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•••••• A•••••••• L••

Former SEC-registered adviserDallas, TexasCRD 168995SEC 801-80540IAPD
Latest filing Mar 30, 2023
First filing on the tape Oct 27, 2014 · 15 filings
RAUM
$104M
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$104M as of Mar 30, 2023
Mar 31, 2016$168M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 30, 2023
May 12, 20151 then
Employees (5.A)6 as of Mar 30, 2023
May 12, 20155 then
Private funds: no history
RAUM -10% over the last fiscal year-7.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2023; 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
$104MderivedRAUM 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
-10%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$104M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • C••••• M••••••• D•••• · President & Chief Executive Officercontrol
        since 11/2016 · owns less than 5%
      • E••••••••• S••••••• P••• · Chief Compliance Officercontrol
        since 05/2013 · owns less than 5%
      • H••••••• K••••••••• L••• · S••••• Vice Presidentcontrol
        since 01/2021 · owns less than 5%
      • M•••••• M••••••• J•••• · Chief Operating Officercontrol
        since 07/2018 · owns less than 5%
      • P•••••••• D••••••• M•••• · Controllercontrol
        since 01/2021 · owns less than 5%
      Entity owners
      • S••••••• H•••••••• L•• · Member
        direct · owns 75% or more
      • E••••• O• R••••• M• B•••••••• · Member
        indirect · owns 25% to 50% of S••••••• H•••••••• L••
      Related persons
      Schedule D 7.A
      • P••••••• S••••• S•••••• I••••• M••••••••• L••
        investment advisern
      • S••••••• H•••••••• L••
        pooled vehicle sponsory
      Advisers that list O•••••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $116M to $104M
        Mar 28, 2022 to Mar 30, 2023
      • RAUM · $116M to $104M
        Mar 28, 2022 to Mar 30, 2023
      • Advisory employees · 6 to 5
        Apr 29, 2021 to Mar 28, 2022
      • Employees · 7 to 6
        Apr 29, 2021 to Mar 28, 2022
      • Discretionary RAUM · $124M to $116M
        Apr 29, 2021 to Mar 28, 2022
      • RAUM · $124M to $116M
        Apr 29, 2021 to Mar 28, 2022
      • Related broker-dealer · true to false
        Apr 29, 2021 to Mar 28, 2022
      • Discretionary RAUM · $130M to $124M
        Jul 27, 2020 to Mar 30, 2021
      • RAUM · $130M to $124M
        Jul 27, 2020 to Mar 30, 2021
      • Advisory employees · 7 to 6
        Mar 18, 2019 to Mar 30, 2020
      • BD registered reps · 1 to 0
        Mar 18, 2019 to Mar 30, 2020
      • Employees · 9 to 7
        Mar 18, 2019 to Mar 30, 2020
      • State-registered IARs · 1 to 0
        Mar 18, 2019 to Mar 30, 2020
      • Discretionary RAUM · $126M to $130M
        Mar 18, 2019 to Mar 30, 2020
      • RAUM · $126M to $130M
        Mar 18, 2019 to Mar 30, 2020
      • Charity clients · 0.0 to unset
        Oct 24, 2018 to Mar 18, 2019
      • Corporate clients · 0.0 to unset
        Oct 24, 2018 to Mar 18, 2019
      • HNW clients · 0.0 to unset
        Oct 24, 2018 to Mar 18, 2019
      • Individual clients · 0.0 to unset
        Oct 24, 2018 to Mar 18, 2019
      • Pension plan clients · 0.0 to unset
        Oct 24, 2018 to Mar 18, 2019
      • Pooled vehicle clients · 0.0 to unset
        Oct 24, 2018 to Mar 18, 2019
      • Employees · 8 to 9
        Oct 24, 2018 to Mar 18, 2019
      • Discretionary RAUM · $152M to $126M
        Oct 24, 2018 to Mar 18, 2019
      • HNW RAUM · 0.0 to unset
        Oct 24, 2018 to Mar 18, 2019
      • Individual RAUM · 0.0 to unset
        Oct 24, 2018 to Mar 18, 2019
      • Pension RAUM · 0.0 to unset
        Oct 24, 2018 to Mar 18, 2019
      • Pooled vehicle RAUM · 0.0 to unset
        Oct 24, 2018 to Mar 18, 2019
      • RAUM · $152M to $126M
        Oct 24, 2018 to Mar 18, 2019
      • Advisory employees · 3 to 7
        Mar 29, 2018 to Oct 24, 2018
      • Employees · 6 to 8
        Mar 29, 2018 to Oct 24, 2018
      • Business name · B•••••••• A•••••••• L•• to O•••••• A•••••••• L••
        Mar 31, 2017 to Mar 29, 2018
      • Charity clients · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Corporate clients · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 7 to 6
        Mar 31, 2017 to Mar 29, 2018
      • Legal name · O•••••• ADVISORS LLC to O•••••• A•••••••• L••
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      Signals
      8 dated events
      • Jerome Robert Chapman (Treasurer, Executive Vice President (Portfolio Manager)) no longer on Schedule A of O•••••• A•••••••• L•• (listed 2020-07-27, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Katherine Hawkins (Senior Vice President) appeared on Schedule A of O•••••• A•••••••• L••
        Mar 30, 2021 · Control person joined · fact
      • Marie Destiny Poninski (Controller) appeared on Schedule A of O•••••• A•••••••• L••
        Mar 30, 2021 · Control person joined · fact
      • Franklin Robert Muller (President) no longer on Schedule A of O•••••• A•••••••• L•• (listed 2019-03-18, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Michael Robert Behringer (Member) no longer on Schedule A of O•••••• A•••••••• L•• (listed 2019-03-18, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Freeman David Aisner (Executive Vice President (Co-Portfolio Manager)) no longer on Schedule A of O•••••• A•••••••• L•• (listed 2019-03-18, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Jason Michael Mattox (Chief Operating Officer) appeared on Schedule A of O•••••• A•••••••• L••
        Mar 18, 2019 · Control person joined · fact
      • B•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 27, 2014 · 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