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•••• F••••••• L••
Latest filing Jun 27, 2018
First filing on the tape Dec 14, 2011 · 11 filings
RAUM
$27.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$27.9M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$27.9M as of Mar 22, 2018
Feb 23, 2013$218M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 22, 2018
Feb 23, 20131 then
Employees (5.A)1 as of Mar 22, 2018
Feb 23, 20131 then
Private funds: no history
RAUM -90% over the last fiscal year-54% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 27, 2018; every figure names its basis
- RAUM per advisor
- $27.9MderivedRAUM 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
- $27.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -90%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
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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
- Banks and thrifts$27.9M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••• L•• B•••••Chartered Financial Analyst | Fargo, Nd | Jan 23, 2012 | 31 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• S•••• L•• · Managing Member, Founder And Chief Compliance Officercontrolsince 11/2011 · 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
- Accounts · 2 to 1Mar 21, 2017 to Mar 22, 2018
- Financial planning clients · unset to 1-10Mar 21, 2017 to Mar 22, 2018
- Other offices · unset to 0.0Mar 21, 2017 to Mar 22, 2018
- Discretionary RAUM · $278M to $27.9MMar 21, 2017 to Mar 22, 2018
- RAUM · $278M to $27.9MMar 21, 2017 to Mar 22, 2018
- Discretionary RAUM · $332M to $278MMar 17, 2016 to Mar 21, 2017
- RAUM · $332M to $278MMar 17, 2016 to Mar 21, 2017
- Discretionary RAUM · $285M to $332MMar 26, 2015 to Mar 17, 2016
- RAUM · $285M to $332MMar 26, 2015 to Mar 17, 2016
- Discretionary RAUM · $240M to $285MMar 19, 2014 to Mar 26, 2015
- RAUM · $240M to $285MMar 19, 2014 to Mar 26, 2015
- Discretionary RAUM · $218M to $240MFeb 23, 2013 to Mar 19, 2014
- RAUM · $218M to $240MFeb 23, 2013 to Mar 19, 2014
- Advisory employees · unset to 1.0Mar 6, 2012 to Feb 23, 2013
- BD registered reps · unset to 0.0Mar 6, 2012 to Feb 23, 2013
- Employees · unset to 1.0Mar 6, 2012 to Feb 23, 2013
- State-registered IARs · unset to 1.0Mar 6, 2012 to Feb 23, 2013
- Discretionary RAUM · $235M to $218MMar 6, 2012 to Feb 23, 2013
- RAUM · $235M to $218MMar 6, 2012 to Feb 23, 2013
- Accounts · 0 to 2Dec 22, 2011 to Mar 6, 2012
- Discretionary RAUM · $0 to $235MDec 22, 2011 to Mar 6, 2012
- RAUM · $0 to $235MDec 22, 2011 to Mar 6, 2012
Signals
1 dated events
- O•••• F••••••• L•• reported RAUM $27.9M, down 90% from $278.2M (2017-03-21 to 2018-03-22)Mar 22, 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.
How to reach
public business contact points only, each with its source
- Website
- O••••FINANCELLC.COMreportedpublic record, Form ADV, Sep 19, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $27.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026