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.
SEC-registered adviser
Oak Harbor Capital, LLC
Latest filing Mar 27, 2026
First filing on the tape Sep 11, 2014 · 18 filings
SEC status approved since Sep 29, 2014
RAUM
$442M
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
20
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
18
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$442M as of Mar 27, 2026
Mar 9, 2015$486M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 9, 20150 then
Employees (5.A)20 as of Mar 27, 2026
Mar 9, 201562 then
Private funds18 as of Mar 27, 2026
Mar 9, 201526 then
RAUM -13% over the last fiscal year-7.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $24.6MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $442M, 18 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$442M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 18reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $442M for 18 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
58 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Oak Harbor Capital Npl Vii, LLC | Private Equity Fund | $85.0M | 52 | Mar 29, 2019 |
| Altair Oh Xiiino longer reported | Private Equity Fund | $67.4M | 1 | Sep 11, 2014 |
| Magerick, LLC | Private Equity Fund | $66.8M | 2 | Mar 28, 2024 |
| Laelia, LLC | Private Equity Fund | $60.0M | 2 | Mar 30, 2018 |
| Limosa, LLC | Private Equity Fund | $54.2M | 2 | Mar 29, 2019 |
| Oak Harbor Capital Special Opportunities Master Fund, LP | Private Equity Fund | $47.5M | 2 | Mar 30, 2021 |
| Isanthes, LLC | Private Equity Fund | $46.5M | 1 | Mar 29, 2019 |
| Oak Harbor Capital Special Opportunities Fund, LP | Private Equity Fund | $38.4M | 32 | Mar 30, 2021 |
| Ksoh Fund, LLC | Private Equity Fund | $38.1M | 2 | Mar 27, 2020 |
| Dlc Mortgages, LLC | Private Equity Fund | $28.0M | 2 | Mar 29, 2019 |
| Erostylis, LLC | Other Private Fund | $26.2M | 1 | Mar 31, 2022 |
| Argolica, LLC | Private Equity Fund | $25.8M | 1 | Mar 27, 2020 |
| Oak Harbor Capital X LLC Class Ano longer reported | Private Equity Fund | $18.7M | 46 | Sep 11, 2014 |
| Pallida, LLCno longer reported | Private Equity Fund | $18.2M | 1 | Mar 9, 2015 |
| Oak Harbor X LLC Class Bno longer reported | Private Equity Fund | $17.4M | 46 | Sep 11, 2014 |
| Oak Harbor Capital Special Opportunities Offshore Fund, Ltd | Private Equity Fund | $9.1M | 19 | Mar 30, 2021 |
| Oak Harbor Capital Xii, LLC | Private Equity Fund | $8.6M | 51 | Mar 29, 2019 |
| Bonifera, LLC | Private Equity Fund | $8.1M | 1 | Mar 27, 2020 |
| Stelis LLCno longer reported | Private Equity Fund | $6.9M | 2 | Sep 11, 2014 |
| Islandcap, LLCno longer reported | Private Equity Fund | $6.3M | 2 | Mar 29, 2019 |
| Keystone Recovery Partners Series IIno longer reported | Private Equity Fund | $6.1M | 5 | Sep 11, 2014 |
| Oak Harbor Capital Opportunities Fund V, LPno longer reported | Private Equity Fund | $6.1M | 30 | Mar 31, 2017 |
| Arundina, LLC | Private Equity Fund | $5.9M | 1 | Mar 29, 2019 |
| Lycaste, LLC | Private Equity Fund | $5.4M | 1 | Mar 27, 2020 |
| Anthium, LLCno longer reported | Private Equity Fund | $5.2M | 2 | Mar 30, 2018 |
| Alta Chutes I, LLCno longer reported | Private Equity Fund | $4.4M | 4 | Mar 31, 2017 |
| Oak Harbor Capital X, LLCno longer reported | Private Equity Fund | $4.4M | 46 | Mar 30, 2018 |
| Restora, LLCno longer reported | Private Equity Fund | $4.0M | 3 | Mar 29, 2019 |
| Ronen, LLCno longer reported | Private Equity Fund | $3.5M | 2 | Mar 30, 2018 |
| Oak Harbor Capital II LLCno longer reported | Private Equity Fund | $3.0M | 28 | Sep 11, 2014 |
| Alta Reo, LLCno longer reported | Private Equity Fund | $2.9M | 3 | Mar 31, 2017 |
| Acm Back Bowl D LLCno longer reported | Private Equity Fund | $2.3M | 1 | Mar 31, 2017 |
| Cilici, LLCno longer reported | Private Equity Fund | $2.0M | 1 | Mar 30, 2018 |
| Oak Harbor Capital Xiv, LLCno longer reported | Private Equity Fund | $2.0M | 42 | Mar 30, 2018 |
| Oak Harbor Capital Xiii, LLCno longer reported | Private Equity Fund | $1.6M | 1 | Mar 29, 2019 |
| Elatior, LLCno longer reported | Private Equity Fund | $1.6M | 1 | Mar 29, 2019 |
| Dbi Coinvestment Fund Viii LLCno longer reported | Private Equity Fund | $1.4M | 2 | Sep 11, 2014 |
| Panatte, LLCno longer reported | Private Equity Fund | $1.1M | 4 | Mar 30, 2016 |
| Trifera LLCno longer reported | Private Equity Fund | $956,764 | 5 | Mar 30, 2016 |
| Oak Harbor Capital LLCno longer reported | Private Equity Fund | $657,882 | 7 | Sep 11, 2014 |
Owners and control persons
Schedule A and B, latest filing
- Louis Michael Basile · Chief Financial Officercontrolsince 12/2021 · owns less than 5%
- Leroy Stephen Bell · Chief Technology/Information Officercontrolsince 06/2021 · owns less than 5%
- Joseph Peter Fitzpatrick · Chief Legal Officer/Chief Compliance Officercontrolsince 01/2015 · owns less than 5%
- Stephen William Weinstein · Chief Executive/Operating Officercontrolsince 01/2007 · owns less than 5%
- Stephen William Weinstein · Ownercontrolsince 07/2019 · owns 25% to 50% of Oak Harbor Holdings, LLC
- Stephen William Weinstein · Ownercontrolsince 07/2019 · owns 75% or more of Holdphrysing, Inc.
Entity owners
- Oak Harbor Holdings, LLC · Ownerdirect · owns 75% or more
- Holdphrysing, Inc. · Ownerindirect · owns 25% to 50% of Oak Harbor Holdings, LLC
Related persons
Schedule D 7.A
- Oak Harbor Management, LLCpooled vehicle sponsorn
- Ohcsof Gp, LLCpooled vehicle sponsory
- Weinstein & Riley, P.S.n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 8 to 7Jun 4, 2025 to Mar 27, 2026
- Assets in custody · $508M to $442MJun 4, 2025 to Mar 27, 2026
- Employees · 26 to 20Jun 4, 2025 to Mar 27, 2026
- Discretionary RAUM · $508M to $442MJun 4, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $508M to $442MJun 4, 2025 to Mar 27, 2026
- RAUM · $508M to $442MJun 4, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Jun 4, 2025
- Accounts · 16 to 18Mar 28, 2024 to Mar 27, 2025
- Pooled vehicle clients · 16 to 18Mar 28, 2024 to Mar 27, 2025
- Assets in custody · $553M to $508MMar 28, 2024 to Mar 27, 2025
- Employees · 25 to 26Mar 28, 2024 to Mar 27, 2025
- HQ city · SEATTLE to LAS VEGASMar 28, 2024 to Mar 27, 2025
- HQ state · WA to NVMar 28, 2024 to Mar 27, 2025
- Other offices · 0 to 1Mar 28, 2024 to Mar 27, 2025
- Private funds · 16 to 18Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $553M to $508MMar 28, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $553M to $508MMar 28, 2024 to Mar 27, 2025
- RAUM · $553M to $508MMar 28, 2024 to Mar 27, 2025
- Accounts · 15 to 16Mar 30, 2023 to Mar 28, 2024
- Advisory employees · 9 to 8Mar 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · 15 to 16Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $562M to $553MMar 30, 2023 to Mar 28, 2024
- Employees · 27 to 25Mar 30, 2023 to Mar 28, 2024
- Private funds · 15 to 16Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $562M to $553MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $562M to $553MMar 30, 2023 to Mar 28, 2024
- RAUM · $562M to $553MMar 30, 2023 to Mar 28, 2024
- Accounts · 23 to 15May 27, 2022 to Mar 30, 2023
- Pooled vehicle clients · 23 to 15May 27, 2022 to Mar 30, 2023
- Assets in custody · $670M to $562MMay 27, 2022 to Mar 30, 2023
- Private funds · 23 to 15May 27, 2022 to Mar 30, 2023
- Discretionary RAUM · $670M to $562MMay 27, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $670M to $562MMay 27, 2022 to Mar 30, 2023
- RAUM · $670M to $562MMay 27, 2022 to Mar 30, 2023
- Accounts · 24 to 23Nov 5, 2021 to Mar 31, 2022
- Advisory employees · 12 to 9Nov 5, 2021 to Mar 31, 2022
- Pooled vehicle clients · 24 to 23Nov 5, 2021 to Mar 31, 2022
- Assets in custody · $567M to $670MNov 5, 2021 to Mar 31, 2022
- Employees · 49 to 27Nov 5, 2021 to Mar 31, 2022
- Private funds · 24 to 23Nov 5, 2021 to Mar 31, 2022
Signals
8 dated events
- Stephen Bell (Chief Technology/Information Officer) appeared on Schedule A of Oak Harbor Capital, LlcMar 31, 2022 · Control person joined · fact
- L. Michael Basile (Chief Financial Officer) appeared on Schedule A of Oak Harbor Capital, LlcMar 31, 2022 · Control person joined · fact
- Ray Aaron Johnson (Chief Operating Officer) no longer on Schedule A of Oak Harbor Capital, Llc (listed 2021-11-05, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Bennion Bruce Johnson (Chief Technology Officer) no longer on Schedule A of Oak Harbor Capital, Llc (listed 2021-11-05, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Yew-Ming Tony Yu (Chief Financial Officer) no longer on Schedule A of Oak Harbor Capital, Llc (listed 2021-11-05, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Oak Harbor Capital, Llc reported RAUM $606.5M, up 36% from $445.1M (2019-03-29 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Oak Harbor Capital, Llc reported RAUM $407.8M, up 41% from $289.0M (2017-03-31 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- Ophrys Llc filed its initial SEC registration (Form ADV)Sep 11, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- OAK Harbor Capital, LLC · Independent Sponsorsshared crd · capital_provider
- OAK Harbor Capital, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- LAELIALLC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 855-330-9520reportedpublic record, Form ADV, Mar 27, 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