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 adviserLondon, CRD 157256SEC 801-72343IAPD
Latest filing Oct 15, 2019
First filing on the tape Feb 3, 2012 · 24 filings
RAUM
$460M
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
29
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$114M gross assets
History
24 filings and snapshots on the tape
RAUM$460M as of Jan 29, 2019
Feb 3, 2012$436M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 29, 2019
Feb 3, 20120 then
Employees (5.A)29 as of Jan 29, 2019
Jan 30, 201330 then
Private funds2 as of Jan 29, 2019
Jan 30, 20136 then
RAUM -7.0% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 15, 2019; 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
$65.8MderivedRAUM 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
-7.0%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 pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$460M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      12 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O••• M•••• M••••• F••• I• L••••••no longer reportedHedge Fund$207M2Jan 30, 2014
      O••• M•••• F••• I• L••••••no longer reportedHedge Fund$158M23Apr 5, 2012
      O••• G••••• F••• L••••••no longer reportedHedge Fund$133M9Nov 29, 2011
      H••••••• G••••• L••••••no longer reportedHedge Fund$106M4Apr 5, 2012
      O••• M•••• F••• I• L•no longer reportedHedge Fund$49.9M4Sep 26, 2012
      O••• E•••• F••• L••••••no longer reportedHedge Fund$48.7M6Jan 30, 2014
      O••• M•••• F••• I• L•no longer reportedHedge Fund$48.6M4Feb 24, 2016
      C•••• G••••• F••• L••••••no longer reportedHedge Fund$29.3M2Sep 26, 2012
      O••• G••••• F••• L•no longer reportedHedge Fund$11.5M3Sep 26, 2012
      O••• S•••••• L•••••• F••• I• L•Other Private Fund$3.3M21Jan 4, 2016
      O••• S•••••• L•••••• F••• I• L•no longer reportedHedge Fund$3.0M12Aug 28, 2014
      O••• S•••••• L•••••• F••• M•• L•no longer reportedReal Estate Fund$1.3M13Jan 4, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• S•••••• A••••• · Founding Partnercontrol
        since 10/2004 · owns 75% or more
      • H•••• S••••••• P•••••• · Chief Operating Officer - Hedge Funds & Head Of Regulatory Reportingcontrol
        since 05/2018 · owns less than 5%
      • V•• B••••••••• E•••••• M•••• · Partnercontrol
        since 02/2014 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list O••• P••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 7
        Jan 30, 2018 to Jan 29, 2019
      • Pooled vehicle clients · 6 to 7
        Jan 30, 2018 to Jan 29, 2019
      • Employees · 32 to 29
        Jan 30, 2018 to Jan 29, 2019
      • Discretionary RAUM · $495M to $460M
        Jan 30, 2018 to Jan 29, 2019
      • Pooled vehicle RAUM · $495M to $460M
        Jan 30, 2018 to Jan 29, 2019
      • RAUM · $495M to $460M
        Jan 30, 2018 to Jan 29, 2019
      • Advisory activities · 2 to 1
        Feb 22, 2017 to Jan 30, 2018
      • Pooled vehicle clients · unset to 6.0
        Feb 22, 2017 to Jan 30, 2018
      • Employees · 30 to 32
        Feb 22, 2017 to Jan 30, 2018
      • Other offices · unset to 0.0
        Feb 22, 2017 to Jan 30, 2018
      • Discretionary RAUM · $358M to $495M
        Feb 22, 2017 to Jan 30, 2018
      • Pooled vehicle RAUM · unset to 495243328.0
        Feb 22, 2017 to Jan 30, 2018
      • RAUM · $358M to $495M
        Feb 22, 2017 to Jan 30, 2018
      • Related bank · false to true
        Feb 22, 2017 to Jan 30, 2018
      • Accounts · 9 to 5
        Feb 24, 2016 to Jan 19, 2017
      • Advisory employees · 6 to 1
        Feb 24, 2016 to Jan 19, 2017
      • Employees · 42 to 30
        Feb 24, 2016 to Jan 19, 2017
      • Private funds · 8 to 2
        Feb 24, 2016 to Jan 19, 2017
      • Discretionary RAUM · $775M to $358M
        Feb 24, 2016 to Jan 19, 2017
      • RAUM · $775M to $358M
        Feb 24, 2016 to Jan 19, 2017
      • Discretionary RAUM · $561M to $775M
        Jan 5, 2016 to Feb 24, 2016
      • RAUM · $561M to $775M
        Jan 5, 2016 to Feb 24, 2016
      • Accounts · 6 to 9
        Feb 4, 2015 to Jan 4, 2016
      • Advisory employees · 11 to 6
        Feb 4, 2015 to Jan 4, 2016
      • Employees · 34 to 42
        Feb 4, 2015 to Jan 4, 2016
      • Private funds · 6 to 8
        Feb 4, 2015 to Jan 4, 2016
      • Discretionary RAUM · $975M to $561M
        Feb 4, 2015 to Jan 4, 2016
      • RAUM · $975M to $561M
        Feb 4, 2015 to Jan 4, 2016
      • Employees · 29 to 34
        Aug 28, 2014 to Feb 4, 2015
      • Discretionary RAUM · $1.1B to $975M
        Aug 28, 2014 to Feb 4, 2015
      • RAUM · $1.1B to $975M
        Aug 28, 2014 to Feb 4, 2015
      • Advisory employees · 13 to 11
        Mar 5, 2014 to Aug 28, 2014
      • Employees · 31 to 29
        Mar 5, 2014 to Aug 28, 2014
      • Private funds · 5 to 6
        Mar 5, 2014 to Aug 28, 2014
      • Discretionary RAUM · $916M to $1.1B
        Mar 5, 2014 to Aug 28, 2014
      • RAUM · $916M to $1.1B
        Mar 5, 2014 to Aug 28, 2014
      • Advisory employees · 14 to 13
        Feb 11, 2014 to Mar 5, 2014
      • Employees · 32 to 31
        Feb 11, 2014 to Mar 5, 2014
      • Discretionary RAUM · $916M to $916M
        Feb 11, 2014 to Mar 5, 2014
      • RAUM · $916M to $916M
        Feb 11, 2014 to Mar 5, 2014
      Signals
      4 dated events
      • Graham Rodford (Partner) no longer on Schedule A of O••• P••••••• L•• (listed 2019-01-29, absent 2019-10-15)
        Oct 15, 2019 · Control person left · inference
      • P•••••• S•••••• H••• (Chief Operating Officer - Hedge Funds & Head Of Regulatory Reporting) appeared on Schedule A of O••• P••••••• L••
        Jan 29, 2019 · Control person joined · fact
      • Megan Elissa Von Broembsen-Kluever (Partner) appeared on Schedule A of O••• P••••••• L••
        Jan 29, 2019 · Control person joined · fact
      • O••• P••••••• L•• reported RAUM $495.2M, up 38% from $358.1M (2017-02-22 to 2018-01-30)
        Jan 30, 2018 · 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
      Across the graphs

      O••• P••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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