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O••• C•••••• M•••••••••

Former SEC-registered adviserFormer SEC adviser1 private funds

Former SEC-registered adviser, reporting $250M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2024-03-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $250M
RAUM change, last fiscal year: +5.0%
Private clients: 98% of RAUM, $244M

Advisors Advisor movement Where the RAUM sits

As of 2024-03-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 7 Form ADV filings for this adviser, the latest 2.5 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 167404 · SEC 801-122028 · 7 filingsShow

CRD 167404SEC 801-122028Legal name O••• C•••••• M••••••••• L•••First filing on the tape Jul 7, 2021, latest Mar 29, 2024IAPD

RAUM

$250M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

98%

$244M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$6.1M gross assets

History

7 filings and snapshots on the tape

RAUM$250M as of Mar 29, 2024

Mar 23, 2022$252M then

HNW client RAUM: $244M

State-registered IARs (5.B.3)3 as of Mar 29, 2024

Mar 23, 20224 then

Employees (5.A)4 as of Mar 29, 2024

Mar 23, 20224 then

Private funds1 as of Mar 29, 2024

Mar 23, 20221 then

RAUM +5.0% over the last fiscal yearIARs 3 to 3offices 1 to 3

Practice profile

derived from the filing of Mar 29, 2024; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $83.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $60.9MderivedHNW RAUM over HNW clients
Average account: $50.0MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 0.8derived4 offices incl. principal (1.F.5)
RAUM growth, one year: +5.0%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, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody: $6.1M, 1 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)
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)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$244M98%
Pooled investment vehicles$6.1M2.5%

Individual clients: n/areported
HNW clients: 4reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 5reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $6.1M for 1 clientsreported
Compensation: % of AUM, performancereported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the 10 longest tenured

No representative is registered through this CRD on IAPD.

Private funds

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

Fund	Type	Gross assets	Owners	First reported
O••• R•••• F•••• L•••	Hedge Fund	$6.1M	4	Apr 12, 2013

Owners and control persons

Schedule A and B, latest filing

S•••••• E••••• B•••• · Chief Compliance Officercontrol
since 06/2021 · owns less than 5%
T•••••• U••••• C•••••••• · Membercontrol
since 06/2021 · owns 50% to 75%
S•••••• E••••• B• · Limited Partnercontrol
since 01/2021 · owns 75% or more of S••••• W••••• M••••••••• L•

Entity owners

S••••• W••••• M••••••••• L• · Member
direct · owns 50% to 75%
S••••• W••••• M••••••••• L•• · General Partner
indirect · owns F of S••••• W••••• M••••••••• L•

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Accounts · 7 to 5
Sep 25, 2023 to Mar 29, 2024
Advisory employees · 3 to 4
Sep 25, 2023 to Mar 29, 2024
Corporate clients · 6.0 to unset
Sep 25, 2023 to Mar 29, 2024
HNW clients · unset to 4.0
Sep 25, 2023 to Mar 29, 2024
Assets in custody · $4.2M to $6.1M
Sep 25, 2023 to Mar 29, 2024

Full history · 36 changes

Employees · 3 to 4
Sep 25, 2023 to Mar 29, 2024
HQ city · PALM BEACH to unset
Sep 25, 2023 to Mar 29, 2024
HQ state · FL to unset
Sep 25, 2023 to Mar 29, 2024
Other offices · 1 to 3
Sep 25, 2023 to Mar 29, 2024
Discretionary RAUM · $238M to $250M
Sep 25, 2023 to Mar 29, 2024
HNW RAUM · unset to 243749174.0
Sep 25, 2023 to Mar 29, 2024
Pooled vehicle RAUM · $4.2M to $6.1M
Sep 25, 2023 to Mar 29, 2024
RAUM · $238M to $250M
Sep 25, 2023 to Mar 29, 2024
HQ city · GREENWICH to PALM BEACH
Mar 27, 2023 to Sep 25, 2023
HQ state · CT to FL
Mar 27, 2023 to Sep 25, 2023
Accounts · 6 to 7
Mar 23, 2022 to Mar 27, 2023
Advisory employees · 4 to 3
Mar 23, 2022 to Mar 27, 2023
Corporate clients · 5 to 6
Mar 23, 2022 to Mar 27, 2023
Assets in custody · $5.7M to $4.2M
Mar 23, 2022 to Mar 27, 2023
Employees · 4 to 3
Mar 23, 2022 to Mar 27, 2023
State-registered IARs · 4 to 3
Mar 23, 2022 to Mar 27, 2023
Discretionary RAUM · $252M to $238M
Mar 23, 2022 to Mar 27, 2023
Pooled vehicle RAUM · $5.7M to $4.2M
Mar 23, 2022 to Mar 27, 2023
RAUM · $252M to $238M
Mar 23, 2022 to Mar 27, 2023
Accounts · 3 to 6
Oct 7, 2021 to Mar 23, 2022
Advisory employees · 3 to 4
Oct 7, 2021 to Mar 23, 2022
Corporate clients · 2 to 5
Oct 7, 2021 to Mar 23, 2022
Assets in custody · $5.3M to $5.7M
Oct 7, 2021 to Mar 23, 2022
State-registered IARs · 3 to 4
Oct 7, 2021 to Mar 23, 2022
Other offices · 0 to 1
Oct 7, 2021 to Mar 23, 2022
Discretionary RAUM · $236M to $252M
Oct 7, 2021 to Mar 23, 2022
Pooled vehicle RAUM · $5.3M to $5.7M
Oct 7, 2021 to Mar 23, 2022
RAUM · $236M to $252M
Oct 7, 2021 to Mar 23, 2022
Advisory employees · 2 to 3
Jul 22, 2021 to Oct 7, 2021
Employees · 3 to 4
Jul 22, 2021 to Oct 7, 2021
State-registered IARs · 2 to 3
Jul 22, 2021 to Oct 7, 2021

Signals

2 dated events

••• Locked
Jul 7, 2021 · First SEC registration · fact
••• Locked
Jul 7, 2021 · ria registration change · 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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026