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•••••• P••••••••• L••

Former SEC-registered adviserPrinceton, New JerseyCRD 152462SEC 801-122503IAPD
Latest filing Jan 27, 2022
First filing on the tape Sep 15, 2021 · 6 filings
RAUM
$114M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$107M 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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$114M as of Jan 27, 2022
Sep 15, 2021$109M then
HNW client RAUM$106M as of Jan 27, 2022
Sep 15, 2021$101M then
State-registered IARs (5.B.3)1 as of Jan 27, 2022
Sep 15, 20211 then
Employees (5.A)1 as of Jan 27, 2022
Sep 15, 20211 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 27, 2022; every figure names its basis
RAUM per advisor
$114MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
197derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$575,108derivedHNW RAUM over HNW clients
Average account
$562,844derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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$106M93%
  • Charitable organizations$2.4M2.1%
  • Pension and profit-sharing plans$2.3M2.0%
  • Corporations and businesses$2.2M1.9%
  • Individuals$1.6M1.4%
Individual clients
13reported
HNW clients
184reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
203reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • O••• Y•• K• · President And Ccocontrol
      since 01/2010 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 49 to 203
      Nov 22, 2021 to Jan 26, 2022
    • HNW clients · 38 to 184
      Nov 22, 2021 to Jan 26, 2022
    • Individual clients · 6 to 13
      Nov 22, 2021 to Jan 26, 2022
    • Discretionary RAUM · $109M to $114M
      Nov 22, 2021 to Jan 26, 2022
    • HNW RAUM · $101M to $106M
      Nov 22, 2021 to Jan 26, 2022
    • Individual RAUM · $1.4M to $1.6M
      Nov 22, 2021 to Jan 26, 2022
    • Pension RAUM · $2.3M to $2.3M
      Nov 22, 2021 to Jan 26, 2022
    • RAUM · $109M to $114M
      Nov 22, 2021 to Jan 26, 2022
    Signals
    2 dated events
    • Y• O•• left O•••••• P••••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
      Nov 11, 2022 · Advisor changed firm · fact
    • O•••••• P••••••••• L•• filed its initial SEC registration (Form ADV)
      Sep 15, 2021 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026