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•••••• C•••••• M••••••••• L•••
Latest filing Oct 24, 2025
First filing on the tape Jun 19, 2015 · 22 filings
SEC status approved since Jul 1, 2015
RAUM
$29.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$29.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$29.6M
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
22 filings and snapshots on the tape
RAUM$29.6M as of Oct 24, 2025
Mar 24, 2016$151M then
HNW client RAUM$29.6M as of Oct 24, 2025
Mar 29, 2018$119M then
State-registered IARs (5.B.3)1 as of Oct 24, 2025
Mar 24, 20163 then
Employees (5.A)1 as of Oct 24, 2025
Mar 24, 20165 then
Private funds1 as of Mar 25, 2022
Mar 24, 20161 then
RAUM -88% over the last fiscal year-53% a year over threeIARs 4 to 1
Practice profile
derived from the filing of Oct 24, 2025; every figure names its basis
- RAUM per advisor
- $29.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$29.6M100%
- Individual clients
- n/areported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 27reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• P•••••• M••••• | Dallas, Tx | Jan 15, 2026 | 21 y | 3 |
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
- J•••••• S••••••••• S•••• to F•••••• O••• C•••••• M•••••••••Nov 9, 2018 · RIA to a state-registered adviser
- R•••••• S•••••• to F•••••••• A••••••• G•••• L•••••Jan 11, 2013 · Other
- C•••• J•••• B•••••••• to F•••••••• A••••••• G•••• L•••••Nov 1, 2011 · Other
- M••• P••• C••••••••• to F•••••••• A••••••• G•••• L•••••May 2, 2011 · Other
- R••••• A••••• A•••• to M•••••••• S•••••••• C•••••• M••••••••• L••Dec 31, 2009 · Other
Joined, latest
- M••• P••• C••••••••• from V••• A•••• M••••••••• I•••Feb 16, 2011 · Other
- R••••• A••••• A•••• from C•••••• S••••• • C••• I•••Sep 14, 2009 · Other
- C•••• J•••• B•••••••• from M••••••• I••••••••• N•••••• I•••May 6, 2009 · Other
- J•••• P•••••• M••••• from T••••••• C••••••• L••Jan 1, 2008 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•••••• V•••• F•••• L•no longer reported | Hedge Fund | $23.9M | 15 | Mar 28, 2019 |
| O•••••• S•••••• O••••••••• F••• I• L•no longer reported | Private Equity Fund | $0 | 10 | Jun 19, 2015 |
Owners and control persons
Schedule A and B, latest filing
- H••••••• C••••• R••• · Limited Partnercontrolsince 05/2010 · owns 25% to 50%
- M•••••• J••••• P•••••• · Limited Partner, Chief Compliance Officercontrolsince 10/2007 · owns 25% to 50%
- H••••••• C••••• R••• · Membercontrolsince 05/2010 · owns 50% to 75% of O•••••• I••••••••• L••
- M•••••• J••••• P•••••• · Membercontrolsince 10/2007 · owns 50% to 75% of O•••••• I••••••••• L••
- S••••••••• J••• K•••••• · Limited Partnersince 08/2014 · owns 5% to 10%
Entity owners
- O•••••• I••••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- O•••••• V•••• F••• G•• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 2 to 1Jul 1, 2025 to Oct 24, 2025
- Financial planning clients · unset to Jun 12, 2025 to Jul 1, 2025
- Accounts · 78 to 27Jun 4, 2024 to Jun 12, 2025
- Advisory employees · 3 to 1Jun 4, 2024 to Jun 12, 2025
- Advisory activities · 3 to 2Jun 4, 2024 to Jun 12, 2025
- Charity clients · 2.0 to unsetJun 4, 2024 to Jun 12, 2025
- HNW clients · 71 to 24Jun 4, 2024 to Jun 12, 2025
- Pension plan clients · 1.0 to unsetJun 4, 2024 to Jun 12, 2025
- Pooled vehicle clients · 1.0 to unsetJun 4, 2024 to Jun 12, 2025
- Employees · 3 to 1Jun 4, 2024 to Jun 12, 2025
- State-registered IARs · 2 to 1Jun 4, 2024 to Jun 12, 2025
- Discretionary RAUM · $251M to $29.6MJun 4, 2024 to Jun 12, 2025
- HNW RAUM · $134M to $29.6MJun 4, 2024 to Jun 12, 2025
- Pension RAUM · 516722.0 to unsetJun 4, 2024 to Jun 12, 2025
- Pooled vehicle RAUM · 7342516.0 to unsetJun 4, 2024 to Jun 12, 2025
- RAUM · $251M to $29.6MJun 4, 2024 to Jun 12, 2025
- Accounts · 80 to 78Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 4 to 3Mar 31, 2023 to Mar 28, 2024
- Charity clients · 3 to 2Mar 31, 2023 to Mar 28, 2024
- HNW clients · 74 to 71Mar 31, 2023 to Mar 28, 2024
- Pension plan clients · 2 to 1Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $7.6M to $0Mar 31, 2023 to Mar 28, 2024
- Custody of client assets · true to falseMar 31, 2023 to Mar 28, 2024
- Employees · 4 to 3Mar 31, 2023 to Mar 28, 2024
- State-registered IARs · 4 to 2Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $248M to $251MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $111M to $134MMar 31, 2023 to Mar 28, 2024
- Pension RAUM · $9.4M to $516,722Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $7.6M to $7.3MMar 31, 2023 to Mar 28, 2024
- RAUM · $248M to $251MMar 31, 2023 to Mar 28, 2024
- Accounts · 85 to 80Mar 25, 2022 to Mar 31, 2023
- Charity clients · 4 to 3Mar 25, 2022 to Mar 31, 2023
- HNW clients · 72 to 74Mar 25, 2022 to Mar 31, 2023
- Pension plan clients · 3 to 2Mar 25, 2022 to Mar 31, 2023
- Pooled vehicle clients · 2 to 1Mar 25, 2022 to Mar 31, 2023
- Assets in custody · $37.3M to $7.6MMar 25, 2022 to Mar 31, 2023
- Private funds · 1 to unsetMar 25, 2022 to Mar 31, 2023
- Discretionary RAUM · $348M to $248MMar 25, 2022 to Mar 31, 2023
- HNW RAUM · $109M to $111MMar 25, 2022 to Mar 31, 2023
- Pension RAUM · $9.7M to $9.4MMar 25, 2022 to Mar 31, 2023
Signals
6 dated events
- O•••••• C•••••• M••••••••• L••• no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $29.6M)Mar 2, 2026 · Left the SEC roster · derived
- O•••••• C•••••• M••••••••• L••• reported RAUM $29.6M, down 88% from $250.8M (2024-06-04 to 2025-06-12)Jun 12, 2025 · RAUM change · derived
- Garrett J•••••• Fahrenbruch (Principal) no longer on Schedule A of O•••••• C•••••• M••••••••• L••• (listed 2023-03-31, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- O•••••• C•••••• M••••••••• L••• reported RAUM $248.1M, down 29% from $348.3M (2022-03-25 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Garrett J•••••• Fahrenbruch (Principal) appeared on Schedule A of O•••••• C•••••• M••••••••• L•••Mar 20, 2020 · Control person joined · fact
- O•••••• C•••••• M••••••••• L••• filed its initial SEC registration (Form ADV)Jun 19, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O•••••• C•••••• M••••••••• L••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 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
- $29.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026