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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SEC-registered adviser
O•• R•••• A•••• M••••••••• L••
Latest filing Jul 22, 2026
First filing on the tape Jun 17, 2013 · 51 filings
SEC status approved since Jul 9, 2013
RAUM
$2.4B
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
22
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$2.4B as of Jul 22, 2026
Feb 7, 2014$117M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 22, 2026
Feb 7, 20140 then
Employees (5.A)22 as of Jul 22, 2026
Feb 7, 20147 then
Private funds10 as of Jul 22, 2026
Feb 7, 20141 then
RAUM -25% over the last fiscal year-2.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 22, 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
- $149MderivedRAUM 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
- -25%derivedbetween 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 vehicles, publicationsreportedItem 5.G
- Custody
- $1.3B, 10 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.7B73%
- Corporations and businesses$640M27%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 16reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3B for 10 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.73 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
16 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- M••••••• I••• A••••• · Chief Operating Officercontrolsince 07/2016 · owns less than 5%
- P•••••• C••••••• E••• · Trustee - T•• C•••••• E••• P••••• R•••••••• T•••• A••••••••controlsince 04/2016 · owns 10% to 25%
- P•••••• T•••••• L••••• · Trustee - T•• C•••••• E••• P••••• R•••••••• T•••• A••••••••controlsince 04/2016 · owns 10% to 25%
- W•••••• W••••••• G••••• · Chief Compliance Officercontrolsince 06/2017 · owns less than 5%
- G••••• A••••••• M•••••• · Trusteecontrolsince 11/2012 · owns F of T•• G•••• F••••• T•••• D•• 1••••••
- G••••• G•••••••• T••••• · Trusteecontrolsince 11/2012 · owns F of T•• G•••• F••••• T•••• D•• 1••••••
- P•••••• C••••••• E••• · Trusteecontrolsince 04/2016 · owns F of T•• C•••••• E••• P••••• R•••••••• T•••• A••••••••
- P•••••• C••••• H•••• · Trusteecontrolsince 12/2021 · owns F of T•• P••••• F••••• T••••
- P•••••• T•••••• L••••• · Trusteecontrolsince 01/2024 · owns F of J••• T••••
- P•••••• T•••••• L••••• · Trusteecontrolsince 04/2016 · owns F of T•• C•••••• E••• P••••• R•••••••• T•••• A••••••••
- G••••• A••••••• M•••••• · Trustee - T•• G•••• F••••• T•••• D•• 1••••••since 11/2012 · owns 5% to 10%
- G••••• G•••••••• T••••• · Trustee - T•• G•••• F••••• T•••• D•• 1••••••since 11/2012 · owns 5% to 10%
- M•••••••• R•••• N•• · Shareholdersince 01/2024 · owns 10% to 25%
- M•••••• C••••• A••••• · Shareholdersince 01/2024 · owns 5% to 10%
- P•••••• C••••• H•••• · Trustee - T•• P••••• F••••• T••••since 12/2021 · owns 10% to 25%
- P•••••• S••••••• N•• · Shareholdersince 01/2024 · owns 5% to 10%
Entity owners
- J••• T•••• · Memberdirect · owns 10% to 25%
- T•• C•••••• E••• P••••• R•••••••• T•••• A•••••••• · Memberdirect · owns 10% to 25%
- T•• G•••• F••••• T•••• D•• 1•••••• · Memberdirect · owns 5% to 10%
- T•• P••••• F••••• T•••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- C••••••• A•••• M••••••••• L••investment adviserbanknRAUM $840M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 18, 2026RAUM (Item 5.F) moved from $3,183,085,000 to $2,386,106,000 (-25.0%) between the annual amendments of 2025-03-20 and 2026-03-18; the peer median change was +11.0% (1368 comparable advisers, 5.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 4.5% percentile
What changed
consecutive filings, newest first
- Accounts · 14 to 16Aug 25, 2025 to Mar 18, 2026
- Advisory employees · 13 to 9Aug 25, 2025 to Mar 18, 2026
- Assets in custody · $2.0B to $1.3BAug 25, 2025 to Mar 18, 2026
- Employees · 30 to 22Aug 25, 2025 to Mar 18, 2026
- Discretionary RAUM · $3.2B to $2.4BAug 25, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $2.2B to $1.7BAug 25, 2025 to Mar 18, 2026
- RAUM · $3.2B to $2.4BAug 25, 2025 to Mar 18, 2026
- Financial planning clients · unset to Mar 20, 2025 to Jul 25, 2025
- Accounts · 15 to 14Jun 26, 2024 to Mar 20, 2025
- Advisory employees · 14 to 13Jun 26, 2024 to Mar 20, 2025
- Assets in custody · $2.7B to $2.0BJun 26, 2024 to Mar 20, 2025
- Employees · 32 to 30Jun 26, 2024 to Mar 20, 2025
- Private funds · 11 to 10Jun 26, 2024 to Mar 20, 2025
- Discretionary RAUM · $4.0B to $3.2BJun 26, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $2.8B to $2.2BJun 26, 2024 to Mar 20, 2025
- RAUM · $4.0B to $3.2BJun 26, 2024 to Mar 20, 2025
- Private funds · 10 to 11Apr 30, 2024 to Jun 17, 2024
- Related adviser · false to trueMar 22, 2024 to Apr 30, 2024
- Accounts · 13 to 15Nov 7, 2023 to Mar 22, 2024
- Advisory employees · 15 to 14Nov 7, 2023 to Mar 22, 2024
- Advisory activities · 3 to 2Nov 7, 2023 to Mar 22, 2024
- Pooled vehicle clients · 10 to 11Nov 7, 2023 to Mar 22, 2024
- Assets in custody · $1.9B to $2.7BNov 7, 2023 to Mar 22, 2024
- Employees · 28 to 32Nov 7, 2023 to Mar 22, 2024
- Discretionary RAUM · $2.5B to $4.0BNov 7, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $2.1B to $2.8BNov 7, 2023 to Mar 22, 2024
- RAUM · $2.5B to $4.0BNov 7, 2023 to Mar 22, 2024
- Private funds · 9 to 10Jun 26, 2023 to Jun 28, 2023
- Private funds · 8 to 9Mar 29, 2023 to Jun 26, 2023
- Accounts · 10 to 13Oct 25, 2022 to Mar 29, 2023
- Advisory employees · 13 to 15Oct 25, 2022 to Mar 29, 2023
- Pooled vehicle clients · 8 to 10Oct 25, 2022 to Mar 29, 2023
- Assets in custody · $1.4B to $1.9BOct 25, 2022 to Mar 29, 2023
- Discretionary RAUM · $1.8B to $2.5BOct 25, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $1.7B to $2.1BOct 25, 2022 to Mar 29, 2023
- RAUM · $1.8B to $2.5BOct 25, 2022 to Mar 29, 2023
- HQ city · GREENWICH to STAMFORDAug 2, 2022 to Oct 25, 2022
- Accounts · 14 to 10Jun 16, 2022 to Aug 2, 2022
- Pooled vehicle clients · 12 to 8Jun 16, 2022 to Aug 2, 2022
- Assets in custody · $2.1B to $1.4BJun 16, 2022 to Aug 2, 2022
Signals
16 dated events
- O•• R•••• A•••• M••••••••• L•• reported RAUM $2.4B, down 25% from $3.2B (2025-08-25 to 2026-03-18)Mar 18, 2026 · RAUM change · derived
- O•• R•••• A•••• M••••••••• L•• reported RAUM $4.0B, up 58% from $2.5B (2023-11-07 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- Eldad Alan Howard (Limited Partner) no longer on Schedule A of O•• R•••• A•••• M••••••••• L•• (listed 2023-06-28, absent 2023-11-07)Nov 7, 2023 · Control person left · inference
- O•• R•••• A•••• M••••••••• L•• reported RAUM $2.5B, up 39% from $1.8B (2022-10-25 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- Homer Craig Peters (Trustee) appeared on Schedule A of O•• R•••• A•••• M••••••••• L••Oct 25, 2022 · Control person joined · fact
- O•• R•••• A•••• M••••••••• L•• reported RAUM $1.8B, down 26% from $2.5B (2022-06-16 to 2022-08-02)Aug 2, 2022 · RAUM change · derived
- Christina Jasmine Burgess (Chief Operating Officer) no longer on Schedule A of O•• R•••• A•••• M••••••••• L•• (listed 2022-03-29, absent 2022-05-05)May 5, 2022 · Control person left · inference
- L. Tamara Peters (Trustee - T•• C•••••• E••• P••••• R•••••••• T•••• A••••••••) appeared on Schedule A of O•• R•••• A•••• M••••••••• L••Mar 29, 2022 · Control person joined · fact
- Christina Jasmine Burgess (Chief Operating Officer) appeared on Schedule A of O•• R•••• A•••• M••••••••• L••Mar 29, 2022 · Control person joined · fact
- M. Annette Grant (Trustee - T•• G•••• F••••• T•••• D•• 1••••••) appeared on Schedule A of O•• R•••• A•••• M••••••••• L••Mar 29, 2022 · Control person joined · fact
- Eldad Alan Howard (Limited Partner) appeared on Schedule A of O•• R•••• A•••• M••••••••• L••Jun 25, 2021 · Control person joined · fact
- O•• R•••• A•••• M••••••••• L•• reported RAUM $2.1B, up 101% from $1.1B (2021-01-08 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- O•• R•••• A•••• M••••••••• L•• reported RAUM $1.1B, up 61% from $658.5M (2020-02-04 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- O•• R•••• A•••• M••••••••• L•• reported RAUM $741.9M, down 68% from $2.3B (2018-03-29 to 2018-10-31)Oct 31, 2018 · RAUM change · derived
- O•• R•••• A•••• M••••••••• L•• reported RAUM $2.3B, down 37% from $3.6B (2017-12-22 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- P••••• C•••••• G••••• L•• filed its initial SEC registration (Form ADV)Jun 17, 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
- Firm profile
- LINKEDIN.COM/COMPANY/ONE-R••••-ASSET-MANAGEMENT-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- ONER••••AM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-489-1440reportedpublic record, Form ADV, Jul 22, 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
- Asset manager (funds and pooled vehicles)deriveda 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