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••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 28, 2012 · 35 filings
SEC status approved since Aug 10, 1989
RAUM
$93.0M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$93.0M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$18.6M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$93.0M as of Mar 27, 2026
Mar 28, 2012$242M then
HNW client RAUM$80.4M as of Mar 27, 2026
Mar 30, 2018$65.9M then
State-registered IARs (5.B.3)5 as of Mar 27, 2026
Mar 28, 20120 then
Employees (5.A)5 as of Mar 27, 2026
Mar 22, 20137 then
Private funds1 as of Mar 30, 2021
Mar 28, 20124 then
RAUM +18% over the last fiscal year+5.0% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $18.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $732,378derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%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
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $6.3M, 9 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)
- 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$80.4M86%
- Individuals$12.6M14%
- Pension and profit-sharing plans$1190.0%
- Individual clients
- 65reported
- HNW clients
- 61reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 127reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.3M for 9 clientsreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• K•••• O••••••••• | New York, Ny | Jun 12, 2019 | 21 y | 1 |
| J••• J•• K••••• | New York, Ny | Jul 29, 2021 | 21 y | 0 |
| P••••• V••••• O••••••••• | New York, Ny | Jul 29, 2021 | 46 y | 1 |
| S•••••• M•••••• F•••••• | New York, Ny | Aug 12, 2021 | 10 y | 0 |
| G••••• W•••••• J••••••• | New York, Ny | Jul 17, 2025 | 13 y | 0 |
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
- B•••• M••••••• to M••••• S•••••• • C•• L••Oct 8, 2008 · Other
Joined, latest
- B•••• M••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 25, 2008 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O••••••••• I••••••••• L•••no longer reported | Hedge Fund | $11.8M | 13 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- O••••••••• C•••• K•••• · Director, Managing Member / Chief Compliance Officercontrolsince 03/2007 · owns 75% or more
- O••••••••• K••••••• B••••• · Membersince 12/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
- O••••••• L••investment adviserpooled vehicle sponsornRAUM $218M
Advisers that list O••••••••• • C••••• L•• as a related person
- 296317 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 27, 2026HNW share of RAUM moved from 52.0% to 86.0% between the annual amendments of 2025-03-27 and 2026-03-27peers: independent wealth managers, under $100M (707)
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Jul 30, 2025 to Mar 27, 2026
- HNW clients · 50 to 61Jul 30, 2025 to Mar 27, 2026
- Individual clients · 76 to 65Jul 30, 2025 to Mar 27, 2026
- Assets in custody · $8.3M to $6.3MJul 30, 2025 to Mar 27, 2026
- Financial planning clients · 11-25 to 26-50Jul 30, 2025 to Mar 27, 2026
- State-registered IARs · 4 to 5Jul 30, 2025 to Mar 27, 2026
- Discretionary RAUM · $75.7M to $89.6MJul 30, 2025 to Mar 27, 2026
- HNW RAUM · $40.8M to $80.4MJul 30, 2025 to Mar 27, 2026
- Individual RAUM · $36.5M to $12.6MJul 30, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $3.0M to $3.4MJul 30, 2025 to Mar 27, 2026
- Pension RAUM · $1.4M to $119Jul 30, 2025 to Mar 27, 2026
- RAUM · $78.7M to $93.0MJul 30, 2025 to Mar 27, 2026
- Financial planning clients · 11-25 to 11-25Mar 27, 2025 to Jul 30, 2025
- Accounts · 131 to 127Mar 28, 2024 to Mar 27, 2025
- Advisory employees · 5 to 4Mar 28, 2024 to Mar 27, 2025
- HNW clients · 51 to 50Mar 28, 2024 to Mar 27, 2025
- Individual clients · 79 to 76Mar 28, 2024 to Mar 27, 2025
- Assets in custody · $10.2M to $8.3MMar 28, 2024 to Mar 27, 2025
- Employees · 6 to 5Mar 28, 2024 to Mar 27, 2025
- State-registered IARs · 5 to 4Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $78.5M to $75.7MMar 28, 2024 to Mar 27, 2025
- HNW RAUM · $44.5M to $40.8MMar 28, 2024 to Mar 27, 2025
- Individual RAUM · $36.2M to $36.5MMar 28, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $3.6M to $3.0MMar 28, 2024 to Mar 27, 2025
- Pension RAUM · $1.5M to $1.4MMar 28, 2024 to Mar 27, 2025
- RAUM · $82.1M to $78.7MMar 28, 2024 to Mar 27, 2025
- Accounts · 127 to 131Mar 29, 2023 to Mar 28, 2024
- HNW clients · 52 to 51Mar 29, 2023 to Mar 28, 2024
- Individual clients · 74 to 79Mar 29, 2023 to Mar 28, 2024
- Assets in custody · $7.4M to $10.2MMar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $76.7M to $78.5MMar 29, 2023 to Mar 28, 2024
- HNW RAUM · $47.4M to $44.5MMar 29, 2023 to Mar 28, 2024
- Individual RAUM · $31.5M to $36.2MMar 29, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $3.7M to $3.6MMar 29, 2023 to Mar 28, 2024
- Pension RAUM · $1.5M to $1.5MMar 29, 2023 to Mar 28, 2024
- RAUM · $80.4M to $82.1MMar 29, 2023 to Mar 28, 2024
- Accounts · 133 to 127Mar 30, 2022 to Mar 29, 2023
- HNW clients · 53 to 52Mar 30, 2022 to Mar 29, 2023
- Individual clients · 79 to 74Mar 30, 2022 to Mar 29, 2023
- Assets in custody · $8.6M to $7.4MMar 30, 2022 to Mar 29, 2023
Signals
3 dated events
- Victor Philip O••••••••• (Director, Managing Member) no longer on Schedule A of O••••••••• • C••••• L•• (listed 2021-03-30, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- O••••••••• • C••••• L•• reported RAUM $98.5M, down 64% from $275.7M (2017-05-02 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- O••••••••• • C••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 30, 2013 · Succession (Item 4) · 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
- o•••••@o••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-489-7527reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- O••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-489-7527reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- o••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $18.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026