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
Ofs Capital Management, LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 32 filings
SEC status approved since Apr 20, 2010
RAUM
$1.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
47
23 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.8B as of Mar 31, 2026
Mar 30, 2012$646M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)47 as of Mar 31, 2026
Apr 1, 201327 then
Private funds3 as of Mar 31, 2022
Mar 30, 20123 then
RAUM -8.5% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $135MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.5%derivedbetween 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$792M58%
- Investment companies$568M42%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.99 institutional_share=0.0 related_bd=true related_bank=true bd_reps=1.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Ofsi Fund III, Ltd.no longer reported | Securitized Asset Fund | $120M | 0 | Mar 30, 2012 |
| Ofs Funding I, LLCno longer reported | Hedge Fund | $69.5M | 1 | Mar 30, 2012 |
| Ofs Capital, LLCno longer reported | Private Equity Fund | $60.9M | 1 | Mar 30, 2012 |
| Ofsi Fund Vii, Ltd.no longer reported | Securitized Asset Fund | $739,287 | 0 | Mar 31, 2015 |
| Ofsi Fund V, Ltd.no longer reported | Securitized Asset Fund | $599,196 | 0 | Mar 31, 2014 |
| Ofsi Fund Vi, Ltd.no longer reported | Securitized Asset Fund | $50,000 | 0 | Mar 31, 2015 |
Owners and control persons
Schedule A and B, latest filing
- Alan Jeffrey Cerny · Chief Accounting Officer/Senior Managing Directorcontrolsince 10/2021 · owns less than 5%
- Sue Denise Mukya Porter · Chief Compliance Officercontrolsince 05/2017 · owns less than 5%
- (Nmn) Bilal Rashid · President/Senior Managing Directorcontrolsince 03/2010 · owns less than 5%
- Kevin Tod Reichert · Managing Director, General Counsel & Secretarycontrolsince 09/2016 · owns less than 5%
- Scott Richard Ressler · Trusteecontrolsince 01/2020 · owns F of The Oi3 2019 Trust
Entity owners
- Orchard First Source Asset Management, LLC · Sole Member/Managerdirect · owns 75% or more
- Oi3, LLC · 100% Of Common Interestsindirect · owns 75% or more of Orchard Investments, LLC
- Orchard First Source Asset Management Holdings, LLC · Member/Managerindirect · owns 75% or more of Orchard First Source Asset Management, LLC
- Orchard First Source Capital, Inc. · Managerindirect · owns F of Orchard First Source Asset Management, LLC
- Orchard Investments II, LLC · Memberindirect · owns 50% to 75% of Orchard First Source Asset Management Holdings, LLC
- Orchard Investments, LLC · Ownerindirect · owns 75% or more of Orchard Investments II, LLC
- The Oi3 2019 Trust · Memberindirect · owns 75% or more of Oi3, LLC
Related persons
Schedule D 7.A
- 432 Park Management, LLCinvestment companyn
- 4750 Co-Investor, LLCn
- Ccla Sma I Operator, Ltdn
- Cco Capital, LLCbroker-dealern
- Cco Group, LLCn
- Cim Capital Controlled Company Management, LLCinvestment advisern
- Cim Capital Ic Management, LLCinvestment adviserbanknRAUM $1.1B
- Cim Capital Re Debt Management, LLCinvestment advisern
- Cim Capital Real Property Management, LLCinvestment advisern
- Cim Capital Sa Management, LLCinvestment advisernRAUM $134M
- Cim Capital Securities Management, LLCinvestment advisern
- Cim Capital, LLCinvestment advisernRAUM $2.7B
- Cim Controlled Company Management, LLCn
- Cim Group (Australia) Pty Ltdbroker-dealern
- Cim Group Management, LLCn
- Cim Group, LPn
- Cim Il Management, LLCinvestment companyn
- Cim Infrastructure Fund III Gp, LLCpooled vehicle sponsorn
- Cim Infrastructure II Gp, LLCpooled vehicle sponsorn
- Cim Infrastructure II-A Gp, LLCpooled vehicle sponsorn
- Cim Infrastructure III Gp (Lux), S.A R.L.pooled vehicle sponsorn
- Cim Japan, Ltdbroker-dealern
- Cim Management, Inc.investment companyn
- Cim Md Management, LLCinvestment companyn
- Cim Ny Management, LLCinvestment companyn
- Cim Re Debt Management, LLCn
- Cim Real Estate Finance Management, LLCbankn
- Cim Real Estate Services, LLCinvestment companyn
- Cim Tx Management, LLCinvestment companyn
- Cim Va Management, LLCinvestment companyn
Advisers that list Ofs Capital Management, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY11 employees
- Los Angeles, CA1 employees
What changed
consecutive filings, newest first
- Pooled vehicle clients · 1 to 2May 15, 2025 to Mar 31, 2026
- Employees · 50 to 47May 15, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.9B to $1.8BMay 15, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $872M to $792MMay 15, 2025 to Mar 31, 2026
- RAUM · $1.9B to $1.8BMay 15, 2025 to Mar 31, 2026
- Financial planning clients · unset to Apr 8, 2025 to May 15, 2025
- Advisory employees · 25 to 23Mar 29, 2024 to Apr 8, 2025
- Employees · 53 to 50Mar 29, 2024 to Apr 8, 2025
- Discretionary RAUM · $2.5B to $1.9BMar 29, 2024 to Apr 8, 2025
- Pooled vehicle RAUM · $1.4B to $872MMar 29, 2024 to Apr 8, 2025
- RAUM · $2.5B to $1.9BMar 29, 2024 to Apr 8, 2025
- Accounts · 8 to 13Apr 4, 2023 to Mar 29, 2024
- Advisory employees · 24 to 25Apr 4, 2023 to Mar 29, 2024
- Employees · 50 to 53Apr 4, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.5B to $2.5BApr 4, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.4B to $1.4BApr 4, 2023 to Mar 29, 2024
- RAUM · $2.5B to $2.5BApr 4, 2023 to Mar 29, 2024
- Accounts · 12 to 8Nov 4, 2022 to Mar 31, 2023
- Pooled vehicle clients · 5 to 1Nov 4, 2022 to Mar 31, 2023
- Private funds · 3 to unsetNov 4, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.7B to $2.5BNov 4, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $759M to $1.4BNov 4, 2022 to Mar 31, 2023
- RAUM · $1.7B to $2.5BNov 4, 2022 to Mar 31, 2023
- Accounts · 10 to 12Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 22 to 24Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 4 to 5Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $25.0M to $0Mar 31, 2021 to Mar 31, 2022
- Custody of client assets · true to falseMar 31, 2021 to Mar 31, 2022
- Employees · 48 to 50Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.3B to $1.7BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $633M to $759MMar 31, 2021 to Mar 31, 2022
- RAUM · $1.3B to $1.7BMar 31, 2021 to Mar 31, 2022
- Related bank · false to trueMar 31, 2021 to Mar 31, 2022
- Advisory employees · 24 to 22Aug 20, 2020 to Mar 31, 2021
- BD registered reps · 3 to 1Aug 20, 2020 to Mar 31, 2021
- Pooled vehicle clients · 5 to 4Aug 20, 2020 to Mar 31, 2021
- Assets in custody · $0 to $25.0MAug 20, 2020 to Mar 31, 2021
- Employees · 44 to 48Aug 20, 2020 to Mar 31, 2021
- Discretionary RAUM · $1.2B to $1.3BAug 20, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $41.3M to $0Aug 20, 2020 to Mar 31, 2021
Signals
4 dated events
- Ofs Capital Management, Llc reported RAUM $2.5B, up 42% from $1.7B (2022-11-04 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Ofs Capital Management, Llc reported RAUM $1.7B, up 36% from $1.3B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Scott Richard Ressler (Trustor And Trustee) appeared on Schedule A of Ofs Capital Management, LlcJan 31, 2020 · Control person joined · fact
- Steven Mark Hauser (Senior Managing Director) no longer on Schedule A of Ofs Capital Management, Llc (listed 2020-01-10, absent 2020-01-29)Jan 29, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- OFS Capital Management, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/OFS-CAPITAL-CORPORATIONreportedpublic record, Form ADV, Sep 17, 2026
- Website
- OFSMANAGEMENT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 847-734-2000reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda 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