DFX Intelligence
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SEC-registered adviser
O••• D••• I••••••••• M••••••••• L•••
Latest filing Mar 27, 2026
First filing on the tape Mar 14, 2012 · 30 filings
SEC status approved since Nov 14, 2011
RAUM
$183M
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
17
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$183M as of Mar 27, 2026
Mar 14, 2012$574M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 8, 20130 then
Employees (5.A)17 as of Mar 27, 2026
Mar 8, 20132 then
Private funds2 as of Mar 27, 2026
Mar 27, 20155 then
RAUM +21% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $91.7MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%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 businesses and institutions, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$183M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• C•••• •• S•••• F••• L•••••• | Hedge Fund | $118M | 61 | Feb 3, 2012 |
| T•• C•••• A••••••• F••• L••••••no longer reported | Hedge Fund | $50.9M | 14 | Aug 24, 2012 |
| T••••• O••••••••• F••• L••••••no longer reported | Hedge Fund | $31.1M | 23 | Feb 3, 2012 |
| O••• D••• C•••• H••••••••• F•••no longer reported | Hedge Fund | $25.4M | 11 | Apr 11, 2018 |
| O••• D••• G•••••• C•••• M••••• F••• L•••••• | Hedge Fund | $22.3M | 10 | Mar 30, 2016 |
| O••• D••• G•••••• C•••• F•••no longer reported | Hedge Fund | $6.1M | 8 | Apr 11, 2018 |
| C•••• D••••••••• C•••••• P•••••••••no longer reported | Hedge Fund | $5.1M | 16 | Feb 3, 2012 |
| C•••• H••••••••• P••••••••• M••••• F••• L•••no longer reported | Hedge Fund | $3.7M | 18 | Feb 3, 2012 |
| O••• D••• S•••• P•••••no longer reported | Hedge Fund | $0 | 11 | Mar 27, 2018 |
Owners and control persons
Schedule A and B, latest filing
- D•••• V•••••••• · Directorcontrolsince 07/2022 · owns less than 5%
- K•• S•••••• · Chief Executive Officer, Chief Investment Officer And Directorcontrolsince 11/2017 · owns less than 5%
- W•••• Y••• Y•• · Directorcontrolsince 08/2024 · owns less than 5%
- W•• B•• · Directorcontrolsince 11/2017 · owns less than 5%
- K•• S•••••• · Sole S••••Holdercontrolsince 07/2011 · owns 75% or more of O••• S••••• I••••••••• L•••
- S•••••• S••••••• M•••••• · Chief Compliance Officersince 03/2024 · owns less than 5%
Entity owners
- O••• D••• C•••••• M••••••••• L••• · Sole S••••Holderdirect · owns 75% or more
- O••• S••••• I••••••••• L••• · Sole S••••Holderindirect · owns 75% or more of O••• D••• C•••••• M••••••••• L•••
Related persons
Schedule D 7.A
- O••• ••• L•••investment advisern
- S••••••• H•••••••• P•••••• F••• M••••••••• L••••••investment advisern
Advisers that list O••• D••• I••••••••• M••••••••• L••• as a related person
- 158895 n
Offices
Schedule D 1.F, the 25 largest
- Pudong S•••••••, China9 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $152M to $183MApr 10, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $152M to $183MApr 10, 2025 to Mar 27, 2026
- RAUM · $152M to $183MApr 10, 2025 to Mar 27, 2026
- Employees · 18 to 17Sep 6, 2024 to Apr 10, 2025
- Financial planning clients · unset to Sep 6, 2024 to Apr 10, 2025
- Discretionary RAUM · $140M to $152MSep 6, 2024 to Apr 10, 2025
- Pooled vehicle RAUM · $140M to $152MSep 6, 2024 to Apr 10, 2025
- RAUM · $140M to $152MSep 6, 2024 to Apr 10, 2025
- Discretionary RAUM · $145M to $140MMar 28, 2024 to Sep 3, 2024
- Pooled vehicle RAUM · $145M to $140MMar 28, 2024 to Sep 3, 2024
- RAUM · $145M to $140MMar 28, 2024 to Sep 3, 2024
- Accounts · 5 to 2Mar 28, 2023 to Mar 28, 2024
- Pooled vehicle clients · 4 to 2Mar 28, 2023 to Mar 28, 2024
- Other offices · 2 to 1Mar 28, 2023 to Mar 28, 2024
- Organization form · Corporation to Other (specify)Mar 28, 2023 to Mar 28, 2024
- Private funds · 4 to 2Mar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $282M to $145MMar 28, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $238M to $145MMar 28, 2023 to Mar 28, 2024
- RAUM · $282M to $145MMar 28, 2023 to Mar 28, 2024
- Accounts · 7 to 5Oct 31, 2022 to Mar 28, 2023
- Advisory employees · 11 to 10Oct 31, 2022 to Mar 28, 2023
- Employees · 19 to 18Oct 31, 2022 to Mar 28, 2023
- Private funds · 5 to 4Oct 31, 2022 to Mar 28, 2023
- Discretionary RAUM · $426M to $282MOct 31, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $333,191 to $0Oct 31, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $369M to $238MOct 31, 2022 to Mar 28, 2023
- RAUM · $426M to $282MOct 31, 2022 to Mar 28, 2023
- Advisory employees · 9 to 11Aug 13, 2021 to Mar 31, 2022
- HQ city · PUDONG S••••••• to SAN FRANCISCOAug 13, 2021 to Mar 31, 2022
- HQ state · unset to CAAug 13, 2021 to Mar 31, 2022
- Discretionary RAUM · $418M to $426MAug 13, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $4.5M to $333,191Aug 13, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $367M to $369MAug 13, 2021 to Mar 31, 2022
- RAUM · $422M to $426MAug 13, 2021 to Mar 31, 2022
- Advisory employees · 8 to 9Aug 7, 2020 to Mar 31, 2021
- Employees · 17 to 19Aug 7, 2020 to Mar 31, 2021
- Discretionary RAUM · $321M to $418MAug 7, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $3.8M to $4.5MAug 7, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $275M to $367MAug 7, 2020 to Mar 31, 2021
- RAUM · $324M to $422MAug 7, 2020 to Mar 31, 2021
Signals
10 dated events
- J••• D•••••• M••••• (Director) no longer on Schedule A of O••• D••• I••••••••• M••••••••• L••• (listed 2024-03-28, absent 2024-09-03)Sep 3, 2024 · Control person left · inference
- Yeo Yen W••• (Director) appeared on Schedule A of O••• D••• I••••••••• M••••••••• L•••Sep 3, 2024 · Control person joined · fact
- Malcolm Stephen Squire (Chief Compliance Officer) appeared on Schedule A of O••• D••• I••••••••• M••••••••• L•••Mar 28, 2024 · Control person joined · fact
- Patrick Steven Norris (Chief Compliance Officer) no longer on Schedule A of O••• D••• I••••••••• M••••••••• L••• (listed 2023-03-28, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- O••• D••• I••••••••• M••••••••• L••• reported RAUM $145.3M, down 48% from $281.9M (2023-03-28 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- O••• D••• I••••••••• M••••••••• L••• reported RAUM $281.9M, down 34% from $426.3M (2022-10-31 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- J••• D•••••• M••••• (Director) appeared on Schedule A of O••• D••• I••••••••• M••••••••• L•••Aug 11, 2022 · Control person joined · fact
- V•••••••• D••• (Director) appeared on Schedule A of O••• D••• I••••••••• M••••••••• L•••Aug 11, 2022 · Control person joined · fact
- Patrick Steven Norris (Chief Compliance Officer) appeared on Schedule A of O••• D••• I••••••••• M••••••••• L•••Aug 13, 2021 · Control person joined · fact
- O••• D••• I••••••••• M••••••••• L••• reported RAUM $273.4M, down 28% from $377.5M (2018-08-02 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/open-door-investment-managementreportedpublic record, Form ADV, Mar 27, 2026
- Website
- w••.o•••••.comreportedpublic record, Form ADV, Mar 27, 2026
- Principal office phone
- (415) 766 5888reportedpublic record, Form ADV, Mar 27, 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