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••••• C•••••• P••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 164639SEC 801-77294IAPD
Latest filing Mar 29, 2017
First filing on the tape Oct 22, 2012 · 8 filings
RAUM
$897M
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
11
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$897M as of Mar 29, 2017
Apr 3, 2013$96.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Apr 3, 20130 then
Employees (5.A)11 as of Mar 29, 2017
Apr 3, 20136 then
Private funds: no history
RAUM +413% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
$897MderivedRAUM 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
+413%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, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F••• O••• I••••••••• C••••no longer reportedReal Estate Fund$75.0M6Jul 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• G••••• · Managercontrol
        since 03/2012 · owns less than 5%
      • B••••• T•••••• B•••••• · Managercontrol
        since 03/2012 · owns less than 5%
      • C••••••• D••••• C••••• · Manager / Chief Executive Officercontrol
        since 03/2012 · owns 10% to 25%
      • C••••• K•••• F•• · Manager / Chief Investment Officercontrol
        since 03/2012 · owns 10% to 25%
      • C••••••• D•••••• L•••• · Manager / Director Of Client Service And Marketingcontrol
        since 03/2012 · owns 10% to 25%
      • O••••• D•••• · Manager / Chief Financial Officer / Chief Compliance Officercontrol
        since 03/2012 · owns 10% to 25%
      Entity owners
      • X• G•••••• I••• · Member
        direct · owns 25% to 50%
      • E••• H••••••• L•••••• · Parent
        indirect · owns 75% or more of X• B•••••• L••.
      • X••• A••••••• I••• · Parent
        indirect · owns 75% or more of X• G•••••• I•••
      • X• B•••••• L•• · Parent
        indirect · owns 75% or more of X• F•••••••• H••••••• •••••••• L••••••
      • X• F•••••••• H••••••• •••••••• L•••••• · Parent
        indirect · owns 75% or more of X••• A••••••• I•••
      • X• G•••• L•• · Parent
        indirect · owns 75% or more of X••• L••• · public reporting company
      • X••• L••• · Parent
        indirect · owns 75% or more of E••• H••••••• L••••••
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 14 to 11
        Mar 30, 2016 to Mar 29, 2017
      • Discretionary RAUM · $175M to $897M
        Mar 30, 2016 to Mar 29, 2017
      • RAUM · $175M to $897M
        Mar 30, 2016 to Mar 29, 2017
      • Financial planning clients · 0 to unset
        Mar 27, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.6B to $175M
        Mar 27, 2015 to Mar 30, 2016
      • RAUM · $1.6B to $175M
        Mar 27, 2015 to Mar 30, 2016
      • Employees · 8 to 14
        Mar 28, 2014 to Mar 27, 2015
      • Financial planning clients · 1-10 to 0
        Mar 28, 2014 to Mar 27, 2015
      • Discretionary RAUM · $528M to $1.6B
        Mar 28, 2014 to Mar 27, 2015
      • RAUM · $528M to $1.6B
        Mar 28, 2014 to Mar 27, 2015
      • Employees · 6 to 8
        Nov 22, 2013 to Mar 28, 2014
      • Discretionary RAUM · $96.4M to $528M
        Nov 22, 2013 to Mar 28, 2014
      • RAUM · $96.4M to $528M
        Nov 22, 2013 to Mar 28, 2014
      • Advisory employees · unset to 2.0
        Oct 22, 2012 to Apr 3, 2013
      • BD registered reps · unset to 0.0
        Oct 22, 2012 to Apr 3, 2013
      • Employees · unset to 6.0
        Oct 22, 2012 to Apr 3, 2013
      • State-registered IARs · unset to 0.0
        Oct 22, 2012 to Apr 3, 2013
      • Discretionary RAUM · $88.4M to $96.4M
        Oct 22, 2012 to Apr 3, 2013
      • RAUM · $88.4M to $96.4M
        Oct 22, 2012 to Apr 3, 2013
      Signals
      1 dated events
      • O•• C••••• C•••••• P••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 22, 2012 · First SEC registration · fact
      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
      Across the graphs

      O•• C••••• 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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