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.

SEC-registered adviser

William O'Neil + Company

No RAUM reportedLos Angeles, CaliforniaCRD 152620SEC 801-120403websiteIAPD
Legal name William O'Neil + Co. Incorporated
Latest filing Mar 20, 2026
First filing on the tape Jan 28, 2021 · 11 filings
SEC status approved since Feb 26, 2021
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
39
18 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$0 as of Mar 20, 2026
Mar 14, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Jan 21, 202213 then
Employees (5.A)39 as of Mar 20, 2026
Jan 21, 202230 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived6 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
fixed fees, subscriptionreportedItem 5.E
Advisory activities
publications, otherreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=11.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Samuel Gregory Jannetta · Chief Executive Officercontrol
    since 01/2022 · owns less than 5%
  • Pan-Yun (Ben) Lee · Chief Financial Officercontrol
    since 03/2024 · owns less than 5%
  • Victor Alexander Masotti · General Counsel & Chief Compliance Officercontrol
    since 11/2019 · owns less than 5%
Entity owners
  • O'Neil Capital Management Inc. · Parent Company
    direct · owns 75% or more
  • Data Analysis Inc. · Holding Company
    indirect · owns 75% or more of O'Neil Capital Management Inc.
  • Icontrust, LLC · Trustee
    indirect · owns F of William Scott O'Neil Gst Exempt Trust Share Under The Fay C. O'Neil Irrevocable Trust Of 2014, Dated As Of July 8, 2024
  • Icontrust, LLC · Trustee
    indirect · owns F of William Scott O'Neil Gst Exempt Trust Share Under The William J. O'Neil Irrevocable Trust Of 2014, Dated As Of July 8, 2024
  • William Scott O'Neil Gst Exempt Trust Share Under The Fay C. O'Neil Irrevocable Trust Of 2014, Dated As Of July 8, 2024 · Shareholder
    indirect · owns 50% to 75% of Data Analysis Inc.
  • William Scott O'Neil Gst Exempt Trust Share Under The William J. O'Neil Irrevocable Trust Of 2014, Dated As Of July 8, 2024 · Shareholder
    indirect · owns 50% to 75% of Data Analysis Inc.
Related persons
Schedule D 7.A
Advisers that list William O'Neil + Company as a related person
Offices
Schedule D 1.F, the 25 largest
  • London, United Kingdom4 employees
  • New York, NY3 employees
  • Boston, MA2 employees
  • Chicago, IL2 employees
  • San Francisco, CA2 employees
What changed
consecutive filings, newest first
  • Employees · 41 to 39
    Mar 14, 2025 to Mar 20, 2026
  • Accounts · unset to 0.0
    Aug 12, 2024 to Mar 14, 2025
  • Advisory employees · 21 to 18
    Aug 12, 2024 to Mar 14, 2025
  • BD registered reps · 13 to 11
    Aug 12, 2024 to Mar 14, 2025
  • Financial planning clients · 0 to 0
    Aug 12, 2024 to Mar 14, 2025
  • Discretionary RAUM · unset to 0.0
    Aug 12, 2024 to Mar 14, 2025
  • Non-discretionary RAUM · unset to 0.0
    Aug 12, 2024 to Mar 14, 2025
  • RAUM · unset to 0.0
    Aug 12, 2024 to Mar 14, 2025
  • Advisory employees · 19 to 21
    Jun 7, 2023 to Mar 21, 2024
  • BD registered reps · 12 to 13
    Jun 7, 2023 to Mar 21, 2024
  • Employees · 39 to 41
    Jun 7, 2023 to Mar 21, 2024
  • State-registered IARs · 12 to 0
    Jun 7, 2023 to Mar 21, 2024
  • Advisory employees · 8 to 19
    Jan 21, 2022 to Mar 30, 2023
  • Employees · 30 to 39
    Jan 21, 2022 to Mar 30, 2023
  • State-registered IARs · 13 to 12
    Jan 21, 2022 to Mar 30, 2023
  • BD registered reps · 13 to 12
    Jan 28, 2021 to Jan 21, 2022
  • Employees · 33 to 30
    Jan 28, 2021 to Jan 21, 2022
  • State-registered IARs · 7 to 13
    Jan 28, 2021 to Jan 21, 2022
Signals
7 dated events
  • Scott William O'Neil (Trustee) no longer on Schedule A of William O'Neil + Company (listed 2024-03-21, absent 2024-08-07)
    Aug 7, 2024 · Control person left · inference
  • William O'Neil + Company reported 0 state-registered advisory representatives, down from 12 (2023-06-07 to 2024-03-21)
    Mar 21, 2024 · Advisor headcount change · derived
  • Pan-Yun (Ben) Lee (Chief Financial Officer) appeared on Schedule A of William O'Neil + Company
    Mar 21, 2024 · Control person joined · fact
  • Masakazu Eugene Kumamoto (Chief Financial Officer) no longer on Schedule A of William O'Neil + Company (listed 2023-06-07, absent 2024-03-21)
    Mar 21, 2024 · Control person left · inference
  • Joseph William Oneil (Shareholder) no longer on Schedule A of William O'Neil + Company (listed 2023-04-28, absent 2023-05-19)
    May 19, 2023 · Control person left · inference
  • Lawrence Steven Birch (Chief Executive Officer) no longer on Schedule A of William O'Neil + Company (listed 2021-01-28, absent 2022-01-21)
    Jan 21, 2022 · Control person left · inference
  • William O'Neil + Company filed its initial SEC registration (Form ADV)
    Jan 28, 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.
How to reach
public business contact points only, each with its source
Firm profile
linkedin.com/company/william-o'neil---co.-inc.reportedpublic record, Form ADV, Sep 18, 2026
Website
WILLIAMONEIL.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
310-448-6800reportedpublic record, Form ADV, Mar 20, 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
No RAUM reportedderiveda 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