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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SEC-registered adviser
O•••••• C•••••• H••••••• A••• L••
Latest filing Apr 30, 2026
First filing on the tape Feb 14, 2012 · 34 filings
SEC status approved since Mar 30, 2012
RAUM
$852M
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
41
23 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
18
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$852M as of Apr 30, 2026
Mar 28, 2013$1.1B then
HNW client RAUM$0 as of Jan 2, 2025
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Apr 30, 2026
Mar 28, 20130 then
Employees (5.A)41 as of Apr 30, 2026
Mar 28, 201358 then
Private funds18 as of Apr 30, 2026
Mar 28, 201321 then
RAUM -34% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 30, 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
- $40.6MderivedRAUM 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
- unknownderived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- -34%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 vehicles, otherreportedItem 5.G
- Custody
- $1.3B, 24 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$852M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 21reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3B for 24 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
42 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•••••• H••• H•••••••• L••• | Private Equity Fund | $454M | 6 | Feb 14, 2012 |
| O•• I•• C••••••••• F•••• L••• | Private Equity Fund | $420M | 58 | Mar 30, 2022 |
| O•••••• C•••••• A••• V• L••• | Private Equity Fund | $415M | 21 | Mar 30, 2016 |
| O•••••• B••• H••••••• L••• | Private Equity Fund | $240M | 11 | Mar 31, 2020 |
| A••• E••••••••• P••••••• I•• L••• | Private Equity Fund | $220M | 36 | Mar 31, 2015 |
| K•• C••••• H•••••••• L•••no longer reported | Private Equity Fund | $192M | 4 | Mar 31, 2015 |
| O•••••• C•••••• A••• I••• L•• | Private Equity Fund | $97.1M | 96 | Feb 14, 2012 |
| A••• E••••••••• P•••••••• L••• | Private Equity Fund | $83.4M | 80 | Feb 14, 2012 |
| B•••••• I••••••••• H•••••••• L••• | Private Equity Fund | $77.0M | 14 | Mar 28, 2013 |
| O•••••• C•••••• A••• V• ••••••••• L••• | Private Equity Fund | $68.1M | 3 | Mar 30, 2016 |
| O•••••• C•••••• A••• V• ••••••••• F••••• L••• | Private Equity Fund | $47.5M | 23 | Mar 30, 2016 |
| A••• E••••••••• P••••••• ••••• L••• | Private Equity Fund | $46.1M | 4 | Feb 14, 2012 |
| O•••••• A•• H•••••••• L••• | Private Equity Fund | $45.1M | 38 | Mar 30, 2017 |
| K•• S••••••••• C•••••• L•••no longer reported | Private Equity Fund | $37.0M | 2 | Mar 31, 2015 |
| O•••••• C•••••• A••• I•• ••••••••• L••• | Private Equity Fund | $36.1M | 20 | Feb 14, 2012 |
| O•••••• S••••• H•••••••• L••• | Private Equity Fund | $22.3M | 2 | Mar 30, 2016 |
| O•••••• C•••••• A••• C••••• I••• L• P• | Private Equity Fund | $19.9M | 3 | Apr 2, 2014 |
| A••• E••••••••• P••••••• ••••••••• L••• | Private Equity Fund | $16.6M | 10 | Feb 14, 2012 |
| O•••••• C•••••• A••• I•• ••••• L••• | Private Equity Fund | $13.5M | 14 | Feb 14, 2012 |
| O•••••• T••••••••• H••••••• L••• | Private Equity Fund | $12.7M | 2 | Mar 30, 2019 |
| O•••••• G•••• H•••••••• L•no longer reported | Private Equity Fund | $11.9M | 2 | Feb 14, 2012 |
| S••••••• P••••• O•••••• C••••••• L•••no longer reported | Private Equity Fund | $10.0M | 2 | Feb 14, 2012 |
| A••• E••••••••• P••••••• I• ••••••••• L••• | Private Equity Fund | $6.1M | 4 | Mar 31, 2015 |
| O•••••• C•••••• A••• I•• L••• | Private Equity Fund | $4.1M | 33 | Feb 14, 2012 |
| O•••••• C•••••• A•••• L•••no longer reported | Private Equity Fund | $4.1M | 47 | Feb 14, 2012 |
| A•• U•••••• H•••••• L•••no longer reported | Private Equity Fund | $3.3M | 7 | Apr 2, 2014 |
| O•••••• K•• L•••no longer reported | Private Equity Fund | $1.9M | 1 | Feb 14, 2012 |
| A••• D••••••••• P•••••••• L•••no longer reported | Private Equity Fund | $1.8M | 21 | Feb 14, 2012 |
| R••••••••• I•• L•••no longer reported | Private Equity Fund | $1.5M | 3 | Feb 14, 2012 |
| O•••••• C•••••• A••• O•••••••• L•••no longer reported | Private Equity Fund | $879,309 | 5 | Feb 14, 2012 |
| O•••••• M••••••• H•••••••• L•••no longer reported | Private Equity Fund | $388,161 | 58 | Feb 14, 2012 |
| O•••••• C•••••• H••••••• A••• I• L•••no longer reported | Private Equity Fund | $358,402 | 3 | Feb 14, 2012 |
| R••••••••• T••••••• L••no longer reported | Private Equity Fund | $286,930 | 2 | Feb 14, 2012 |
| O•••••• M•••••••• L•••no longer reported | Private Equity Fund | $212,338 | 15 | Feb 14, 2012 |
| R••••••••• L•••no longer reported | Private Equity Fund | $163,378 | 3 | Feb 14, 2012 |
| O•••••• C•••••• H••••••• A••• I•• L•••no longer reported | Private Equity Fund | $59,484 | 1 | Feb 14, 2012 |
| A•• C•••• H•••• L••• | Private Equity Fund | $28,608 | 7 | Feb 14, 2012 |
| O•••••• D••• H•••••••• L• P•no longer reported | Private Equity Fund | $0 | 5 | Apr 2, 2014 |
| O•••••• C•••••• A••• I• ••••••••• L•••no longer reported | Private Equity Fund | $0 | 7 | Feb 14, 2012 |
| O•••••• K••••• L•••no longer reported | Private Equity Fund | $0 | 3 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G•••• J••••••• E••••• · Managing Director, Chief Financial Officer Of Registrant And Relying Adviserscontrolsince 11/2002 · owns less than 5%
- L••• E•••• K••••••• · Managing Director Of Registrant And Certain Relying Adviserscontrolsince 02/1998 · owns less than 5%
- L•••• F••••••••• J•••••• · Managing Director Of Registrant And Certain Relying Adviserscontrolsince 03/1997 · owns less than 5%
- M••••• G••••• · Managing Director Of Registrant And Certain Relying Adviserscontrolsince 08/2002 · owns less than 5%
- M••••• D•••••• R••••• · Managing Director Of Registrant And Certain Relying Adviserscontrolsince 03/1997 · owns less than 5%
- S•••• D••••• T••••• · Regional Managing Director Of Registrant And Certain Relying Adviserscontrolsince 05/1998 · owns less than 5%
- M••••• D•••••• R••••• · Shareholdercontrolsince 12/2007 · owns 25% to 50% of O•••••• M••••••••• G• C••••
- M••••• D•••••• R••••• · Limited Partnercontrolsince 08/1997 · owns 25% to 50% of O•••••• M••••••••• H•••••••• L•••
- S•••• D••••• T••••• · Limited Partnercontrolsince 12/2007 · owns 25% to 50% of O•••••• M••••••••• H•••••••• L•••
- K••••• S•••• · Managing Directorsince 02/2017 · owns less than 5%
- L••••••••• T•••••••• M••••• · Chief Compliance Officersince 02/2015 · owns less than 5%
Entity owners
- O•••••• M••••••••• L• · Shareholder Of Registrantdirect · owns 75% or more
- O•••••• M••••••••• G• C•••• · General Partnerindirect · owns F of O•••••• M••••••••• H•••••••• L•••
- O•••••• M••••••••• H•••••••• L••• · Limited Partnerindirect · owns 75% or more of O•••••• M••••••••• L•
Related persons
Schedule D 7.A
- B•••••• I••••••••• H•••••••• L•••pooled vehicle sponsory
- O•• F••• F••• G• S•••pooled vehicle sponsorn
- O•••••• ••••••••• E••••• I••••••••• M••••••••• E••••••••• L•••pooled vehicle sponsory
- O•••••• C•••••• A••• C••••• G•• L•••pooled vehicle sponsory
- O•••••• C•••••• A••• I•• G•• L•••pooled vehicle sponsory
- O•••••• C•••••• A••• V• G•• L•••pooled vehicle sponsory
- O•••••• G•••• C•••••• P••••••• I•• L• P•pooled vehicle sponsory
- O•••••• G•••• C•••••• P•••••••• L•••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- S••••••• 200030, China6 employees
- South City - 1, Gurgaon, New Delhi (Ncr) - 122 002, India5 employees
- Hong Kong, Hong Kong4 employees
- Singapore, Singapore3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Apr 30, 2026RAUM (Item 5.F) moved from $1,289,822,880 to $852,142,120 (-34.0%) between the annual amendments of 2025-03-31 and 2026-04-30; the peer median change was +8.0% (673 comparable advisers, 5.0th percentile of changes)peers: asset managers, $500M to $1B (673) · 5.1% percentile
What changed
consecutive filings, newest first
- Accounts · 24 to 21Mar 31, 2025 to Apr 30, 2026
- Advisory employees · 15 to 23Mar 31, 2025 to Apr 30, 2026
- Advisory activities · 1 to 2Mar 31, 2025 to Apr 30, 2026
- Pooled vehicle clients · 24 to 21Mar 31, 2025 to Apr 30, 2026
- Employees · 31 to 41Mar 31, 2025 to Apr 30, 2026
- Private funds · 22 to 18Mar 31, 2025 to Apr 30, 2026
- Discretionary RAUM · $1.3B to $852MMar 31, 2025 to Apr 30, 2026
- Pension RAUM · unset to 0.0Mar 31, 2025 to Apr 30, 2026
- Pooled vehicle RAUM · $1.3B to $852MMar 31, 2025 to Apr 30, 2026
- RAUM · $1.3B to $852MMar 31, 2025 to Apr 30, 2026
- Related adviser · false to trueMar 31, 2025 to Apr 30, 2026
- Advisory employees · 20 to 15Jan 2, 2025 to Mar 31, 2025
- Accounts · 23 to 24Jan 2, 2025 to Mar 31, 2025
- Pooled vehicle clients · 23 to 24Jan 2, 2025 to Mar 31, 2025
- Assets in custody · $0 to $1.3BJan 2, 2025 to Mar 31, 2025
- Custody of client assets · false to trueJan 2, 2025 to Mar 31, 2025
- Employees · 34 to 31Jan 2, 2025 to Mar 31, 2025
- Financial planning clients · unset to 0Jan 2, 2025 to Mar 31, 2025
- Other offices · 4 to 5Jan 2, 2025 to Mar 31, 2025
- Private funds · 21 to 22Jan 2, 2025 to Mar 31, 2025
- Discretionary RAUM · $1.6B to $1.3BJan 2, 2025 to Mar 31, 2025
- HNW RAUM · 0.0 to unsetJan 2, 2025 to Mar 31, 2025
- Individual RAUM · 0.0 to unsetJan 2, 2025 to Mar 31, 2025
- Pension RAUM · 0.0 to unsetJan 2, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $1.6B to $1.3BJan 2, 2025 to Mar 31, 2025
- RAUM · $1.6B to $1.3BJan 2, 2025 to Mar 31, 2025
- Accounts · 27 to 23Mar 31, 2023 to Mar 31, 2024
- Advisory employees · 21 to 20Mar 31, 2023 to Mar 31, 2024
- Pooled vehicle clients · 24 to 23Mar 31, 2023 to Mar 31, 2024
- Employees · 37 to 34Mar 31, 2023 to Mar 31, 2024
- Private funds · 25 to 21Mar 31, 2023 to Mar 31, 2024
- Discretionary RAUM · $1.3B to $1.6BMar 31, 2023 to Mar 31, 2024
- Pooled vehicle RAUM · $1.3B to $1.6BMar 31, 2023 to Mar 31, 2024
- RAUM · $1.3B to $1.6BMar 31, 2023 to Mar 31, 2024
- Related bank · true to falseMar 31, 2023 to Mar 31, 2024
- Accounts · 26 to 27Sep 20, 2022 to Mar 31, 2023
- Advisory employees · 26 to 21Sep 20, 2022 to Mar 31, 2023
- Pooled vehicle clients · 26 to 24Sep 20, 2022 to Mar 31, 2023
- Employees · 45 to 37Sep 20, 2022 to Mar 31, 2023
- HQ city · NORTH WHITE PLAINS to MOUNT KISCOSep 20, 2022 to Mar 31, 2023
Signals
4 dated events
- O•••••• C•••••• H••••••• A••• L•• reported RAUM $852.1M, down 34% from $1.3B (2025-03-31 to 2026-04-30)Apr 30, 2026 · RAUM change · derived
- Lawrence Miao (Limited Partner) no longer on Schedule A of O•••••• C•••••• H••••••• A••• L•• (listed 2020-09-20, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Nirbhaya Nitish Agarwal (Managing Director Of O•••••• C•••••• H••••••• A••• Pte. Ltd. (Relying Adviser)) no longer on Schedule A of O•••••• C•••••• H••••••• A••• L•• (listed 2020-09-20, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- O•••••• C•••••• H••••••• A••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 23, 2019 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- O•••••• C•••••• H••••••• A••• L•• · Independent Sponsorsshared crd · capital_provider
- O•••••• C•••••• H••••••• A••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 201-888-1703reportedpublic record, Form ADV, Apr 30, 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