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•• S•••• P••••••• L•••••
Latest filing Mar 26, 2026
First filing on the tape Jun 29, 2015 · 14 filings
SEC status approved since Jul 8, 2015
RAUM
$290M
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
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$290M as of Mar 26, 2026
Mar 30, 2016$338M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 30, 20160 then
Employees (5.A)3 as of Mar 26, 2026
Mar 30, 20165 then
Private funds4 as of Mar 26, 2026
Mar 30, 20163 then
RAUM +11% over the last fiscal year+2.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; 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
- $32.2MderivedRAUM 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
- +11%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
- $774,088, 9 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)
- 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
- Pooled investment vehicles$290M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $774,088 for 9 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
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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•• S•••• E••••• P••••••• L••• | Private Equity Fund | $243M | 26 | Apr 2, 2012 |
| O•• S•••• H••••••• L• | Private Equity Fund | $20.8M | 26 | Apr 1, 2013 |
| O•• S•••• H••••••• I• L• | Private Equity Fund | $0 | 26 | Mar 28, 2014 |
| O•• S•••• H••••••• I•• L• | Private Equity Fund | $0 | 26 | Mar 29, 2017 |
Owners and control persons
Schedule A and B, latest filing
- G••••••• V•••• · Managing Membercontrolsince 02/2012 · owns 25% to 50%
- I•••••• R•••••• I••••• · Managing Member & Chief Compliance Officercontrolsince 10/2009 · owns 25% to 50%
- H••••• E•••••• A• ••• · Membersince 10/2009 · owns 5% to 10%
Related persons
Schedule D 7.A
- O•• S•••• E••••• P••••••• G•• L•••••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $211,267 to $774,088Mar 27, 2025 to Mar 26, 2026
- Discretionary RAUM · $261M to $290MMar 27, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $261M to $290MMar 27, 2025 to Mar 26, 2026
- RAUM · $261M to $290MMar 27, 2025 to Mar 26, 2026
- Assets in custody · $61,000 to $211,267Jan 8, 2025 to Mar 27, 2025
- Financial planning clients · unset to Jan 8, 2025 to Mar 27, 2025
- Discretionary RAUM · $264M to $261MJan 8, 2025 to Mar 27, 2025
- Pooled vehicle RAUM · $264M to $261MJan 8, 2025 to Mar 27, 2025
- RAUM · $264M to $261MJan 8, 2025 to Mar 27, 2025
- Assets in custody · $1.4M to $61,000Mar 30, 2023 to Mar 28, 2024
- Other offices · 1 to 0Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $273M to $264MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $273M to $264MMar 30, 2023 to Mar 28, 2024
- RAUM · $273M to $264MMar 30, 2023 to Mar 28, 2024
- Assets in custody · $434,615 to $1.4MMar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $358M to $273MMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $358M to $273MMar 31, 2022 to Mar 30, 2023
- RAUM · $358M to $273MMar 31, 2022 to Mar 30, 2023
- Assets in custody · $280,000 to $434,615Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $358M to $358MMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $358M to $358MMar 30, 2021 to Mar 31, 2022
- RAUM · $358M to $358MMar 30, 2021 to Mar 31, 2022
- Assets in custody · $327M to $280,000Mar 27, 2020 to Mar 30, 2021
- Employees · 4 to 3Mar 27, 2020 to Mar 30, 2021
- HQ city · NEW YORK to MIAMIMar 27, 2020 to Mar 30, 2021
- HQ state · NY to FLMar 27, 2020 to Mar 30, 2021
- Other offices · 2 to 1Mar 27, 2020 to Mar 30, 2021
- Discretionary RAUM · $327M to $358MMar 27, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $327M to $358MMar 27, 2020 to Mar 30, 2021
- RAUM · $327M to $358MMar 27, 2020 to Mar 30, 2021
- Assets in custody · $444M to $327MMar 29, 2019 to Mar 27, 2020
- Discretionary RAUM · $444M to $327MMar 29, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $444M to $327MMar 29, 2019 to Mar 27, 2020
- RAUM · $444M to $327MMar 29, 2019 to Mar 27, 2020
- Assets in custody · $389M to $444MMar 31, 2018 to Mar 29, 2019
- Other offices · 1 to 2Mar 31, 2018 to Mar 29, 2019
- Discretionary RAUM · $389M to $444MMar 31, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $389M to $444MMar 31, 2018 to Mar 29, 2019
- RAUM · $389M to $444MMar 31, 2018 to Mar 29, 2019
- Advisory employees · 4 to 3May 1, 2017 to Mar 31, 2018
Signals
3 dated events
- O•• S•••• P••••••• L••••• reported RAUM $326.6M, down 26% from $444.1M (2019-03-29 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- O•• S•••• P••••••• L••••• reported RAUM $388.8M, down 28% from $541.5M (2017-05-01 to 2018-03-31)Mar 31, 2018 · RAUM change · derived
- O•• S•••• P••••••• L••••• filed its initial SEC registration (Form ADV)Jun 29, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O•• S•••• P••••••• L••••• · Independent Sponsorsshared crd · capital_provider
- O•• S•••• P••••••• L••••• · Private Equityshared crd · organization
- O•• S•••• P••••••• L••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- 1•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 786-744 4255reportedpublic record, Form ADV, Mar 26, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026