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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
O••••••••• A•••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jan 11, 2013 · 21 filings
SEC status approved since Jan 1, 2013
RAUM
$24B
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
37
25 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$24B as of Mar 31, 2026
Mar 28, 2014$16B then
HNW client RAUM$0 as of Mar 31, 2026
Mar 27, 2018$0 then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 28, 20140 then
Employees (5.A)37 as of Mar 31, 2026
Mar 28, 201426 then
Private funds: no history
RAUM -6.7% over the last fiscal year+0.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $12BderivedRAUM 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
- $2.4BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 98%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 18.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$24B98%
- Pooled investment vehicles$248M1.0%
- Corporations and businesses$135M0.6%
- Charitable organizations$13.7M0.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.01 institutional_share=0.98 related_bd=true related_bank=false bd_reps=1.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• M••••••• I• · Vice Presidentcontrolsince 02/2012 · owns less than 5%
- D••• S••••••• L•••••• · Secretary, O••••••••• A•••• M••••••••• L••controlsince 06/2014 · owns less than 5%
- E••••••• C••••••• L• A•• · Treasurercontrolsince 06/2023 · owns less than 5%
- J••••• C••••••••• H• · Vice Presidentcontrolsince 11/2012 · owns less than 5%
- L•••••• C••••• A••••• · Vice Presidentcontrolsince 02/2021 · owns less than 5%
- M••••••• S•••••• S• · Vice Presidentcontrolsince 03/2024 · owns less than 5%
- M•••••• S•••• P•••••• · Chief Compliance Officercontrolsince 09/2017 · owns less than 5%
- W••••••••• D••••• M•••••• · President, O••••••••• A•••• M••••••••• L••controlsince 06/2023 · owns less than 5%
Entity owners
- O••••••••• F•••••••• P•••••••• I••• · Managing Memberdirect · owns 75% or more
- A••••••• U••••• M••••• I•••••••• H•••••• C•••••• · Shareholderindirect · owns 75% or more of O••••••••• F•••••••• P•••••••• I•••
Related persons
Schedule D 7.A
- A••••••• U••••• L••• I•••••••• C••••••real estaten
- O••••••••• I••••••••• A••••••• S••••••• L••investment adviserLP sponsornRAUM $5.1B
- O••••••••• S••••••••• I•••broker-dealerinvestment advisernRAUM $306M
- P•••••• M••••• L••• I•••••••• C••••••real estaten
- T•• S•••• L••• I•••••••• C••••••real estaten
Advisers that list O••••••••• A•••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $26B to $24BMar 27, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $98.5M to $83.2MMar 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $315M to $248MMar 27, 2025 to Mar 31, 2026
- RAUM · $26B to $24BMar 27, 2025 to Mar 31, 2026
- Insurance-licensed employees · 1 to 2Mar 28, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 27, 2025
- State-registered IARs · 1 to 2Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $26B to $26BMar 28, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $104M to $98.5MMar 28, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $408M to $315MMar 28, 2024 to Mar 27, 2025
- RAUM · $26B to $26BMar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $24B to $26BJun 21, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $119M to $104MJun 21, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $587M to $408MJun 21, 2023 to Mar 28, 2024
- RAUM · $24B to $26BJun 21, 2023 to Mar 28, 2024
- Advisory employees · 21 to 25Apr 13, 2022 to Mar 31, 2023
- BD registered reps · 2 to 1Apr 13, 2022 to Mar 31, 2023
- Employees · 30 to 37Apr 13, 2022 to Mar 31, 2023
- Discretionary RAUM · $29B to $24BApr 13, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $142M to $119MApr 13, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $696M to $587MApr 13, 2022 to Mar 31, 2023
- RAUM · $30B to $24BApr 13, 2022 to Mar 31, 2023
- Accounts · 9 to 10May 12, 2021 to Mar 25, 2022
- Advisory employees · 22 to 21May 12, 2021 to Mar 25, 2022
- Advisory activities · 5 to 6May 12, 2021 to Mar 25, 2022
- Pooled vehicle clients · 0 to 1May 12, 2021 to Mar 25, 2022
- Employees · 31 to 30May 12, 2021 to Mar 25, 2022
- Discretionary RAUM · $28B to $29BMay 12, 2021 to Mar 25, 2022
- Non-discretionary RAUM · $167M to $142MMay 12, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $0 to $696MMay 12, 2021 to Mar 25, 2022
- RAUM · $28B to $30BMay 12, 2021 to Mar 25, 2022
- Discretionary RAUM · $25B to $28BMar 31, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $175M to $167MMar 31, 2020 to Mar 31, 2021
- RAUM · $25B to $28BMar 31, 2020 to Mar 31, 2021
- Advisory employees · 21 to 22Mar 29, 2019 to Mar 31, 2020
- BD registered reps · 3 to 2Mar 29, 2019 to Mar 31, 2020
- Financial planning clients · unset to 0Mar 29, 2019 to Mar 31, 2020
- Discretionary RAUM · $22B to $25BMar 29, 2019 to Mar 31, 2020
- Non-discretionary RAUM · $182M to $175MMar 29, 2019 to Mar 31, 2020
- RAUM · $22B to $25BMar 29, 2019 to Mar 31, 2020
Signals
23 dated events
- Todd Steven Holland (Vice President) no longer on Schedule A of O••••••••• A•••• M••••••••• L•• (listed 2023-06-21, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- S. Steven Maniago (Vice President) appeared on Schedule A of O••••••••• A•••• M••••••••• L••Mar 28, 2024 · Control person joined · fact
- Granville George Graessle (Treasurer) no longer on Schedule A of O••••••••• A•••• M••••••••• L•• (listed 2023-05-08, absent 2023-06-21)Jun 21, 2023 · Control person left · inference
- Charles John Mason (President, O••••••••• A•••• M••••••••• L••) no longer on Schedule A of O••••••••• A•••• M••••••••• L•• (listed 2023-05-08, absent 2023-06-21)Jun 21, 2023 · Control person left · inference
- Le Ann C•••••• E•••••• (Treasurer) appeared on Schedule A of O••••••••• A•••• M••••••••• L••Jun 21, 2023 · Control person joined · fact
- Granville George Graessle (Treasurer) appeared on Schedule A of O••••••••• A•••• M••••••••• L••Mar 31, 2021 · Control person joined · fact
- Andrew Craig Lehman (Vice President) appeared on Schedule A of O••••••••• A•••• M••••••••• L••Mar 31, 2021 · Control person joined · fact
- John Andrew Michie (Vice President) no longer on Schedule A of O••••••••• A•••• M••••••••• L•• (listed 2020-03-31, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- E••••• E••••• B•••••• (Assistant Treasurer) no longer on Schedule A of O••••••••• A•••• M••••••••• L•• (listed 2020-03-31, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Lee Erin Garrett (Treasurer) no longer on Schedule A of O••••••••• A•••• M••••••••• L•• (listed 2020-03-31, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- I Michael Bullock (Vice President) appeared on Schedule A of O••••••••• A•••• M••••••••• L••Mar 31, 2020 · Control person joined · fact
- Patrick Gene Berry (Svp It & Cio, A••••••• U••••• L••• I•••••••• C••••••) no longer on Schedule A of O••••••••• A•••• M••••••••• L•• (listed 2019-03-29, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- David Jeffrey Holley (Evp Chief Financial Officer & Treasurer, A••••••• U••••• L••• I•••••••• C••••••) no longer on Schedule A of O••••••••• A•••• M••••••••• L•• (listed 2019-03-29, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- Michael Thomas Zurek (Evp General Counsel & Secretary, A••••••• U••••• L••• I•••••••• C••••••) no longer on Schedule A of O••••••••• A•••• M••••••••• L•• (listed 2019-03-29, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- David Christopher Pohl (General Internal Auditor, A••••••• U••••• L••• I•••••••• C••••••) no longer on Schedule A of O••••••••• A•••• M••••••••• L•• (listed 2019-03-29, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- Michael David Weisenburger (Vice President) appeared on Schedule A of O••••••••• A•••• M••••••••• L••Mar 31, 2020 · Control person joined · fact
- H. Christopher Johns (Vice President) appeared on Schedule A of O••••••••• A•••• M••••••••• L••Mar 31, 2020 · Control person joined · fact
- Lee Erin Garrett (Treasurer) appeared on Schedule A of O••••••••• A•••• M••••••••• L••Mar 31, 2020 · Control person joined · fact
- E••••• E••••• B•••••• (Assistant Treasurer) appeared on Schedule A of O••••••••• A•••• M••••••••• L••Mar 31, 2020 · Control person joined · fact
- John Andrew Michie (Vice President) appeared on Schedule A of O••••••••• A•••• M••••••••• L••Mar 31, 2020 · Control person joined · fact
- Todd Steven Holland (Vice President) appeared on Schedule A of O••••••••• A•••• M••••••••• L••Mar 31, 2020 · Control person joined · fact
- O••••••••• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 11, 2013 · Succession (Item 4) · fact
- O••••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 11, 2013 · 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.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-285-1877reportedpublic record, Form ADV, Mar 31, 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
- Institutional managerderiveda 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