary RAUM · $160M to $167MMar 18, 2024 to Mar 18, 2025
- HNW RAUM · $171M to $177MMar 18, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $13.8M to $15.0MMar 18, 2024 to Mar 18, 2025
- Pooled vehicle RAUM · $3.2M to $4.1MMar 18, 2024 to Mar 18, 2025
- RAUM · $174M to $182MMar 18, 2024 to Mar 18, 2025
- Accounts · 206 to 290May 1, 2023 to Mar 18, 2024
- HNW clients · 65 to 73May 1, 2023 to Mar 18, 2024
- Pooled vehicle clients · 4 to 2May 1, 2023 to Mar 18, 2024
- Private funds · 4 to 2May 1, 2023 to Mar 18, 2024
- Discretionary RAUM · $132M to $160MMay 1, 2023 to Mar 18, 2024
- HNW RAUM · $140M to $171MMay 1, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $11.7M to $13.8MMay 1, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · $3.1M to $3.2MMay 1, 2023 to Mar 18, 2024
- RAUM · $143M to $174MMay 1, 2023 to Mar 18, 2024
- Accounts · 254 to 206Mar 17, 2022 to Mar 24, 2023
- HNW clients · 75 to 65Mar 17, 2022 to Mar 24, 2023
- Pooled vehicle clients · 1 to 4Mar 17, 2022 to Mar 24, 2023
- Employees · 4 to 3Mar 17, 2022 to Mar 24, 2023
- Private funds · 1 to 4Mar 17, 2022 to Mar 24, 2023
- Discretionary RAUM · $139M to $132MMar 17, 2022 to Mar 24, 2023
- HNW RAUM · $151M to $140MMar 17, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $12.6M to $11.7MMar 17, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $0 to $3.1MMar 17, 2022 to Mar 24, 2023
- RAUM · $151M to $143MMar 17, 2022 to Mar 24, 2023
- Accounts · 217 to 254Mar 24, 2021 to Mar 17, 2022
- Advisory activities · 2 to 3Mar 24, 2021 to Mar 17, 2022
- HNW clients · 70 to 75Mar 24, 2021 to Mar 17, 2022
- Pooled vehicle clients · 0 to 1Mar 24, 2021 to Mar 17, 2022
- Employees · 3 to 4Mar 24, 2021 to Mar 17, 2022
- Private funds · unset to 1Mar 24, 2021 to Mar 17, 2022
Signals
1 dated events
- O•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 17, 2018 · First SEC registration · fact
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
- Business phone
- 617-217-2772reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- O••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 617-217-2772reportedpublic record, Form ADV, Mar 11, 2026
- Contact form
- o•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $103Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026