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Former SEC-registered adviser

O•• E••• C•••••• A•••••••• L•••

Former SEC-registered adviserBoca Raton, FloridaCRD 161863SEC 801-74327IAPD
Latest filing Mar 8, 2017
First filing on the tape Feb 16, 2012 · 14 filings
RAUM
$141M
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
6
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$141M gross assets
History
14 filings and snapshots on the tape
RAUM$141M as of Mar 8, 2017
Mar 20, 2013$188M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 8, 2017
Mar 20, 20130 then
Employees (5.A)6 as of Mar 8, 2017
Mar 20, 20137 then
Private funds2 as of Mar 8, 2017
Mar 20, 20131 then
RAUM -21% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 8, 2017; 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
$35.2MderivedRAUM 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
-21%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
$121M, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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)
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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$121M for 3 clientsreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O•• E••• P••••••• M••••• L•••Hedge Fund$77.3M13Feb 16, 2012
      O•• O••••••••• L•••Hedge Fund$14.8M5Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• J••••• A•••••• · Managing Partnercontrol
        since 03/2006 · owns 75% or more
      • C•••••••• J••••• A•••••• · Managing Membercontrol
        since 06/2006 · owns 75% or more of O•• E••• P••••••• C•••••• A•••••••• L••
      • G••••••• W•••• E• · Chief Compliance Officer
        since 03/2015 · owns less than 5%
      Entity owners
      • O•• E••• P••••••• C•••••• A•••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • O•• E••• P••••••• C•••••• M••••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $178M to $121M
        Jun 17, 2016 to Mar 8, 2017
      • Discretionary RAUM · $178M to $141M
        Jun 17, 2016 to Mar 8, 2017
      • RAUM · $178M to $141M
        Jun 17, 2016 to Mar 8, 2017
      • Advisory employees · 4 to 2
        Jul 17, 2015 to Mar 21, 2016
      • Assets in custody · $194M to $178M
        Jul 17, 2015 to Mar 21, 2016
      • Employees · 9 to 6
        Jul 17, 2015 to Mar 21, 2016
      • Discretionary RAUM · $194M to $178M
        Jul 17, 2015 to Mar 21, 2016
      • RAUM · $194M to $178M
        Jul 17, 2015 to Mar 21, 2016
      • Advisory employees · 3 to 4
        May 13, 2014 to Mar 26, 2015
      • Assets in custody · unset to 193902302.0
        May 13, 2014 to Mar 26, 2015
      • Custody of client assets · false to true
        May 13, 2014 to Mar 26, 2015
      • Employees · 4 to 9
        May 13, 2014 to Mar 26, 2015
      • Discretionary RAUM · $181M to $194M
        May 13, 2014 to Mar 26, 2015
      • RAUM · $181M to $194M
        May 13, 2014 to Mar 26, 2015
      • Employees · 6 to 4
        Mar 31, 2014 to May 13, 2014
      • HQ city · NEW YORK to BOCA RATON
        Mar 31, 2014 to May 13, 2014
      • HQ state · NY to FL
        Mar 31, 2014 to May 13, 2014
      • Discretionary RAUM · $199M to $181M
        Mar 31, 2014 to May 13, 2014
      • RAUM · $199M to $181M
        Mar 31, 2014 to May 13, 2014
      • Accounts · 3 to 4
        Mar 20, 2013 to Mar 31, 2014
      • Advisory employees · 4 to 3
        Mar 20, 2013 to Mar 31, 2014
      • Employees · 7 to 6
        Mar 20, 2013 to Mar 31, 2014
      • Private funds · 1 to 2
        Mar 20, 2013 to Mar 31, 2014
      • Discretionary RAUM · $188M to $199M
        Mar 20, 2013 to Mar 31, 2014
      • RAUM · $188M to $199M
        Mar 20, 2013 to Mar 31, 2014
      • Assets in custody · 226424000.0 to unset
        Nov 27, 2012 to Mar 20, 2013
      • Custody of client assets · true to false
        Nov 27, 2012 to Mar 20, 2013
      • Discretionary RAUM · $226M to $188M
        Nov 27, 2012 to Mar 20, 2013
      • RAUM · $226M to $188M
        Nov 27, 2012 to Mar 20, 2013
      • Related bank · false to true
        Nov 27, 2012 to Mar 20, 2013
      • Advisory employees · unset to 4.0
        Mar 20, 2012 to Nov 27, 2012
      • BD registered reps · unset to 0.0
        Mar 20, 2012 to Nov 27, 2012
      • Employees · unset to 7.0
        Mar 20, 2012 to Nov 27, 2012
      • State-registered IARs · unset to 0.0
        Mar 20, 2012 to Nov 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