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•• E••••• F•••• L••
Latest filing Dec 23, 2020
First filing on the tape Jul 16, 2014 · 9 filings
RAUM
$212M
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
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
$212M gross assets
History
9 filings and snapshots on the tape
RAUM$212M as of Mar 30, 2020
Mar 31, 2015$329M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 31, 20152 then
Employees (5.A)7 as of Mar 30, 2020
Mar 31, 201516 then
Private funds9 as of Mar 30, 2020
Mar 31, 201512 then
RAUM -22% over the last fiscal year-4.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 23, 2020; 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
- $23.6MderivedRAUM 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
- -22%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
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$212M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- 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
Private funds
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•• E••••• F••• I• •••• L••• | Private Equity Fund | $70.0M | 60 | Mar 30, 2012 |
| O•• E••••• F••• I•• ••• L• | Private Equity Fund | $28.0M | 27 | Mar 31, 2014 |
| O•• E••••• F••• I• ••••••••• L••• | Private Equity Fund | $18.6M | 5 | Apr 1, 2013 |
| O•• E••••• F••• I•• L••• | Private Equity Fund | $16.6M | 25 | Mar 30, 2012 |
| O•• E••••• F••• I•• ••• L• | Private Equity Fund | $7.8M | 6 | Mar 31, 2014 |
| O•• E••••• F••• I•• ••• L• | Private Equity Fund | $4.4M | 37 | Mar 31, 2014 |
| O•• P•• C•• L• | Private Equity Fund | $0 | 8 | Mar 31, 2015 |
| O•• R•• C• ••••••••• L•no longer reported | Private Equity Fund | $0 | 3 | Apr 1, 2013 |
| O•• 2• D••• 2• C•• L•no longer reported | Private Equity Fund | $0 | 8 | Apr 1, 2013 |
| O•• S••• C•• L• | Private Equity Fund | $0 | 1 | Mar 29, 2019 |
| O•• 2• D••• 2• C• ••••••••• L•no longer reported | Private Equity Fund | $0 | 5 | Apr 1, 2013 |
| O•• R•• C• L•no longer reported | Private Equity Fund | $0 | 10 | Apr 1, 2013 |
| O•• P•• C••• L• | Private Equity Fund | $0 | 3 | Mar 31, 2015 |
Owners and control persons
Schedule A and B, latest filing
- M••• J••••••• A••••• · Chief Compliance Officercontrolsince 05/2014 · owns less than 5%
- M••••••• J••••• D••••• · Managercontrolsince 01/2011 · owns 50% to 75%
- R•••• C••••••••• B••••••••• · Managercontrolsince 05/2011 · owns 50% to 75%
Related persons
Schedule D 7.A
- O•• E••••• F••• I• G•• L••pooled vehicle sponsorn
- O•• E••••• F••• I•• ••• L••pooled vehicle sponsorn
- O•• P•• C• G•• L••pooled vehicle sponsorn
- O•• S••• C• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · HOUSTON to unsetMar 30, 2020 to Dec 23, 2020
- HQ state · TX to unsetMar 30, 2020 to Dec 23, 2020
- Advisory employees · 10 to 6Mar 29, 2019 to Mar 30, 2020
- Employees · 11 to 7Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $273M to $212MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $273M to $212MMar 29, 2019 to Mar 30, 2020
- RAUM · $273M to $212MMar 29, 2019 to Mar 30, 2020
- Accounts · 8 to 9Mar 31, 2018 to Mar 29, 2019
- Advisory employees · 9 to 10Mar 31, 2018 to Mar 29, 2019
- Pooled vehicle clients · 8 to 9Mar 31, 2018 to Mar 29, 2019
- Private funds · 8 to 9Mar 31, 2018 to Mar 29, 2019
- Discretionary RAUM · $227M to $273MMar 31, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $227M to $273MMar 31, 2018 to Mar 29, 2019
- RAUM · $227M to $273MMar 31, 2018 to Mar 29, 2019
- Accounts · 12 to 8Mar 30, 2017 to Mar 31, 2018
- Pooled vehicle clients · unset to 8.0Mar 30, 2017 to Mar 31, 2018
- Assets in custody · 245233101.0 to unsetMar 30, 2017 to Mar 31, 2018
- Custody of client assets · true to falseMar 30, 2017 to Mar 31, 2018
- Employees · 10 to 11Mar 30, 2017 to Mar 31, 2018
- Other offices · unset to 0.0Mar 30, 2017 to Mar 31, 2018
- Private funds · 12 to 8Mar 30, 2017 to Mar 31, 2018
- Discretionary RAUM · $245M to $227MMar 30, 2017 to Mar 31, 2018
- Pooled vehicle RAUM · unset to 226890380.0Mar 30, 2017 to Mar 31, 2018
- RAUM · $245M to $227MMar 30, 2017 to Mar 31, 2018
- Assets in custody · $261M to $245MNov 10, 2016 to Mar 30, 2017
- Employees · 11 to 10Nov 10, 2016 to Mar 30, 2017
- Discretionary RAUM · $261M to $245MNov 10, 2016 to Mar 30, 2017
- RAUM · $261M to $245MNov 10, 2016 to Mar 30, 2017
- Advisory employees · 7 to 9Mar 31, 2015 to Mar 30, 2016
- Assets in custody · $329M to $261MMar 31, 2015 to Mar 30, 2016
- Employees · 16 to 11Mar 31, 2015 to Mar 30, 2016
- State-registered IARs · 2 to 0Mar 31, 2015 to Mar 30, 2016
- Discretionary RAUM · $329M to $261MMar 31, 2015 to Mar 30, 2016
- RAUM · $329M to $261MMar 31, 2015 to Mar 30, 2016
- Related adviser · true to falseMar 31, 2015 to Mar 30, 2016
- Accounts · 10 to 12Jul 16, 2014 to Mar 31, 2015
- Advisory employees · 8 to 7Jul 16, 2014 to Mar 31, 2015
- Assets in custody · $303M to $329MJul 16, 2014 to Mar 31, 2015
- Employees · 13 to 16Jul 16, 2014 to Mar 31, 2015
- State-registered IARs · 8 to 2Jul 16, 2014 to Mar 31, 2015
Signals
1 dated events
- O•• E••••• F•••• L•• filed its initial SEC registration (Form ADV)Jul 16, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O•• E••••• F•••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- OFSFUND.COMreportedpublic record, Form ADV, Sep 18, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026