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•••••• P•••••••
Legal name O••••••• C•••••• P•••••••• L••
Latest filing Sep 9, 2026
First filing on the tape Mar 26, 2012 · 23 filings
SEC status approved since Feb 21, 2006
RAUM
$144M
reported, Item 5.F
Discretionary
50%
of RAUM
Private clients
50%
$72.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$144M as of Aug 31, 2026
Mar 26, 2012$231M then
HNW client RAUM$72.3M as of Aug 31, 2026
Mar 25, 2025$42.9M then
State-registered IARs (5.B.3)0 as of Aug 31, 2026
Mar 19, 20130 then
Employees (5.A)1 as of Aug 31, 2026
Mar 19, 20135 then
Private funds1 as of Aug 31, 2026
Mar 26, 20122 then
RAUM +59% over the last fiscal year-1.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $72.3MderivedHNW RAUM over HNW clients
- Average account
- $47.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 50%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
- +59%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 individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $53.6M, 2 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)
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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$72.3M50%
- Pooled investment vehicles$71.4M50%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $53.6M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.5 fund_share=0.5 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••• I••••••••• L••• | Hedge Fund | $79.1M | 6 | Mar 26, 2012 |
| P•••••• V•••••••• L••• | Hedge Fund | $51.0M | 15 | Jul 9, 2015 |
| T•••••• V••••••• I••• L•••no longer reported | Hedge Fund | $2.8M | 6 | Mar 29, 2018 |
| T•••••• V••••••• I•• L•••no longer reported | Hedge Fund | $2.0M | 7 | Mar 7, 2016 |
| H••••• V•••••••• L••• | Private Equity Fund | $0 | 0 | Mar 26, 2012 |
| P••••••••• V•••••••• L••• | Hedge Fund | $0 | 0 | Mar 8, 2023 |
| T•••••• V••••••• I• L•••no longer reported | Hedge Fund | $0 | 0 | Jul 9, 2015 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• P••••• D•••• · Managing Member/Chief Compliance Officercontrolsince 10/2002 · owns 50% to 75%
- H•• P••••• P•••••• O• G••••• · Managing Membercontrolsince 10/2002 · owns 50% to 75%
Related persons
Schedule D 7.A
- O••••••• A••••••• G• I• L••pooled vehicle sponsorn
- O••••••• V••••••• G•• L••pooled vehicle sponsorn
- P••••••••• V••••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 9, 2026RAUM (Item 5.F) moved from $90,499,472 to $143,754,825 (+59.0%) between the annual amendments of 2025-03-25 and 2026-03-09; the peer median change was +15.0% (4549 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 97% percentile
What changed
consecutive filings, newest first
- Financial planning clients · to unsetAug 31, 2026 to Sep 9, 2026
- HQ city · to unsetAug 31, 2026 to Sep 9, 2026
- HQ state · to unsetAug 31, 2026 to Sep 9, 2026
- Private funds · 1 to unsetAug 31, 2026 to Sep 9, 2026
- Succession · false to unsetAug 31, 2026 to Sep 9, 2026
- HQ city · NEW YORK to Mar 9, 2026 to Aug 31, 2026
- HQ state · NY to Mar 9, 2026 to Aug 31, 2026
- Accounts · 4 to 3Mar 25, 2025 to Mar 9, 2026
- Pooled vehicle clients · 3 to 2Mar 25, 2025 to Mar 9, 2026
- Assets in custody · $34.3M to $53.6MMar 25, 2025 to Mar 9, 2026
- Private funds · 2 to 1Mar 25, 2025 to Mar 9, 2026
- Discretionary RAUM · $47.6M to $71.4MMar 25, 2025 to Mar 9, 2026
- HNW RAUM · $42.9M to $72.3MMar 25, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $42.9M to $72.3MMar 25, 2025 to Mar 9, 2026
- Pooled vehicle RAUM · $47.6M to $71.4MMar 25, 2025 to Mar 9, 2026
- RAUM · $90.5M to $144MMar 25, 2025 to Mar 9, 2026
- Accounts · 7 to 4Mar 19, 2024 to Mar 25, 2025
- Advisory activities · 1 to 2Mar 19, 2024 to Mar 25, 2025
- HNW clients · unset to 1.0Mar 19, 2024 to Mar 25, 2025
- Pooled vehicle clients · 7 to 3Mar 19, 2024 to Mar 25, 2025
- Assets in custody · $103M to $34.3MMar 19, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 25, 2025
- Private funds · 4 to 2Mar 19, 2024 to Mar 25, 2025
- Discretionary RAUM · $103M to $47.6MMar 19, 2024 to Mar 25, 2025
- HNW RAUM · unset to 42947833.0Mar 19, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $0 to $42.9MMar 19, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $103M to $47.6MMar 19, 2024 to Mar 25, 2025
- RAUM · $103M to $90.5MMar 19, 2024 to Mar 25, 2025
- Advisory employees · 3 to 1Mar 8, 2023 to Mar 19, 2024
- Assets in custody · $152M to $103MMar 8, 2023 to Mar 19, 2024
- Employees · 3 to 1Mar 8, 2023 to Mar 19, 2024
- Discretionary RAUM · $152M to $103MMar 8, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $152M to $103MMar 8, 2023 to Mar 19, 2024
- RAUM · $152M to $103MMar 8, 2023 to Mar 19, 2024
- Assets in custody · $193M to $152MMar 29, 2022 to Mar 8, 2023
- Discretionary RAUM · $193M to $152MMar 29, 2022 to Mar 8, 2023
- Pooled vehicle RAUM · $193M to $152MMar 29, 2022 to Mar 8, 2023
- RAUM · $193M to $152MMar 29, 2022 to Mar 8, 2023
- Assets in custody · $205M to $193MNov 3, 2021 to Mar 29, 2022
- Discretionary RAUM · $205M to $193MNov 3, 2021 to Mar 29, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- O••••••• C•••••• P••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- O•••••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 917-595-5010reportedpublic record, Form ADV, Sep 9, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026