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••••• A•••• M••••••••• L••

Former SEC-registered adviserLafayette, CaliforniaCRD 154908SEC 801-72126IAPD
Latest filing Mar 28, 2022
First filing on the tape Apr 3, 2012 · 23 filings
RAUM
$171M
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
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$171M as of Mar 28, 2022
Apr 3, 2012$91.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2022
Apr 3, 20120 then
Employees (5.A)6 as of Mar 28, 2022
Mar 28, 20138 then
Private funds2 as of Mar 22, 2018
Mar 28, 20133 then
RAUM -1.1% over the last fiscal year-6.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2022; 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
$171MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.1%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, otherreportedItem 5.E
Advisory activities
portfolio management for investment companies, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$171M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••••••• Y•••• P•••• L•no longer reportedHedge Fund$20.1M95Mar 1, 2012
      C••••• P•••••••• L•no longer reportedHedge Fund$10.5M34Mar 1, 2012
      K••••••••• R••••• I••••• F•••• L•no longer reportedHedge Fund$5.9M48Mar 1, 2012
      D••••• G•••• F•••• L•no longer reportedHedge Fund$697,0005Mar 29, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• S••••••• M•••• · Chief Compliance Officercontrol
        since 01/2021 · owns less than 5%
      • K••••••••• C••••• M••••• · Managing Partner & Presidentcontrol
        since 06/2010 · owns less than 5%
      • P••••••••• B••••• J••••• · Managing Partner & Director Of Capital Marketscontrol
        since 06/2010 · owns less than 5%
      • G•••• P••• · Managing Membercontrol
        since 01/2014 · owns F of O••••• I••••••••• P••••••• L••
      • K••••••••• C••••• M••••• · Managing Membercontrol
        since 06/2010 · owns 25% to 50% of O••••• I••••••••• P••••••• L••
      • P••••••••• B••••• J••••• · Managing Membercontrol
        since 06/2010 · owns F of O••••• I••••••••• P••••••• L••
      • Y••• C••••••• M•• · Managing Membercontrol
        since 06/2010 · owns F of O••••• I••••••••• P••••••• L••
      Entity owners
      • O••••• I••••••••• P••••••• L•• · Managing Member - Affiliate
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 3 to 2
        Jul 7, 2021 to Mar 28, 2022
      • Employees · 9 to 6
        Jul 7, 2021 to Mar 28, 2022
      • Discretionary RAUM · $173M to $171M
        Jul 7, 2021 to Mar 28, 2022
      • RAUM · $173M to $171M
        Jul 7, 2021 to Mar 28, 2022
      • BD registered reps · 4 to 3
        Jan 11, 2021 to Mar 3, 2021
      • Discretionary RAUM · $284M to $173M
        Jan 11, 2021 to Mar 3, 2021
      • RAUM · $284M to $173M
        Jan 11, 2021 to Mar 3, 2021
      • Advisory employees · 3 to 2
        Oct 7, 2019 to Mar 26, 2020
      • BD registered reps · 5 to 4
        Oct 7, 2019 to Mar 26, 2020
      • Employees · 11 to 9
        Oct 7, 2019 to Mar 26, 2020
      • Discretionary RAUM · $212M to $284M
        Oct 7, 2019 to Mar 26, 2020
      • RAUM · $212M to $284M
        Oct 7, 2019 to Mar 26, 2020
      • Accounts · 3 to 1
        Aug 30, 2018 to Mar 27, 2019
      • Advisory activities · 3 to 2
        Aug 30, 2018 to Mar 27, 2019
      • Pooled vehicle clients · 2.0 to unset
        Aug 30, 2018 to Mar 27, 2019
      • Assets in custody · 31300000.0 to unset
        Aug 30, 2018 to Mar 27, 2019
      • Custody of client assets · true to false
        Aug 30, 2018 to Mar 27, 2019
      • Private funds · 2 to unset
        Aug 30, 2018 to Mar 27, 2019
      • Discretionary RAUM · $381M to $212M
        Aug 30, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · 30621344.0 to unset
        Aug 30, 2018 to Mar 27, 2019
      • RAUM · $381M to $212M
        Aug 30, 2018 to Mar 27, 2019
      • HQ city · O••••• to LAFAYETTE
        Mar 22, 2018 to Aug 30, 2018
      • Accounts · 4 to 3
        Mar 27, 2017 to Mar 22, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 27, 2017 to Mar 22, 2018
      • Other offices · unset to 0.0
        Mar 27, 2017 to Mar 22, 2018
      • Private funds · 3 to 2
        Mar 27, 2017 to Mar 22, 2018
      • Discretionary RAUM · $318M to $381M
        Mar 27, 2017 to Mar 22, 2018
      • Pooled vehicle RAUM · unset to 30621344.0
        Mar 27, 2017 to Mar 22, 2018
      • RAUM · $318M to $381M
        Mar 27, 2017 to Mar 22, 2018
      • Accounts · 5 to 4
        Sep 30, 2016 to Mar 27, 2017
      • BD registered reps · 4 to 5
        Sep 30, 2016 to Mar 27, 2017
      • Assets in custody · $23.5M to $31.3M
        Sep 30, 2016 to Mar 27, 2017
      • Employees · 9 to 11
        Sep 30, 2016 to Mar 27, 2017
      • Discretionary RAUM · $274M to $318M
        Sep 30, 2016 to Mar 27, 2017
      • RAUM · $274M to $318M
        Sep 30, 2016 to Mar 27, 2017
      • Private funds · 2 to 3
        May 22, 2015 to Mar 29, 2016
      • Advisory activities · 2 to 3
        May 22, 2015 to Mar 29, 2016
      • Assets in custody · $32.9M to $23.5M
        May 22, 2015 to Mar 29, 2016
      • Discretionary RAUM · $359M to $274M
        May 22, 2015 to Mar 29, 2016
      • RAUM · $359M to $274M
        May 22, 2015 to Mar 29, 2016
      Signals
      5 dated events
      • O••••• A•••• M••••••••• L•• reported RAUM $173.2M, down 39% from $283.6M (2021-01-11 to 2021-03-03)
        Mar 3, 2021 · RAUM change · derived
      • R•••••• P••• M•••••••• (Chief Compliance Officer) no longer on Schedule A of O••••• A•••• M••••••••• L•• (listed 2020-11-10, absent 2021-01-11)
        Jan 11, 2021 · Control person left · inference
      • Mario Suzanne Hammer (Chief Compliance Officer) appeared on Schedule A of O••••• A•••• M••••••••• L••
        Jan 11, 2021 · Control person joined · fact
      • R•••••• P••• M•••••••• (Chief Compliance Officer) appeared on Schedule A of O••••• A•••• M••••••••• L••
        Mar 26, 2020 · Control person joined · fact
      • O••••• A•••• M••••••••• L•• reported RAUM $211.9M, down 44% from $380.6M (2018-08-30 to 2019-03-27)
        Mar 27, 2019 · RAUM change · derived
      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