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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

O•• I•••••

Former SEC-registered adviserChicago, IllinoisCRD 159208SEC 801-72786IAPD
Legal name O•• F••••••• I•••
Latest filing Jan 30, 2014
First filing on the tape Dec 12, 2011 · 5 filings
RAUM
$40.3M
reported, Item 5.F
Discretionary
78%
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$40.3M as of Jan 30, 2014
Feb 6, 2013$20.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 30, 2014
Dec 12, 20110 then
Employees (5.A)2 as of Jan 30, 2014
Feb 6, 20132 then
Private funds: no history
RAUM +101% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 30, 2014; every figure names its basis
RAUM per advisor
$40.3MderivedRAUM 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
$195,620derivedRAUM over accounts (5.F.2.f)
Discretionary
78%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+101%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, subscriptionreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, publicationsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
206reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••••• N••••• R•••• · Ceo-Chief Compliance Officercontrol
    since 12/2010 · owns 25% to 50%
  • N•••••••• D••••• E••••• · Ctocontrol
    since 11/2012 · owns 25% to 50%
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
  • Accounts · 254 to 206
    Feb 6, 2013 to Jan 30, 2014
  • Financial planning clients · 11-25 to 51-100
    Feb 6, 2013 to Jan 30, 2014
  • Discretionary RAUM · $13.0M to $31.6M
    Feb 6, 2013 to Jan 30, 2014
  • Non-discretionary RAUM · $7.0M to $8.7M
    Feb 6, 2013 to Jan 30, 2014
  • RAUM · $20.0M to $40.3M
    Feb 6, 2013 to Jan 30, 2014
  • Accounts · 10 to 254
    Apr 27, 2012 to Feb 6, 2013
  • Advisory employees · 0 to 1
    Apr 27, 2012 to Feb 6, 2013
  • Employees · unset to 2.0
    Apr 27, 2012 to Feb 6, 2013
  • Financial planning clients · 0 to 11-25
    Apr 27, 2012 to Feb 6, 2013
  • State-registered IARs · 0 to 1
    Apr 27, 2012 to Feb 6, 2013
  • Discretionary RAUM · $400,000 to $13.0M
    Apr 27, 2012 to Feb 6, 2013
  • Non-discretionary RAUM · $1.7M to $7.0M
    Apr 27, 2012 to Feb 6, 2013
  • RAUM · $2.1M to $20.0M
    Apr 27, 2012 to Feb 6, 2013
  • Accounts · unset to 10.0
    Jan 26, 2012 to Apr 27, 2012
  • Discretionary RAUM · unset to 400000.0
    Jan 26, 2012 to Apr 27, 2012
  • Non-discretionary RAUM · unset to 1700000.0
    Jan 26, 2012 to Apr 27, 2012
  • RAUM · unset to 2100000.0
    Jan 26, 2012 to Apr 27, 2012
Signals
No event on the tape.
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