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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
O••• C••••• P•••••••• L••
Latest filing May 15, 2026
First filing on the tape Apr 2, 2012 · 50 filings
SEC status approved since Jan 30, 2006
RAUM
$30B
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
80
44 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
68
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$30B as of May 15, 2026
Apr 2, 2012$1.4B then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of May 15, 2026
Apr 2, 20120 then
Employees (5.A)80 as of May 15, 2026
Mar 28, 201321 then
Private funds68 as of May 15, 2026
Apr 2, 20126 then
RAUM +28% over the last fiscal year+24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 15, 2026; 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
- $372MderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $2.4B, 23 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$30B100%
- Other investment advisers$55.8M0.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 81reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.4B for 23 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
55 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•• C•• 2•••••• L•• | Securitized Asset Fund | $886M | 20 | Mar 30, 2015 |
| O••• C••••• L•••••• P••••••• I• L• | Hedge Fund | $870M | 43 | Mar 29, 2018 |
| O•• C•• 2••••••• L•• | Securitized Asset Fund | $589M | 16 | Feb 27, 2019 |
| O•• C•• 2••••••• L•• | Securitized Asset Fund | $579M | 23 | Mar 29, 2018 |
| O••• S••••••••• C••••• O••••••••• F••• I• L• | Hedge Fund | $564M | 332 | Nov 18, 2020 |
| O•• C•• 2••••••• L•• | Securitized Asset Fund | $555M | 20 | Mar 29, 2017 |
| O•• C•• 2••••••• L•• | Securitized Asset Fund | $532M | 19 | Feb 18, 2022 |
| O•• C•• 2••••••• L•• | Securitized Asset Fund | $525M | 17 | Mar 29, 2018 |
| O•• C•• 2•••••• L••no longer reported | Securitized Asset Fund | $510M | 8 | Mar 28, 2014 |
| O••• S••••• C••••• F•••• L••• | Hedge Fund | $509M | 45 | Apr 2, 2012 |
| O•• C•• 2••••••• L•• | Securitized Asset Fund | $502M | 30 | Feb 22, 2021 |
| O•• C•• 2••••••• L•• | Securitized Asset Fund | $501M | 12 | Feb 18, 2022 |
| O•• C•• 2••••••• L•• | Securitized Asset Fund | $498M | 23 | Feb 26, 2020 |
| O•• C•• 2••••••• L•• | Securitized Asset Fund | $494M | 12 | Mar 29, 2019 |
| O•• C•• 2••••••• L••• | Securitized Asset Fund | $489M | 20 | Feb 22, 2024 |
| O•• E••• C•• 2••••• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $470M | 16 | Feb 26, 2020 |
| O•• A•••• C•• 2••••••• L••• | Securitized Asset Fund | $454M | 14 | Feb 22, 2024 |
| O•• E••• C•• 2••••• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $439M | 23 | Feb 23, 2023 |
| O•• E••• C•• 2••••• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $438M | 12 | Feb 22, 2021 |
| O••• C•••••• S•••••••• ••••••••• S••• | Hedge Fund | $410M | 164 | Mar 31, 2021 |
| O•• C•• 2••••••• L••• | Securitized Asset Fund | $407M | 28 | Feb 22, 2024 |
| O•• C•• 2•••••• L••• | Securitized Asset Fund | $405M | 12 | Feb 22, 2024 |
| O•• C•• 2•••••• L•• | Securitized Asset Fund | $404M | 29 | Mar 29, 2016 |
| O•• C•• 2••••••• L•• | Securitized Asset Fund | $403M | 14 | Feb 23, 2023 |
| O•• C•• 2••••••• L•• | Securitized Asset Fund | $403M | 18 | Feb 22, 2021 |
| O•• C•• 2••••••• L•• | Securitized Asset Fund | $401M | 19 | Mar 29, 2016 |
| O•• C•• 2••••••• L•• | Securitized Asset Fund | $400M | 25 | Feb 22, 2021 |
| O•• C•• 2••••••• L•• | Securitized Asset Fund | $400M | 19 | Mar 29, 2017 |
| O•• E••• C•• 2••••• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $399M | 21 | Mar 29, 2018 |
| O••• C•• 2••••• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $393M | 22 | Feb 22, 2024 |
| O•• E••• C•• 2••••• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $385M | 17 | Mar 29, 2018 |
| O•• E••• C•• 2••••• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $382M | 15 | Feb 22, 2024 |
| O•• E••• C•• 2••••• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $380M | 17 | Feb 22, 2024 |
| O•• C•• 2•••••• L•• | Securitized Asset Fund | $373M | 15 | Mar 30, 2015 |
| O•• C•• 2••••••• L•• | Securitized Asset Fund | $368M | 16 | Feb 18, 2022 |
| O•• C•• 2•••••• L•• | Securitized Asset Fund | $364M | 22 | Mar 30, 2015 |
| O•• C•• 2••••••• L•• | Securitized Asset Fund | $363M | 8 | Feb 23, 2023 |
| O•• C•• 2••••••• L•• | Securitized Asset Fund | $347M | 29 | Mar 29, 2016 |
| O••• E•••••••• C••••• M••••• F•••• L••• • O••• M•• S•• S••••• 2••••• | Hedge Fund | $307M | 10 | Aug 23, 2022 |
| O•• P•••••••• L•no longer reported | Other Private Fund | $228M | 4 | Apr 2, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D••••• Z••••••• S•••••• · Director, Cco And Deputy General Counselcontrolsince 03/2024 · owns less than 5%
- J••••• R•••••• H•••• · Director And Head Of O••• Creditcontrolsince 12/2023 · owns less than 5%
- M•••• J•••• K••• · Directorcontrolsince 03/2024 · owns less than 5%
- S•••••••• G•••••• W•••••• · Shareholdercontrolsince 03/2013 · owns 75% or more of N•• O•••• C••••••• H••••••• L•••
Entity owners
- O••• U• H••••••• L•• · Ownerdirect · owns 75% or more
- 1•••••• O•••••• I••• · Shareholderindirect · owns 75% or more of N•• P•• I• I••••••••• L•••
- A••• C•••••• L••• · Shareholderindirect · owns 75% or more of 1•••••• O•••••• I•••
- N•• O•••• C••••••• H••••••• L••• · Shareholderindirect · owns 75% or more of O•••• C••••••• H••••••• L•••
- N•• P•• I• I••••••••• L••• · Shareholderindirect · owns 75% or more of O••• H••••••• L••••••
- O••• H••••••• L•••••• · Shareholderindirect · owns 50% to 75% of O••• C•••••••••
- O•••• C••••••• H••••••• L••• · Shareholderindirect · owns 75% or more of A••• C•••••• L•••
- O••• C••••••••• · Shareholderindirect · owns 75% or more of O••• U• H••••••• L••
Related persons
Schedule D 7.A
- F••••• I••••••••• A•••••••• L••investment advisernRAUM $3.3B
- O•••• M••••••••• P••••••• L•••investment advisernRAUM $3.7B
- O••• C••••• A•••• M••••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $2.2B
- O••• C•••••• S•••••••• G•• L•bankpooled vehicle sponsorn
- O••• C••••• A••••••• L••investment advisernRAUM $418M
- O••• C••••• H••• Y•••• G•• L•bankpooled vehicle sponsorn
- O••• C••••• L•••••• F•••••• I• L••pooled vehicle sponsorn
- O••• C••••• P••••••• G•• L••bankpooled vehicle sponsorn
- O••• C••••• S•••••••• G•• L•bankpooled vehicle sponsorn
- O••• C••••• S•••••••• L••••••••• G•bankpooled vehicle sponsorn
- O••• D••• O••••••••• F••• G• L••bankpooled vehicle sponsorn
- O••• E•••••••• C••••• G•• L•••pooled vehicle sponsorn
- O••• P••••••• M•••••• L•investment adviserbanknRAUM $22B
- O••• S••••• C••••• G•• L••bankpooled vehicle sponsorn
- O••• S••••••••• C••••• O••••••••• I• G•• L•bankpooled vehicle sponsorn
Advisers that list O••• C••••• P•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY8 employees
- London, United Kingdom5 employees
- Boston, MA1 employees
What changed
consecutive filings, newest first
- Accounts · 71 to 81Feb 26, 2026 to Mar 30, 2026
- Advisory employees · 40 to 44Feb 26, 2026 to Mar 30, 2026
- Pooled vehicle clients · 70 to 80Feb 26, 2026 to Mar 30, 2026
- Assets in custody · $2.4B to $2.4BFeb 26, 2026 to Mar 30, 2026
- Employees · 78 to 80Feb 26, 2026 to Mar 30, 2026
- Private funds · 71 to 68Feb 26, 2026 to Mar 30, 2026
- Discretionary RAUM · $23B to $30BFeb 26, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $23B to $30BFeb 26, 2026 to Mar 30, 2026
- RAUM · $23B to $30BFeb 26, 2026 to Mar 30, 2026
- Private funds · 59 to 71Dec 8, 2025 to Feb 26, 2026
- Advisory activities · 1 to 2Feb 10, 2025 to Apr 10, 2025
- Accounts · 55 to 71Feb 10, 2025 to Apr 10, 2025
- Advisory employees · 37 to 40Feb 10, 2025 to Apr 10, 2025
- Pooled vehicle clients · 54 to 70Feb 10, 2025 to Apr 10, 2025
- Assets in custody · $2.8B to $2.4BFeb 10, 2025 to Apr 10, 2025
- Custody of client assets · false to trueFeb 10, 2025 to Apr 10, 2025
- Employees · 66 to 78Feb 10, 2025 to Apr 10, 2025
- Financial planning clients · unset to Feb 10, 2025 to Apr 10, 2025
- Private funds · 60 to 59Feb 10, 2025 to Apr 10, 2025
- Discretionary RAUM · $18B to $23BFeb 10, 2025 to Apr 10, 2025
- Pooled vehicle RAUM · $18B to $23BFeb 10, 2025 to Apr 10, 2025
- RAUM · $18B to $23BFeb 10, 2025 to Apr 10, 2025
- Private funds · 45 to 60Nov 21, 2024 to Feb 10, 2025
- Accounts · 47 to 55Feb 22, 2024 to Mar 28, 2024
- Pooled vehicle clients · 47 to 54Feb 22, 2024 to Mar 28, 2024
- Assets in custody · unset to 2844840898.0Feb 22, 2024 to Mar 28, 2024
- Employees · 70 to 66Feb 22, 2024 to Mar 28, 2024
- Other offices · 2 to 3Feb 22, 2024 to Mar 28, 2024
- Private funds · 46 to 45Feb 22, 2024 to Mar 28, 2024
- Discretionary RAUM · $16B to $18BFeb 22, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $16B to $18BFeb 22, 2024 to Mar 28, 2024
- RAUM · $16B to $18BFeb 22, 2024 to Mar 28, 2024
- Private funds · 39 to 46Nov 1, 2023 to Feb 22, 2024
- Accounts · 42 to 47Feb 23, 2023 to Mar 31, 2023
- Advisory employees · 35 to 37Feb 23, 2023 to Mar 31, 2023
- Pooled vehicle clients · 42 to 47Feb 23, 2023 to Mar 31, 2023
- Employees · 63 to 70Feb 23, 2023 to Mar 31, 2023
- Discretionary RAUM · $15B to $16BFeb 23, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $15B to $16BFeb 23, 2023 to Mar 31, 2023
- RAUM · $15B to $16BFeb 23, 2023 to Mar 31, 2023
Signals
26 dated events
- O••• C••••• P•••••••• L•• reported RAUM $30.1B, up 28% from $23.5B (2026-02-26 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- O••• C••••• P•••••••• L•• reported RAUM $23.5B, up 29% from $18.3B (2025-02-10 to 2025-04-10)Apr 10, 2025 · RAUM change · derived
- Floyd Steven Gutman (Director) no longer on Schedule A of O••• C••••• P•••••••• L•• (listed 2024-02-22, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Driner Sandeep Alva (Co-Head) no longer on Schedule A of O••• C••••• P•••••••• L•• (listed 2024-02-22, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Karl John Mack (Director) appeared on Schedule A of O••• C••••• P•••••••• L••Mar 28, 2024 · Control person joined · fact
- Arthur Daryl Phills (Director) no longer on Schedule A of O••• C••••• P•••••••• L•• (listed 2024-02-22, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Stephen Zachary Drozd (Chief Compliance Officer And Deputy General Counsel) appeared on Schedule A of O••• C••••• P•••••••• L••Mar 31, 2023 · Control person joined · fact
- Floyd Steven Gutman (Director) appeared on Schedule A of O••• C••••• P•••••••• L••Mar 31, 2023 · Control person joined · fact
- Arthur Daryl Phills (Director) appeared on Schedule A of O••• C••••• P•••••••• L••Mar 31, 2023 · Control person joined · fact
- Richard Stuart Kovensky (Director) no longer on Schedule A of O••• C••••• P•••••••• L•• (listed 2023-02-23, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Allan Christopher Govan (Director) no longer on Schedule A of O••• C••••• P•••••••• L•• (listed 2023-02-23, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Anthony Munk (Director) no longer on Schedule A of O••• C••••• P•••••••• L•• (listed 2023-02-23, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Michael Robert Le Blanc (Director) no longer on Schedule A of O••• C••••• P•••••••• L•• (listed 2023-02-23, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Tara Amy Dempsey (Chief Compliance Officer) no longer on Schedule A of O••• C••••• P•••••••• L•• (listed 2023-02-23, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Ronnie Jaber (Co-Head) appeared on Schedule A of O••• C••••• P•••••••• L••Nov 3, 2022 · Control person joined · fact
- Driner Sandeep Alva (Co-Head) appeared on Schedule A of O••• C••••• P•••••••• L••Nov 3, 2022 · Control person joined · fact
- Griffen Jason New (Chief Executive Officer And Director) no longer on Schedule A of O••• C••••• P•••••••• L•• (listed 2022-02-18, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Jay Michael Gelblat (Member) no longer on Schedule A of O••• C••••• P•••••••• L•• (listed 2022-02-18, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Floyd Steven Gutman (General Counsel And Chief Compliance Officer) no longer on Schedule A of O••• C••••• P•••••••• L•• (listed 2021-05-19, absent 2021-05-28)May 28, 2021 · Control person left · inference
- Tara Amy Dempsey (Chief Compliance Officer) appeared on Schedule A of O••• C••••• P•••••••• L••May 28, 2021 · Control person joined · fact
- Michael Robert Le Blanc (Director) appeared on Schedule A of O••• C••••• P•••••••• L••Nov 18, 2020 · Control person joined · fact
- Seth Mersky (Director) no longer on Schedule A of O••• C••••• P•••••••• L•• (listed 2020-08-27, absent 2020-11-18)Nov 18, 2020 · Control person left · inference
- Griffen Jason New (Co-Chief Executive Officer And Director) appeared on Schedule A of O••• C••••• P•••••••• L••Apr 15, 2020 · Control person joined · fact
- Raphael Josh Spierer (Chief Financial Officer) no longer on Schedule A of O••• C••••• P•••••••• L•• (listed 2020-02-26, absent 2020-03-28)Mar 28, 2020 · Control person left · inference
- Anthony Munk (Director) appeared on Schedule A of O••• C••••• P•••••••• L••Oct 10, 2019 · Control person joined · fact
- O••• C••••• P•••••••• L•• reported RAUM $10.6B, up 36% from $7.7B (2017-03-29 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- O••• C••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- O••• C••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- (201) 541-2121reportedpublic record, Form ADV, May 15, 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
- Asset manager (funds and pooled vehicles)deriveda 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