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•••••• S••••• P•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 166278SEC 801-77540IAPD
Latest filing Mar 10, 2014
First filing on the tape Jan 2, 2013 · 4 filings
RAUM
$1.9B
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
10
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$1.8B gross assets
History
4 filings and snapshots on the tape
RAUM$1.9B as of Mar 10, 2014
Jan 2, 2013$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 10, 2014
Jan 2, 20130 then
Employees (5.A)10 as of Mar 10, 2014
Jan 2, 201310 then
Private funds1 as of Mar 10, 2014
Jan 2, 20131 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 10, 2014; 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
$23.2MderivedRAUM 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
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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$1.7B, 3 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
82reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.7B for 3 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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• M••••••• G• · General Counselcontrol
        since 11/2012 · owns less than 5%
      • S•••••• A•••••• J••• · Chief Compliance Officercontrol
        since 11/2012 · owns less than 5%
      • D•••••• D••••• R•••••• · Partnercontrol
        since 11/2012 · owns 50% to 75% of L•••••••• L••
      • M•••••• W••••• N••••• · Partnercontrol
        since 11/2012 · owns 50% to 75% of L•••••••• L••
      • L•••••• S•••••• · Chief Financial Officer
        since 11/2012 · owns less than 5%
      Entity owners
      • L•••••••• L•• · Member
        direct · owns 50% to 75%
      • R••••• L•• · Member
        direct · owns 25% to 50%
      • C•••• G•••• I••• · Parent
        indirect · owns 75% or more of R••••• L•• · public reporting company
      • C•••• O•• G• H••••••• L•• · Member
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list O•••••• S••••• P•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 91 to 82
        Apr 24, 2013 to Mar 10, 2014
      • BD registered reps · 1 to 2
        Apr 24, 2013 to Mar 10, 2014
      • Assets in custody · $1.7B to $1.7B
        Apr 24, 2013 to Mar 10, 2014
      • Discretionary RAUM · $1.8B to $1.9B
        Apr 24, 2013 to Mar 10, 2014
      • RAUM · $1.8B to $1.9B
        Apr 24, 2013 to Mar 10, 2014
      • Assets in custody · $1.2B to $1.7B
        Mar 22, 2013 to Apr 24, 2013
      • Discretionary RAUM · $1.4B to $1.8B
        Mar 22, 2013 to Apr 24, 2013
      • RAUM · $1.4B to $1.8B
        Mar 22, 2013 to Apr 24, 2013
      • Accounts · 68 to 91
        Jan 2, 2013 to Mar 22, 2013
      • Assets in custody · $874M to $1.2B
        Jan 2, 2013 to Mar 22, 2013
      • Discretionary RAUM · $1.1B to $1.4B
        Jan 2, 2013 to Mar 22, 2013
      • RAUM · $1.1B to $1.4B
        Jan 2, 2013 to Mar 22, 2013
      Signals
      1 dated events
      • O•••••• S••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 2, 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.
      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