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••••• I••••••••• M••••••••• I•••

Former SEC-registered adviserGreenwich, ConnecticutCRD 138127SEC 801-73596IAPD
Latest filing Apr 3, 2023
First filing on the tape Feb 14, 2012 · 19 filings
RAUM
$209M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$209M gross assets
History
19 filings and snapshots on the tape
RAUM$209M as of Apr 3, 2023
Mar 11, 2013$441M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 3, 2023
Mar 11, 20130 then
Employees (5.A)4 as of Apr 3, 2023
Mar 11, 201313 then
Private funds3 as of Apr 3, 2023
Mar 11, 20133 then
RAUM -81% over the last fiscal year-35% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 3, 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
$69.7MderivedRAUM 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
-81%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
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$209M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O••••• T•• F••• M•••••• L•no longer reportedHedge Fund$137M7Feb 14, 2012
      O••••• P•••••••• L•Hedge Fund$115M13Feb 14, 2012
      O••••• I••••••••• P•••••••• L•Hedge Fund$10.0M10Feb 14, 2012
      O••••• O••••••• L••••••no longer reportedHedge Fund$6.2M3Feb 14, 2012
      O••••• T•• F•••• L•Hedge Fund$3.2M5Mar 29, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• L••••• N••• · Sole Owner Of O••••• I••••••••• M••••••••• I••• And Managing Member Of O••••• Associates, LLC (Relying Adviser)control
        since 07/1993 · owns 75% or more
      • V••••• M•••••••• D•••• · Chief Financial Officer / Chief Compliance Officercontrol
        since 02/2020 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $1.1B to $209M
        Apr 1, 2022 to Apr 3, 2023
      • Pooled vehicle RAUM · $1.1B to $209M
        Apr 1, 2022 to Apr 3, 2023
      • RAUM · $1.1B to $209M
        Apr 1, 2022 to Apr 3, 2023
      • Advisory employees · 4 to 3
        Nov 15, 2021 to Apr 1, 2022
      • Employees · 5 to 4
        Nov 15, 2021 to Apr 1, 2022
      • Discretionary RAUM · $1.1B to $1.1B
        Nov 15, 2021 to Apr 1, 2022
      • Pooled vehicle RAUM · $1.1B to $1.1B
        Nov 15, 2021 to Apr 1, 2022
      • RAUM · $1.1B to $1.1B
        Nov 15, 2021 to Apr 1, 2022
      • HQ city · STAMFORD to GREENWICH
        May 6, 2021 to Nov 15, 2021
      • Employees · 9 to 5
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $759M to $1.1B
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $759M to $1.1B
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $759M to $1.1B
        Mar 30, 2020 to Mar 31, 2021
      • Advisory employees · 5 to 4
        Mar 29, 2019 to Mar 30, 2020
      • Employees · 8 to 9
        Mar 29, 2019 to Mar 30, 2020
      • Other offices · 1 to 0
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $494M to $759M
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $494M to $759M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $494M to $759M
        Mar 29, 2019 to Mar 30, 2020
      • Related bank · true to false
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · 4 to 3
        Jun 28, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 4 to 3
        Jun 28, 2018 to Mar 29, 2019
      • Discretionary RAUM · $862M to $494M
        Jun 28, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $862M to $494M
        Jun 28, 2018 to Mar 29, 2019
      • RAUM · $862M to $494M
        Jun 28, 2018 to Mar 29, 2019
      • HQ city · GREENWICH to STAMFORD
        Mar 30, 2018 to Jun 28, 2018
      • Pooled vehicle clients · unset to 4.0
        Jun 8, 2017 to Mar 30, 2018
      • Assets in custody · $787M to $0
        Jun 8, 2017 to Mar 30, 2018
      • Custody of client assets · true to false
        Jun 8, 2017 to Mar 30, 2018
      • Employees · 9 to 8
        Jun 8, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Jun 8, 2017 to Mar 30, 2018
      • Discretionary RAUM · $900M to $862M
        Jun 8, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 862440695.0
        Jun 8, 2017 to Mar 30, 2018
      • RAUM · $900M to $862M
        Jun 8, 2017 to Mar 30, 2018
      • Related bank · false to true
        Jun 8, 2017 to Mar 30, 2018
      • Assets in custody · $799M to $787M
        Mar 29, 2016 to Mar 31, 2017
      • Employees · 12 to 9
        Mar 29, 2016 to Mar 31, 2017
      • Discretionary RAUM · $799M to $900M
        Mar 29, 2016 to Mar 31, 2017
      • RAUM · $799M to $900M
        Mar 29, 2016 to Mar 31, 2017
      • Assets in custody · $1.0B to $799M
        Mar 11, 2015 to Mar 28, 2016
      Signals
      7 dated events
      • O••••• I••••••••• M••••••••• I••• reported RAUM $209.1M, down 81% from $1.1B (2022-04-01 to 2023-04-03)
        Apr 3, 2023 · RAUM change · derived
      • O••••• I••••••••• M••••••••• I••• reported RAUM $1.1B, up 45% from $759.5M (2020-03-30 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • O••••• I••••••••• M••••••••• I••• reported RAUM $759.5M, up 54% from $493.7M (2019-03-29 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • David Mitchell Vogel (Chief Financial Officer / Chief Compliance Officer) appeared on Schedule A of O••••• I••••••••• M••••••••• I•••
        Mar 30, 2020 · Control person joined · fact
      • M•••• T••• C••••• (Chief Financial Officer) no longer on Schedule A of O••••• I••••••••• M••••••••• I••• (listed 2019-03-29, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Whitney Hannah Lissette (Chief Compliance Officer) no longer on Schedule A of O••••• I••••••••• M••••••••• I••• (listed 2019-03-29, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • O••••• I••••••••• M••••••••• I••• reported RAUM $493.7M, down 43% from $862.4M (2018-06-28 to 2019-03-29)
        Mar 29, 2019 · 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•••••PARTNERS.COMreportedpublic record, Form ADV, Sep 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
      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