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•••••• C••••••• L••
Latest filing Jun 24, 2026
First filing on the tape Jun 20, 2013 · 35 filings
SEC status approved since Aug 29, 2018
RAUM
$334M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
93%
$312M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$83.5M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$334M as of Jun 24, 2026
Mar 31, 2014$8.7M then
HNW client RAUM$312M as of Jun 24, 2026
Mar 29, 2019$93.7M then
State-registered IARs (5.B.3)4 as of Jun 24, 2026
Mar 31, 20141 then
Employees (5.A)7 as of Jun 24, 2026
Mar 31, 20144 then
Private funds3 as of Jun 24, 2026
Mar 29, 20197 then
RAUM +84% over the last fiscal year+43% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Jun 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $83.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 112derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $696,819derivedHNW RAUM over HNW clients
- Average account
- $739,316derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +84%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +232%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, educational seminarsreportedItem 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
- 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)
- 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$312M93%
- Pooled investment vehicles$22.0M6.6%
- Individual clients
- 0reported
- HNW clients
- 448reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 452reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.93 fund_share=0.07 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Y••• Y••• J••• | Palo Alto, Ca | Sep 26, 2025 | 23 y | 3 |
| Q••••••• H• | Palo Alto, Ca | Nov 4, 2025 | 13 y | 1 |
| K•• C••• | Palo Alto, Ca | Jan 1, 2026 | 24 y | 3 |
| T••• T•• W••• | Palo Alto, Ca | Apr 22, 2026 | 10 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- T••• T•• W••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 22, 2026 · Wirehouse to independent RIA
- Q••••••• H• from V••••• A•••• M••••••••• L••Nov 4, 2025 · RIA to RIA
- Y••• Y••• J••• from C••••• S••••• S••••••••• •••• L••Jan 28, 2014 · Other
- K•• C••• from C••••• S••••• S••••••••• •••• L••Oct 3, 2013 · Other
Private funds
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O••••••••• L•• | Private Equity Fund | $23.7M | 3 | Mar 29, 2023 |
| O•••••• P••••••• F••• I• | Venture Capital Fund | $17.6M | 95 | Mar 31, 2020 |
| F••••• M••••••• F••• L•• | Venture Capital Fund | $5.1M | 29 | Mar 29, 2021 |
| O•••••• P••••••••• V•••••• S••••• L••no longer reported | Venture Capital Fund | $2.2M | 18 | Jul 30, 2018 |
| O•••••• P••••••••• S•••••• L••no longer reported | Venture Capital Fund | $2.1M | 17 | Jul 30, 2018 |
| O•••••• P••••••••• S•••••• L••no longer reported | Venture Capital Fund | $1.7M | 14 | Jul 30, 2018 |
| O•••••• P••••••••• S••••• L••no longer reported | Venture Capital Fund | $1.7M | 18 | Jul 27, 2015 |
| O•••••• P••••••••• D•••••• S•••••• L••no longer reported | Venture Capital Fund | $1.7M | 14 | Jul 30, 2018 |
| O•••••• P••••••••• S•••••••• S•••••• L••no longer reported | Venture Capital Fund | $1.4M | 16 | Jul 30, 2018 |
| O•••••• P••••••••• V•••••• S••••• L••no longer reported | Venture Capital Fund | $1.2M | 16 | Jul 27, 2015 |
| O•••••• P••••••• F••• I•••••• E•••••• C••••• L••no longer reported | Venture Capital Fund | $1.1M | 11 | Jul 30, 2018 |
| W•••••••• B•••••• F••• L•• | Venture Capital Fund | $339,831 | 14 | Mar 29, 2021 |
| O•••••• P••••••• F••• I••••••• I••••• C••••• L••no longer reported | Venture Capital Fund | $320,000 | 6 | Mar 29, 2019 |
Owners and control persons
Schedule A and B, latest filing
- C•••• K•• · Managing Directorcontrolsince 10/2013 · owns less than 5%
- J•••• Y••• Y••• · Chief Operating Officer, Chief Compliance Officercontrolsince 06/2015 · owns less than 5%
- C•••• K•• · Managing Membercontrolsince 07/2017 · owns 75% or more of O•••••• G•••• L••
Entity owners
- O•••••• G•••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- B••• O•••• A•••••••• L••investment advisery
- F••••• V•• L••pooled vehicle sponsory
- O•••••• P•••••••• L••pooled vehicle sponsorn
- W•••••••• A•••• M••••••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Palo Alto, Ca · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Apr 24, 2026individual and HNW clients (Item 5.D) moved from 135.0 to 448.0 (+232.0%) between the annual amendments of 2025-03-21 and 2026-04-24; the peer median change was +3.0% (3309 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 100% percentile
- RAUM up 50 %Change between filings · filing Apr 24, 2026RAUM (Item 5.F) moved from $181,307,569 to $334,170,960 (+84.0%) between the annual amendments of 2025-03-21 and 2026-04-24; the peer median change was +15.0% (4550 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 98% percentile
What changed
consecutive filings, newest first
- HQ city · REDWOOD CITY to PALO ALTOApr 24, 2026 to Jun 24, 2026
- Accounts · 274 to 452Sep 30, 2025 to Mar 27, 2026
- BD registered reps · 0 to 1Sep 30, 2025 to Mar 27, 2026
- HNW clients · 135 to 448Sep 30, 2025 to Mar 27, 2026
- Pooled vehicle clients · 162 to 4Sep 30, 2025 to Mar 27, 2026
- Employees · 5 to 7Sep 30, 2025 to Mar 27, 2026
- Private funds · 4 to 3Sep 30, 2025 to Mar 27, 2026
- Discretionary RAUM · $188M to $299MSep 30, 2025 to Mar 27, 2026
- HNW RAUM · $191M to $312MSep 30, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $24.1M to $35.1MSep 30, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $21.2M to $22.0MSep 30, 2025 to Mar 27, 2026
- RAUM · $212M to $334MSep 30, 2025 to Mar 27, 2026
- Accounts · 180 to 274Mar 21, 2025 to Sep 30, 2025
- Advisory employees · 3 to 4Mar 21, 2025 to Sep 30, 2025
- Pooled vehicle clients · 259 to 162Mar 21, 2025 to Sep 30, 2025
- Assets in custody · $24.0M to $0Mar 21, 2025 to Sep 30, 2025
- Employees · 4 to 5Mar 21, 2025 to Sep 30, 2025
- Financial planning clients · 0 to 0Mar 21, 2025 to Sep 30, 2025
- State-registered IARs · 3 to 4Mar 21, 2025 to Sep 30, 2025
- Private funds · 5 to 4Mar 21, 2025 to Sep 30, 2025
- Discretionary RAUM · $179M to $188MMar 21, 2025 to Sep 30, 2025
- HNW RAUM · $181M to $191MMar 21, 2025 to Sep 30, 2025
- Non-discretionary RAUM · $2.2M to $24.1MMar 21, 2025 to Sep 30, 2025
- Pooled vehicle RAUM · unset to 21231017.0Mar 21, 2025 to Sep 30, 2025
- RAUM · $181M to $212MMar 21, 2025 to Sep 30, 2025
- Accounts · 259 to 180Mar 9, 2024 to Mar 21, 2025
- Advisory employees · 2 to 3Mar 9, 2024 to Mar 21, 2025
- HNW clients · 259 to 135Mar 9, 2024 to Mar 21, 2025
- Custody of client assets · true to falseMar 9, 2024 to Mar 21, 2025
- State-registered IARs · 2 to 3Mar 9, 2024 to Mar 21, 2025
- Private funds · 4 to 5Mar 9, 2024 to Mar 21, 2025
- Discretionary RAUM · $181M to $179MMar 9, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $0 to $2.2MMar 9, 2024 to Mar 21, 2025
- Related adviser · true to falseMar 9, 2024 to Mar 21, 2025
- Pooled vehicle clients · 4 to 259Mar 29, 2023 to Mar 9, 2024
- Discretionary RAUM · $103M to $181MMar 29, 2023 to Mar 9, 2024
- HNW RAUM · $91.1M to $181MMar 29, 2023 to Mar 9, 2024
- Non-discretionary RAUM · $12.1M to $0Mar 29, 2023 to Mar 9, 2024
- Pooled vehicle RAUM · 23709665.0 to unsetMar 29, 2023 to Mar 9, 2024
- RAUM · $115M to $181MMar 29, 2023 to Mar 9, 2024
Signals
2 dated events
- O•••••• C••••••• L•• reported RAUM $334.2M, up 57% from $212.4M (2025-09-30 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- O•••••• C••••••• L•• filed its initial SEC registration (Form ADV)Jul 30, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O•••••• C••••••• L•• · Private Equityshared crd · organization
- O•••••• C••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- O••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (415) 432-7580reportedpublic record, Form ADV, Jun 24, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $83.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026