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•• W••• I••••••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 9, 2012 · 24 filings
SEC status approved since Oct 15, 2008
RAUM
$916M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
37%
$342M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$916M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$916M as of Mar 30, 2026
Mar 9, 2012$139M then
HNW client RAUM$330M as of Mar 30, 2026
Mar 28, 2018$68.7M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 22, 20132 then
Employees (5.A)8 as of Mar 30, 2026
Mar 22, 20138 then
Private funds3 as of Mar 30, 2026
Mar 9, 20122 then
RAUM +92% over the last fiscal year+42% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $916MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 788derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $449,336derivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +92%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +55%derived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $511M, 6 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$511M56%
- High-net-worth individuals$330M36%
- State and municipal entities$27.1M3.0%
- Corporations and businesses$24.5M2.7%
- Individuals$11.5M1.3%
- Charitable organizations$11.3M1.2%
- Individual clients
- 53reported
- HNW clients
- 735reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 847reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $1.7M managedreported
- Custody of client assets
- $511M for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.37 fund_share=0.56 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• W•••••• C••• | Los Angeles, Ca | Apr 27, 2026 | 20 y | 2 |
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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•• W••• I••••••••• P•••••••• L• | Hedge Fund | $110M | 67 | Mar 9, 2012 |
| O•• W••• I••••• F•••• L• | Hedge Fund | $78.6M | 39 | Mar 9, 2012 |
| O•• W••• O••••••••• F••• L• | Hedge Fund | $52.2M | 72 | Jun 1, 2018 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• J•••••• M•••••• · Managing Membercontrolsince 08/2008 · owns 25% to 50%
- B••••••••• J•••••• M•••••• · Managing Membercontrolsince 10/2008 · owns 10% to 25%
- C•••• C•••• W•••••• · Managing Member And Chief Compliance Officercontrolsince 02/2009 · owns 10% to 25%
- C•• S•••••• E••••• · Elected Managercontrolsince 08/2013 · owns less than 5%
- L•••• B••••• A••• · Managing Membercontrolsince 01/2019 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $476,543,531 to $915,678,156 (+92.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +16.0% (1385 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 98% percentile
- account count surgeChange between filings · filing Mar 30, 2026accounts (Item 5.F.2.f) moved from 554.0 to 847.0 (+53.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +6.0% (1256 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 95% percentile
- client count surgeChange between filings · filing Mar 30, 2026individual and HNW clients (Item 5.D) moved from 507.0 to 788.0 (+55.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +5.0% (1216 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,216) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 554 to 847Mar 31, 2025 to Mar 30, 2026
- Advisory employees · 7 to 8Mar 31, 2025 to Mar 30, 2026
- Corporate clients · 37 to 48Mar 31, 2025 to Mar 30, 2026
- HNW clients · 452 to 735Mar 31, 2025 to Mar 30, 2026
- Individual clients · 55 to 53Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $246M to $511MMar 31, 2025 to Mar 30, 2026
- Employees · 7 to 8Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $466M to $903MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $187M to $330MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $7.6M to $11.5MMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $10.1M to $12.6MMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $246M to $511MMar 31, 2025 to Mar 30, 2026
- RAUM · $477M to $916MMar 31, 2025 to Mar 30, 2026
- Wrap assets (manager) · $1.1M to $1.7MMar 31, 2025 to Mar 30, 2026
- Accounts · 328 to 554Nov 1, 2024 to Mar 31, 2025
- Advisory activities · 3 to 4Nov 1, 2024 to Mar 31, 2025
- Corporate clients · 15 to 37Nov 1, 2024 to Mar 31, 2025
- HNW clients · 248 to 452Nov 1, 2024 to Mar 31, 2025
- Assets in custody · $241M to $246MNov 1, 2024 to Mar 31, 2025
- Financial planning clients · unset to Nov 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $394M to $466MNov 1, 2024 to Mar 31, 2025
- HNW RAUM · $129M to $187MNov 1, 2024 to Mar 31, 2025
- Individual RAUM · $6.6M to $7.6MNov 1, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $7.8M to $10.1MNov 1, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $241M to $246MNov 1, 2024 to Mar 31, 2025
- RAUM · $402M to $477MNov 1, 2024 to Mar 31, 2025
- Wrap assets (manager) · $954,313 to $1.1MNov 1, 2024 to Mar 31, 2025
- Accounts · 267 to 328Mar 22, 2023 to Mar 28, 2024
- Advisory employees · 6 to 7Mar 22, 2023 to Mar 28, 2024
- Corporate clients · 14 to 15Mar 22, 2023 to Mar 28, 2024
- HNW clients · 190 to 248Mar 22, 2023 to Mar 28, 2024
- Assets in custody · $187M to $241MMar 22, 2023 to Mar 28, 2024
- Employees · 6 to 7Mar 22, 2023 to Mar 28, 2024
- Financial planning clients · 0 to unsetMar 22, 2023 to Mar 28, 2024
- Discretionary RAUM · $313M to $394MMar 22, 2023 to Mar 28, 2024
- HNW RAUM · $105M to $129MMar 22, 2023 to Mar 28, 2024
- Individual RAUM · $6.5M to $6.6MMar 22, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $7.0M to $7.8MMar 22, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $187M to $241MMar 22, 2023 to Mar 28, 2024
- RAUM · $320M to $402MMar 22, 2023 to Mar 28, 2024
Signals
3 dated events
- O•• W••• I••••••••• M••••••••• L•• reported RAUM $915.7M, up 92% from $476.5M (2025-03-31 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- O•• W••• I••••••••• M••••••••• L•• reported RAUM $343.6M, up 41% from $243.2M (2021-11-02 to 2022-03-23)Mar 23, 2022 · RAUM change · derived
- Alan Brian Laks (Managing Member) appeared on Schedule A of O•• W••• I••••••••• M••••••••• L••Mar 29, 2019 · Control person joined · 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 email
- b•••••••••@o••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 213-943-1740reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- OLDW•••IM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (213) 943-1740reportedpublic record, Form ADV, Mar 30, 2026
- Team page
- o••••••••.comreportedpublished by the firm, firm site, Sep 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $916Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026