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•••••••• C•••••• M••••••••• L••

Former SEC-registered adviserValletta,Valletta, CRD 159874SEC 801-111702IAPD
Latest filing Mar 31, 2021
First filing on the tape Aug 17, 2017 · 9 filings
RAUM
$1.4B
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$1.2M gross assets
History
9 filings and snapshots on the tape
RAUM$1.4B as of Mar 31, 2021
Mar 29, 2018$3.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 29, 20180 then
Employees (5.A)3 as of Mar 31, 2021
Mar 29, 201820 then
Private funds1 as of Mar 31, 2021
Mar 29, 20183 then
RAUM -43% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2021; 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
$98.6MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-43%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-based, otherreportedItem 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.4B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
14reported
Financial planning clients
n/areported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O•••••••• P••••••••• E••••••• S••••• O••••••••• F••• L•no longer reportedHedge Fund$309M41Mar 23, 2016
      O•••••••• E••••••• F•••••••• S••••• O••••••••• F••• L••Hedge Fund$1.2M3Mar 31, 2021
      O•••••••• I••••••••• S•• A••••• F•• A•• O• B••••• O• O•••••••• I••••••••• 1••••• S••••••••• P••••••••no longer reportedOther Private Fund$00Mar 29, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • G•••• C••••••••• R••••••• · Chief Investment Officer, O•••••••• Capital Management L••••••control
        since 11/2017 · owns less than 5%
      • M•••••••• D••••• J•••• · Director, O•••••••• C•••••• M••••••••• L••control
        since 08/2008 · owns less than 5%
      • N•••••••• W••••••• C••••••••• · Director, O•••••••• Capital Managment Ltdcontrol
        since 08/2008 · owns less than 5%
      • T••••• R••••••• J••• · Chief Compliance Officercontrol
        since 10/2017 · owns less than 5%
      • T•••••• M••••••• J••••• · Director, O•••••••• C•••••• M••••••••• L••control
        since 12/2018 · owns less than 5%
      Entity owners
      • O•••••••• H••••••• L•• · Majority Shareholder Of O•••••••• C•••••• M••••••••• L••
        direct · owns 75% or more
      • A••• F•••••••• S••••••• ••••• C••••••• L•••••• · Trustee Of L•••••• P•••••• P•••
        indirect · owns 25% to 50% of O•••••••• H••••••• L••
      • L•••••• P•••••• P••• · Pension P•••
        indirect · owns 75% or more of O•••••••• H••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list O•••••••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 1
        Mar 31, 2020 to Mar 31, 2021
      • Employees · 14 to 3
        Mar 31, 2020 to Mar 31, 2021
      • Private funds · 6 to 1
        Mar 31, 2020 to Mar 31, 2021
      • Discretionary RAUM · $2.4B to $1.4B
        Mar 31, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $2.4B to $1.4B
        Mar 31, 2020 to Mar 31, 2021
      • RAUM · $2.4B to $1.4B
        Mar 31, 2020 to Mar 31, 2021
      • Accounts · 11 to 14
        Nov 14, 2019 to Mar 31, 2020
      • Pooled vehicle clients · 11 to 14
        Nov 14, 2019 to Mar 31, 2020
      • Employees · 20 to 14
        Nov 14, 2019 to Mar 31, 2020
      • Discretionary RAUM · $2.8B to $2.4B
        Nov 14, 2019 to Mar 31, 2020
      • Pooled vehicle RAUM · $2.8B to $2.4B
        Nov 14, 2019 to Mar 31, 2020
      • RAUM · $2.8B to $2.4B
        Nov 14, 2019 to Mar 31, 2020
      • Private funds · 4 to 6
        Jun 28, 2019 to Nov 14, 2019
      • Accounts · 12 to 11
        Mar 29, 2019 to Jun 28, 2019
      • Pooled vehicle clients · 12 to 11
        Mar 29, 2019 to Jun 28, 2019
      • Private funds · 5 to 4
        Mar 29, 2019 to Jun 28, 2019
      • Accounts · 8 to 12
        Apr 12, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 8 to 12
        Apr 12, 2018 to Mar 29, 2019
      • Private funds · 3 to 5
        Apr 12, 2018 to Mar 29, 2019
      • Discretionary RAUM · $3.4B to $2.8B
        Apr 12, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $3.4B to $2.8B
        Apr 12, 2018 to Mar 29, 2019
      • RAUM · $3.4B to $2.8B
        Apr 12, 2018 to Mar 29, 2019
      • Accounts · 5 to 8
        Oct 25, 2017 to Mar 29, 2018
      • Advisory employees · 2 to 3
        Oct 25, 2017 to Mar 29, 2018
      • Pooled vehicle clients · 7 to 8
        Oct 25, 2017 to Mar 29, 2018
      • Employees · 13 to 20
        Oct 25, 2017 to Mar 29, 2018
      • Private funds · 2 to 3
        Oct 25, 2017 to Mar 29, 2018
      • Discretionary RAUM · $3.1B to $3.4B
        Oct 25, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · $3.1B to $3.4B
        Oct 25, 2017 to Mar 29, 2018
      • RAUM · $3.1B to $3.4B
        Oct 25, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 7.0
        Aug 17, 2017 to Oct 25, 2017
      • Other offices · unset to 0.0
        Aug 17, 2017 to Oct 25, 2017
      • Private funds · 4 to 2
        Aug 17, 2017 to Oct 25, 2017
      • Pooled vehicle RAUM · unset to 3090594000.0
        Aug 17, 2017 to Oct 25, 2017
      • Related bank · false to true
        Aug 17, 2017 to Oct 25, 2017
      Signals
      10 dated events
      • Reginald Christopher Gate (Chief Investment Officer, Oceanwood Capital Management Limited) appeared on Schedule A of O•••••••• C•••••• M••••••••• L••
        Mar 31, 2021 · Control person joined · fact
      • S••••• C••••••• (Chief Operations Officer, O•••••••• C•••••• M••••••••• L••) no longer on Schedule A of O•••••••• C•••••• M••••••••• L•• (listed 2020-03-31, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • O•••••••• C•••••• M••••••••• L•• reported RAUM $1.4B, down 43% from $2.4B (2020-03-31 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • S••••• C••••••• (Chief Operations Officer, O•••••••• C•••••• M••••••••• L••) appeared on Schedule A of O•••••••• C•••••• M••••••••• L••
        Mar 31, 2020 · Control person joined · fact
      • Ian Nicholas Chalmers (Director/Ceo, O•••••••• C•••••• M••••••••• L••) no longer on Schedule A of O•••••••• C•••••• M••••••••• L•• (listed 2019-06-28, absent 2019-11-14)
        Nov 14, 2019 · Control person left · inference
      • J••••• M•••••• T••••• (Director/Coo, O•••••••• C•••••• M••••••••• L••) appeared on Schedule A of O•••••••• C•••••• M••••••••• L••
        Mar 29, 2019 · Control person joined · fact
      • Ian Nicholas Chalmers (Director/Ceo, O•••••••• C•••••• M••••••••• L••) appeared on Schedule A of O•••••••• C•••••• M••••••••• L••
        Mar 29, 2019 · Control person joined · fact
      • J••••• Camilleri (Director, O•••••••• C•••••• M••••••••• L••) no longer on Schedule A of O•••••••• C•••••• M••••••••• L•• (listed 2018-04-12, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Simon Dean Bucknell (Director/Cfo, O•••••••• C•••••• M••••••••• L••) no longer on Schedule A of O•••••••• C•••••• M••••••••• L•• (listed 2018-04-12, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • O•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 17, 2017 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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