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•••••• P•••••••• L•

Former SEC-registered adviserSan Antonio, TexasCRD 166145SEC 801-97339IAPD

Latest filing Jul 17, 2023

First filing on the tape May 19, 2015 · 22 filings

RAUM

$173M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$25.9M gross assets

History

22 filings and snapshots on the tape

RAUM$466M as of Mar 30, 2023

Mar 30, 2016$281M then

HNW client RAUM: no history

State-registered IARs (5.B.3)4 as of Mar 30, 2023

Mar 30, 20161 then

Employees (5.A)27 as of Mar 30, 2023

Mar 30, 201614 then

Private funds2 as of Mar 30, 2023

Mar 30, 20162 then

RAUM -68% over the last fiscal year-39% a year over threeIARs 5 to 2

Practice profile

derived from the filing of Jul 17, 2023; every figure names its basis

RAUM per advisor: $86.4MderivedRAUM 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: $57.6MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 5.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -14%derivedbetween the last two annual amendments
Advisor growth, one year: -20%derivedItem 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: yesreportedItem 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)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$173M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 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

J••• W••••• S•••••• to I•••••• A••••••• L••
Nov 28, 2023 · Other

Joined, latest

J••• W••••• S•••••• from I•• W••••• • P•••••• C••••• A•••••••
Aug 26, 2015 · Other

Every departure Every arrival

Private funds

6 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
F••• F••• I•• L•no longer reported	Real Estate Fund	$32.7M	88	Mar 30, 2012
F••• F••• V• L•no longer reported	Real Estate Fund	$18.4M	73	Mar 30, 2012
O•••••• C••••• O••••••••• F•••• L•no longer reported	Private Equity Fund	$8.9M	64	Nov 28, 2012
F••• F••• I••• L•no longer reported	Real Estate Fund	$3.8M	47	Mar 30, 2012
O•••••• C••••• O••••••••• F••• L•no longer reported	Hedge Fund	$22,548	71	Mar 31, 2015
F••• F••• V• L•no longer reported	Hedge Fund	$0	76	Mar 31, 2015

Owners and control persons

Schedule A and B, latest filing

R•••••• M••••••• J•••• · Limited Partnercontrol
since 10/2012 · owns 50% to 75%
S••••• J••••••• R••••• · Limited Partnercontrol
since 10/2012 · owns 50% to 75%
R•••••• M••••••• J•••• · Membercontrol
since 10/2012 · owns 75% or more of O•••••• M••••••••• L••
C••••• J•••• C••••••••• · Chief Compliance Officer
since 07/2023 · owns less than 5%

Entity owners

O•••••• M••••••••• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

D•••• R• O• G• L••
pooled vehicle sponsory
K•••• O• G• L••
pooled vehicle sponsory
O••• C•••••• M••••••••• L•••
investment advisernRAUM $5.7B
O•••••• F••• M••••••••• I• L••
pooled vehicle sponsory

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Austin, Tx	0	0	0
San Antonio, Tx · principal	0	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 6 to 3
May 5, 2023 to Jul 17, 2023
Advisory employees · 2 to 3
May 5, 2023 to Jul 17, 2023
Pooled vehicle clients · 6 to 3
May 5, 2023 to Jul 17, 2023
Employees · 11 to 10
May 5, 2023 to Jul 17, 2023
HQ city · AUSTIN to SAN ANTONIO
May 5, 2023 to Jul 17, 2023
State-registered IARs · 3 to 2
May 5, 2023 to Jul 17, 2023
Discretionary RAUM · $466M to $173M
May 5, 2023 to Jul 17, 2023
Pooled vehicle RAUM · $466M to $173M
May 5, 2023 to Jul 17, 2023
RAUM · $466M to $173M
May 5, 2023 to Jul 17, 2023
Advisory employees · 11 to 2
Mar 30, 2023 to May 5, 2023
Employees · 27 to 11
Mar 30, 2023 to May 5, 2023
State-registered IARs · 4 to 3
Mar 30, 2023 to May 5, 2023
Accounts · 9 to 6
Aug 10, 2022 to Mar 30, 2023
Advisory employees · 10 to 11
Aug 10, 2022 to Mar 30, 2023
BD registered reps · 1 to 0
Aug 10, 2022 to Mar 30, 2023
Pooled vehicle clients · 9 to 6
Aug 10, 2022 to Mar 30, 2023
Employees · 25 to 27
Aug 10, 2022 to Mar 30, 2023
State-registered IARs · 5 to 4
Aug 10, 2022 to Mar 30, 2023
Discretionary RAUM · $544M to $466M
Aug 10, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $544M to $466M
Aug 10, 2022 to Mar 30, 2023
RAUM · $544M to $466M
Aug 10, 2022 to Mar 30, 2023
Accounts · 6 to 9
Oct 29, 2021 to Mar 31, 2022
Pooled vehicle clients · 6 to 9
Oct 29, 2021 to Mar 31, 2022
Employees · 29 to 25
Oct 29, 2021 to Mar 31, 2022
State-registered IARs · 3 to 5
Oct 29, 2021 to Mar 31, 2022
Discretionary RAUM · $684M to $544M
Oct 29, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $684M to $544M
Oct 29, 2021 to Mar 31, 2022
RAUM · $684M to $544M
Oct 29, 2021 to Mar 31, 2022
Advisory employees · 12 to 10
Aug 18, 2020 to Mar 31, 2021
Assets in custody · $751M to $0
Aug 18, 2020 to Mar 31, 2021
Employees · 34 to 29
Aug 18, 2020 to Mar 31, 2021
State-registered IARs · 2 to 3
Aug 18, 2020 to Mar 31, 2021
Discretionary RAUM · $762M to $684M
Aug 18, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $762M to $684M
Aug 18, 2020 to Mar 31, 2021
RAUM · $762M to $684M
Aug 18, 2020 to Mar 31, 2021
Accounts · 4 to 6
Oct 24, 2019 to Mar 30, 2020
BD registered reps · 0 to 1
Oct 24, 2019 to Mar 30, 2020
Pooled vehicle clients · 4 to 6
Oct 24, 2019 to Mar 30, 2020
Assets in custody · $656M to $751M
Oct 24, 2019 to Mar 30, 2020
Employees · 33 to 34
Oct 24, 2019 to Mar 30, 2020

Signals

7 dated events

J••• W••••• S•••••• left O•••••• P•••••••• L• for I•••••• A••••••• L•• (registered 2023-12-11)
Nov 28, 2023 · Advisor changed firm · fact
Jeffrey Robert Serra no longer registered at O•••••• P•••••••• L•; no later IA registration on IAPD
Nov 28, 2023 · Advisor departure · fact
Kaitlyn Anna Jones (Chief Compliance Officer; Director Of Investor Relations) no longer on Schedule A of O•••••• P•••••••• L• (listed 2023-05-05, absent 2023-07-17)
Jul 17, 2023 · Control person left · inference
O•••••• P•••••••• L• reported RAUM $172.7M, down 63% from $465.5M (2023-05-05 to 2023-07-17)
Jul 17, 2023 · RAUM change · derived
Ann Melissa Mccarthy (Chief Financial Officer) no longer on Schedule A of O•••••• P•••••••• L• (listed 2023-03-30, absent 2023-05-05)
May 5, 2023 · Control person left · inference
Kaitlyn Anna Jones (Chief Compliance Officer; Director Of Investor Relations) appeared on Schedule A of O•••••• P•••••••• L•
Aug 10, 2022 · Control person joined · fact
O•••••• P•••••••• L• filed its initial SEC registration (Form ADV)
May 19, 2015 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

O•••••• P•••••••• L• · Private Equity
shared crd · organization

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•••••• 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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