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•••• B•• C••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Nov 13, 2012 · 4 filings
SEC status approved since Jan 20, 2026
RAUM
$374M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$374M as of Mar 20, 2026
Mar 26, 2013$338M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Mar 26, 20130 then
Employees (5.A)1 as of Mar 20, 2026
Mar 26, 20137 then
Private funds1 as of Mar 20, 2026
Mar 26, 20132 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 20, 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
- $374MderivedRAUM 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
- unknownderivedbetween 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
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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- Pooled investment vehicles$374M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••••• C•••••• F•••• L• | Hedge Fund | $60.3M | 9 | Feb 6, 2012 |
| T•••••• C•••••• F•••• L• | Hedge Fund | $30.7M | 20 | Feb 3, 2016 |
| K•• C•••••• P•••••••• L• | Hedge Fund | $18.3M | 4 | Feb 6, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• T••••••• J•••• · Chief Compliance Officer/Chief Operating Officer/Chief Financial Officercontrolsince 10/2012 · owns less than 5%
- O•••••••• K•••••• V• · Directorcontrolsince 10/2012 · owns less than 5%
- P•••••• B•••••• S••••• · Managing Member, President, & Ceocontrolsince 10/2012 · owns less than 5%
- T••••• M••••••• H••••• · Directorcontrolsince 10/2012 · owns less than 5%
- O•••••••• K•••••• V• · Managing Membercontrolsince 09/2012 · owns 75% or more of S•••• I••••••••• H•••••••• L••
- P•••••• B•••••• S••••• · Managing Membercontrolsince 10/2009 · owns 75% or more of M••••• H•••••••• L••
- T••••• M••••••• H••••• · Managing Membercontrolsince 01/2006 · owns 75% or more of T•••••• C•••••• A•••••••• L••
Entity owners
- M••••• H•••••••• L•• · Memberdirect · owns 25% to 50%
- S•••• I••••••••• H•••••••• L•• · Memberdirect · owns 25% to 50%
- T•••••• C•••••• A•••••••• L•• · Memberdirect · owns 10% to 25%
- W•••• M•••••••• I•••••••• G••••• L••• · Shareholderindirect · owns 75% or more of W•••• M•••••••• C••••••• I••• · public reporting company
- W•••• M•••••••• C••••••• I••• · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- K•• P•••••••• L••investment adviserpooled vehicle sponsorn
- O•••• B•• T•••••• P•••••••• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- ,
What changed
consecutive filings, newest first
- Discretionary RAUM · $372M to $374MDec 19, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $372M to $374MDec 19, 2025 to Mar 20, 2026
- RAUM · $372M to $374MDec 19, 2025 to Mar 20, 2026
- Related bank · false to trueDec 19, 2025 to Mar 20, 2026
- Accounts · 4 to 1Mar 26, 2013 to Dec 19, 2025
- Advisory employees · 3 to 1Mar 26, 2013 to Dec 19, 2025
- Charity clients · unset to 0.0Mar 26, 2013 to Dec 19, 2025
- Corporate clients · unset to 0.0Mar 26, 2013 to Dec 19, 2025
- HNW clients · unset to 0.0Mar 26, 2013 to Dec 19, 2025
- Individual clients · unset to 0.0Mar 26, 2013 to Dec 19, 2025
- Pension plan clients · unset to 0.0Mar 26, 2013 to Dec 19, 2025
- Pooled vehicle clients · unset to 1.0Mar 26, 2013 to Dec 19, 2025
- Assets in custody · 337948000.0 to unsetMar 26, 2013 to Dec 19, 2025
- Custody of client assets · true to falseMar 26, 2013 to Dec 19, 2025
- Employees · 7 to 1Mar 26, 2013 to Dec 19, 2025
- Financial planning clients · unset to Mar 26, 2013 to Dec 19, 2025
- HQ city · NEW YORK to Mar 26, 2013 to Dec 19, 2025
- HQ state · NY to Mar 26, 2013 to Dec 19, 2025
- Other offices · unset to 0.0Mar 26, 2013 to Dec 19, 2025
- Private funds · 2 to 1Mar 26, 2013 to Dec 19, 2025
- Discretionary RAUM · $338M to $372MMar 26, 2013 to Dec 19, 2025
- Pooled vehicle RAUM · unset to 372000000.0Mar 26, 2013 to Dec 19, 2025
- RAUM · $338M to $372MMar 26, 2013 to Dec 19, 2025
- Related adviser · true to falseMar 26, 2013 to Dec 19, 2025
- Assets in custody · $343M to $338MNov 13, 2012 to Mar 26, 2013
- Discretionary RAUM · $343M to $338MNov 13, 2012 to Mar 26, 2013
- RAUM · $343M to $338MNov 13, 2012 to Mar 26, 2013
- Succession · true to falseNov 13, 2012 to Mar 26, 2013
Signals
3 dated events
- O•••• B•• C••••••• L•• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $374.0M)Sep 1, 2026 · Left the SEC roster · derived
- O•••• B•• C••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 13, 2012 · Succession (Item 4) · fact
- O•••• B•• C••••••• L•• filed its initial SEC registration (Form ADV)Nov 13, 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