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•••••• M••••••••• L••
Latest filing May 1, 2026
First filing on the tape Mar 30, 2015 · 19 filings
SEC status approved since Apr 6, 2015
RAUM
$3.2B
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
23
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
11
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$3.2B as of May 1, 2026
Mar 29, 2016$425M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 1, 2026
Mar 29, 20160 then
Employees (5.A)23 as of May 1, 2026
Mar 29, 20167 then
Private funds11 as of May 1, 2026
Mar 29, 20161 then
RAUM +10% over the last fiscal year-1.1% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of May 1, 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
- $124MderivedRAUM 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 assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.2B99%
- Other investment advisers$17.0M0.5%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 26reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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=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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O••••••• C•••••• H••••••••• M••••• F••• I•• L• | Private Equity Fund | $1.2B | 275 | Mar 31, 2023 |
| O••••••• C•••••• H••••••••• S•••••••• M••••• F••• L• | Private Equity Fund | $602M | 223 | Mar 30, 2020 |
| O••••••• C•••••• H••••••••• M••••• F••• I• L• | Private Equity Fund | $601M | 759 | Mar 30, 2018 |
| O••••••• C•••••• H••••••••• S•••••••• C•••••••• M••••• F••• L• | Private Equity Fund | $371M | 177 | Mar 30, 2020 |
| O••••••• O•••• C•••••••• F••• L• | Private Equity Fund | $200M | 2 | Mar 31, 2023 |
| O••••••• C•••••• H••••••••• M••••• F••• L• | Private Equity Fund | $104M | 357 | Sep 13, 2013 |
| O••••••• C•••••• H••••••••• I•• B••••• C•••••••• L• | Private Equity Fund | $55.5M | 2 | Mar 31, 2023 |
| Q••••••• I••••••••• F••• L• | Hedge Fund | $6.0M | 14 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- D•••••••• D••••• N•• · Cfocontrolsince 06/2013 · owns less than 5%
- N••••••• J••••••••• N•• · Managing Partnercontrolsince 12/2012 · owns 25% to 50%
- R••••••••• A•••••• D•••• · Managing Partnercontrolsince 12/2012 · owns 50% to 75%
- C•••••••• W••••••• P••• · Membersince 07/2023 · owns 5% to 10%
- W••••••• K•••••••• E••• · Ccosince 01/2020 · owns less than 5%
Related persons
Schedule D 7.A
- O••••••• C•••••• H••••••••• I•• B••••• C•••••••• G• L••investment adviserpooled vehicle sponsorn
- O••••••• C•••••• P••••••• I• L••investment adviserbankpooled vehicle sponsorn
- O••••••• C•••••• P••••••• I•• L••investment adviserbankpooled vehicle sponsorn
- O••••••• C•••••• P••••••• L••investment adviserbankpooled vehicle sponsorn
- O••••••• C•••••• S•••••••• C•••••••• G• L••investment adviserbankpooled vehicle sponsorn
- O••••••• C•••••• S•••••••• G• L••investment adviserbankpooled vehicle sponsorn
- O••••••• O•••• C•••••••• F••• G• L••investment adviserpooled vehicle sponsorn
- Q••••••• P••••••• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY4 employees
What changed
consecutive filings, newest first
- Accounts · 19 to 26Jul 9, 2025 to Mar 31, 2026
- Advisory employees · 16 to 14Jul 9, 2025 to Mar 31, 2026
- Advisory activities · 1 to 2Jul 9, 2025 to Mar 31, 2026
- Pooled vehicle clients · 19 to 25Jul 9, 2025 to Mar 31, 2026
- Employees · 24 to 23Jul 9, 2025 to Mar 31, 2026
- Other offices · 1 to 0Jul 9, 2025 to Mar 31, 2026
- Private funds · 9 to 11Jul 9, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.0B to $3.2BJul 9, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.0B to $3.2BJul 9, 2025 to Mar 31, 2026
- RAUM · $3.0B to $3.2BJul 9, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 9, 2025
- Discretionary RAUM · $2.9B to $3.0BMar 31, 2025 to Jul 9, 2025
- Pooled vehicle RAUM · $2.9B to $3.0BMar 31, 2025 to Jul 9, 2025
- RAUM · $2.9B to $3.0BMar 31, 2025 to Jul 9, 2025
- Accounts · 18 to 19Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 19 to 16Mar 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 18 to 19Mar 29, 2024 to Mar 31, 2025
- Employees · 27 to 24Mar 29, 2024 to Mar 31, 2025
- Private funds · 8 to 9Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $3.1B to $2.9BMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $3.1B to $2.9BMar 29, 2024 to Mar 31, 2025
- RAUM · $3.1B to $2.9BMar 29, 2024 to Mar 31, 2025
- Advisory employees · 15 to 19Jun 14, 2023 to Mar 29, 2024
- Employees · 22 to 27Jun 14, 2023 to Mar 29, 2024
- Other offices · 0 to 1Jun 14, 2023 to Mar 29, 2024
- Discretionary RAUM · $3.3B to $3.1BJun 14, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $3.3B to $3.1BJun 14, 2023 to Mar 29, 2024
- RAUM · $3.3B to $3.1BJun 14, 2023 to Mar 29, 2024
- Accounts · 12 to 18May 16, 2022 to Mar 31, 2023
- Advisory employees · 13 to 15May 16, 2022 to Mar 31, 2023
- Pooled vehicle clients · 12 to 18May 16, 2022 to Mar 31, 2023
- Employees · 19 to 22May 16, 2022 to Mar 31, 2023
- Private funds · 4 to 8May 16, 2022 to Mar 31, 2023
- Discretionary RAUM · $2.2B to $3.3BMay 16, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $2.2B to $3.3BMay 16, 2022 to Mar 31, 2023
- RAUM · $2.2B to $3.3BMay 16, 2022 to Mar 31, 2023
- Accounts · 8 to 12Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 10 to 13Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 8 to 12Mar 31, 2021 to Mar 31, 2022
- Employees · 16 to 19Mar 31, 2021 to Mar 31, 2022
Signals
6 dated events
- O••••••• C•••••• M••••••••• L•• reported RAUM $3.3B, up 49% from $2.2B (2022-05-16 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- O••••••• C•••••• M••••••••• L•• reported RAUM $2.0B, up 47% from $1.3B (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- O••••••• C•••••• M••••••••• L•• reported RAUM $1.3B, up 26% from $1.1B (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- O••••••• C•••••• M••••••••• L•• reported RAUM $1.1B, up 28% from $827.5M (2018-03-30 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- O••••••• C•••••• M••••••••• L•• reported RAUM $827.5M, up 95% from $425.0M (2017-03-30 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- O••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 30, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O••••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- O••••••• C•••••• M••••••••• L•• · Private Equityshared 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
- 212-257-5850reportedpublic record, Form ADV, May 1, 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