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•••••• P•••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Feb 13, 2012 · 20 filings
SEC status approved since Mar 30, 2012
RAUM
$1.5B
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.5B
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
16
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.5B as of Apr 1, 2026
Mar 28, 2013$509M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2026
Mar 28, 20130 then
Employees (5.A)10 as of Apr 1, 2026
Mar 28, 20136 then
Private funds16 as of Apr 1, 2026
Mar 28, 20135 then
RAUM -1.2% over the last fiscal year+5.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.5BderivedRAUM 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
- $82.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.2%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 vehiclesreportedItem 5.G
- Custody
- $713,632, 3 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
- 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)
- 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$1.5B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 18reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $713,632 for 3 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• S•••••• M••••• | Austin, Tx | May 10, 2022 | 10 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
21 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•••••• O••••••••• M••••• I• •• L• | Other Private Fund | $536M | 3 | Mar 27, 2020 |
| O•••••• O••••••••• F••• I• O••••••• L• | Other Private Fund | $486M | 15 | Mar 27, 2020 |
| O•••••• O••••••••• F••• I• L• | Other Private Fund | $235M | 81 | Mar 27, 2020 |
| O•••••• O••••••••• F••• I•• O••••••• M••••• L• | Other Private Fund | $152M | 15 | Mar 30, 2015 |
| O•••••• O••••••••• F••• I•• L• | Other Private Fund | $102M | 58 | Mar 30, 2015 |
| O•••••• O••••••••• F••• V• O••••••• | Other Private Fund | $83.4M | 1 | Mar 21, 2024 |
| O•••••• O••••••••• M••••• I• •• L• | Other Private Fund | $80.5M | 3 | Mar 27, 2020 |
| O•••••• D••• L•• | Real Estate Fund | $63.9M | 13 | Mar 30, 2016 |
| O•••••• T•••• I• L• | Other Private Fund | $56.3M | 22 | Mar 25, 2021 |
| O•• L••••••• L•• | Other Private Fund | $49.2M | 40 | Mar 24, 2023 |
| O•••••• O••••••••• M••••• V• •• L• | Other Private Fund | $31.7M | 3 | Mar 21, 2024 |
| O•••••• O••••••••• F••• V• L• | Other Private Fund | $27.9M | 17 | Mar 21, 2024 |
| B•••••••• E•••• L•no longer reported | Hedge Fund | $14.8M | 17 | Mar 28, 2018 |
| O•••••• P••••••• V• O•••••••• L• | Hedge Fund | $2.2M | 1 | Mar 27, 2014 |
| O•••••• P••••••• I••• L• | Hedge Fund | $812,714 | 5 | Feb 13, 2012 |
| O•••••• P••••••• I• O••••••• L• | Hedge Fund | $766,234 | 1 | Mar 28, 2013 |
| O•••••• P•••••••• L•no longer reported | Hedge Fund | $133,262 | 3 | Feb 13, 2012 |
| O•••••• P••••••• I•• L• | Hedge Fund | $121,952 | 3 | Mar 28, 2013 |
| O•••••• O••••••• H••••••• I• L• | Hedge Fund | $22,024 | 11 | Feb 13, 2012 |
| O•••••• O••••••••• O••••••• F••• V• L• | Other Private Fund | $0 | 1 | Apr 10, 2024 |
| O•••••• O••••••••• M••••• V• •• L• | Other Private Fund | $0 | 3 | Mar 21, 2024 |
Owners and control persons
Schedule A and B, latest filing
- K•••••• J•••••• C•••••••• · Chief Compliance Officer, Chief Financial Officercontrolsince 06/2010 · owns less than 5%
- K••••• J••••• R••••••• · Partnercontrolsince 05/2019 · owns less than 5%
- Y••••• J••••••• D•••• · Partnercontrolsince 06/2009 · owns less than 5%
- Y••••• J••••••• D•••• · Partner And Membercontrolsince 05/2019 · owns 25% to 50% of O•••••• C•••••• P••••••• H••••••• G•• L••
- E••••• T•••••• •••• · Partnersince 05/2019 · owns 50% to 75% of O•••••• C•••••• P••••••• H••••••• G•• L••
Entity owners
- O•••••• C•••••• P••••••• H••••••• L• · Memberdirect · owns 75% or more
- O•••••• C•••••• P••••••• H••••••• G•• L•• · General Partnerindirect · owns F of O•••••• C•••••• P••••••• H••••••• L•
Related persons
Schedule D 7.A
- 4•• M••••••••• G•••investment advisern
- O•• D•• L••pooled vehicle sponsorn
- O•• L•••••• G•• L••pooled vehicle sponsorn
- O•••••• C•••••• P••••••• H••••••• G•• L••pooled vehicle sponsorn
- O•••••• O••••••••• F••• I•• G•• L••pooled vehicle sponsorn
- O•••••• O••••••••• F••• I• G•• L••pooled vehicle sponsorn
- O•••••• O••••••••• F••• V• G•• L••pooled vehicle sponsorn
- O•••••• O••••••••• O••••••• F••• V• G•• L••pooled vehicle sponsorn
- O•••••• T•••• I• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Austin, TX2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 20 to 18Apr 1, 2025 to Apr 1, 2026
- Advisory employees · 13 to 10Apr 1, 2025 to Apr 1, 2026
- Pooled vehicle clients · 20 to 18Apr 1, 2025 to Apr 1, 2026
- Assets in custody · $2.6M to $713,632Apr 1, 2025 to Apr 1, 2026
- Employees · 13 to 10Apr 1, 2025 to Apr 1, 2026
- Private funds · 17 to 16Apr 1, 2025 to Apr 1, 2026
- Discretionary RAUM · $1.5B to $1.4BApr 1, 2025 to Apr 1, 2026
- Non-discretionary RAUM · $294,276 to $118MApr 1, 2025 to Apr 1, 2026
- Pooled vehicle RAUM · $1.5B to $1.5BApr 1, 2025 to Apr 1, 2026
- RAUM · $1.5B to $1.5BApr 1, 2025 to Apr 1, 2026
- Accounts · 22 to 20Apr 10, 2024 to Apr 1, 2025
- Advisory employees · 17 to 13Apr 10, 2024 to Apr 1, 2025
- Charity clients · 0.0 to unsetApr 10, 2024 to Apr 1, 2025
- Corporate clients · 0.0 to unsetApr 10, 2024 to Apr 1, 2025
- HNW clients · 0.0 to unsetApr 10, 2024 to Apr 1, 2025
- Individual clients · 0.0 to unsetApr 10, 2024 to Apr 1, 2025
- Pension plan clients · 0.0 to unsetApr 10, 2024 to Apr 1, 2025
- Pooled vehicle clients · 22 to 20Apr 10, 2024 to Apr 1, 2025
- Assets in custody · $3.9M to $2.6MApr 10, 2024 to Apr 1, 2025
- Employees · 17 to 13Apr 10, 2024 to Apr 1, 2025
- Financial planning clients · unset to Apr 10, 2024 to Apr 1, 2025
- Private funds · 19 to 17Apr 10, 2024 to Apr 1, 2025
- Discretionary RAUM · $1.3B to $1.5BApr 10, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $766,234 to $294,276Apr 10, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $1.3B to $1.5BApr 10, 2024 to Apr 1, 2025
- RAUM · $1.3B to $1.5BApr 10, 2024 to Apr 1, 2025
- Private funds · 18 to 19Mar 21, 2024 to Apr 10, 2024
- Accounts · 18 to 22May 18, 2023 to Mar 21, 2024
- Advisory employees · 15 to 17May 18, 2023 to Mar 21, 2024
- Pooled vehicle clients · 18 to 22May 18, 2023 to Mar 21, 2024
- Assets in custody · $16.0M to $3.9MMay 18, 2023 to Mar 21, 2024
- Employees · 15 to 17May 18, 2023 to Mar 21, 2024
- Private funds · 14 to 18May 18, 2023 to Mar 21, 2024
- Discretionary RAUM · $1.3B to $1.3BMay 18, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $9.9M to $766,234May 18, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $1.3B to $1.3BMay 18, 2023 to Mar 21, 2024
- RAUM · $1.3B to $1.3BMay 18, 2023 to Mar 21, 2024
- Assets in custody · $25.6M to $16.0MJul 25, 2022 to Mar 24, 2023
- Discretionary RAUM · $1.1B to $1.3BJul 25, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $13.8M to $9.9MJul 25, 2022 to Mar 24, 2023
Signals
4 dated events
- Jeffrey Darren O'Brien (Partner) no longer on Schedule A of O•••••• C•••••• P•••••••• L•• (listed 2020-03-27, absent 2021-03-25)Mar 25, 2021 · Control person left · inference
- O•••••• C•••••• P•••••••• L•• reported RAUM $818.8M, up 47% from $557.7M (2019-09-12 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Jeffrey Darren O'Brien (Partner) appeared on Schedule A of O•••••• C•••••• P•••••••• L••Sep 12, 2019 · Control person joined · fact
- Ruderman Julie Klaff (Partner) appeared on Schedule A of O•••••• C•••••• P•••••••• L••Sep 12, 2019 · Control person joined · fact
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••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-263-7800reportedpublic record, Form ADV, Apr 1, 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
- $1.5Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
O•••••• C•••••• P•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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