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••••• L•••• A••••• L••
Latest filing Aug 19, 2026
First filing on the tape Nov 4, 2013 · 48 filings
SEC status approved since Nov 18, 2013
RAUM
$1.0B
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
92%
$918M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$200M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$1.0B as of Aug 19, 2026
Feb 11, 2015$364M then
HNW client RAUM$883M as of Aug 19, 2026
Mar 29, 2018$419M then
State-registered IARs (5.B.3)5 as of Aug 19, 2026
Mar 26, 20140 then
Employees (5.A)9 as of Aug 19, 2026
Mar 26, 20141 then
Private funds3 as of Aug 19, 2026
Mar 4, 20253 then
RAUM +16% over the last fiscal year+18% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Aug 19, 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 p•••••• 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
- $200MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $587,905derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 6.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $116M, 109 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$883M88%
- Pension and profit-sharing plans$49.5M4.9%
- Individuals$34.6M3.5%
- Charitable organizations$15.4M1.5%
- Pooled investment vehicles$12.2M1.2%
- Corporations and businesses$6.9M0.7%
- Individual clients
- 90reported
- HNW clients
- 351reported
- Pension plan clients
- 25reported
- Charitable clients
- 2reported
- Accounts
- 1,704reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $116M for 109 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.92 fund_share=0.01 institutional_share=0.06 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••• D•••• J••••••• | Gladstone, Nj | Jun 23, 2014 | 32 y | 3 |
| J••••• C••••• T••••••Certified Financial Planner | Gladstone, Nj | Jan 8, 2015 | 14 y | 2 |
| M•••••• L••••••• B•••••• | Gladstone, Nj | Jun 12, 2017 | 11 y | 0 |
| J•••• R•••••• L•••• | Gladstone, Nj | Jan 24, 2018 | 40 y | 2 |
| M•••••• D••• V••••••Certified Financial Planner | Gladstone, Nj | Apr 29, 2025 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J••• F•••••• P••••• to P••••• G••• W••••• M••••••••• L••Oct 6, 2017 · Other
- D•••• P• G••• to P••••• G••• W••••• M••••••••• L••Oct 6, 2017 · Other
Joined, latest
- J•••• R•••••• L•••• from U•• F•••••••• S••••••• I•••Jan 24, 2018 · Other
- J••• F•••••• P••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 27, 2016 · Other
- D•••• P• G••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 22, 2016 · Other
- J••••• C••••• T•••••• from U•• F•••••••• S••••••• I•••Jan 8, 2015 · Other
- B••• D•••• J••••••• from U•• F•••••••• S••••••• I•••Jun 23, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P••••• G••• W••••• M••••••••• L••Oct 6, 2017 · Gladstone, Nj
- 2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 16, 2016 · Bay Head, Nj
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• B••••••• D••••••• I••••• F••• S••••• • O• C••••••• F••••• L•• | Other Private Fund | $12.6M | 31 | Oct 7, 2024 |
| C••••••• B••••••• D••••••• I••••• F••• S••••• • 1• O• C••••••• F••••• L•• | Other Private Fund | $12.3M | 43 | Oct 7, 2024 |
| O••••• L•••• S•••• C•• E••••• P•••••• F••• • A• S••••• O• C••••••• F••••• L•• | Other Private Fund | $12.2M | 53 | Oct 7, 2024 |
Owners and control persons
Schedule A and B, latest filing
- F•••••••• L••••• L•• · General Counsel/Chief Compliance Officercontrolsince 01/2017 · owns less than 5%
- J•••••••• B•••• D•••• · Principal & Managing Membercontrolsince 05/2014 · owns 75% or more
- S•••••• J•••••• M•••••• · Principal & Membercontrolsince 07/2020 · owns 10% to 25%
- K••••• D••••••• A••••• · Chief Compliance Officersince 03/2026 · owns less than 5%
- T••••••• J•••••• C••••• · Director Of Financial Planningsince 08/2021 · owns less than 5%
Related persons
Schedule D 7.A
- C••••••• F•••••••• A••••••• L••investment advisernRAUM $106M
- L•••• L• F•••••••n
Advisers that list O••••• L•••• A••••• L•• as a related person
- 285185 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Gladstone, Nj · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 19, 2026S•••••• J•••••• M•••••• (PRINCIPAL & MEMBER) left Schedule A between the filings of 2021-08-23 and 2026-08-19peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 19, 2026F•••••••• L••••• L•• (GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2021-08-23 and 2026-08-19peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,609 to 1,704Mar 25, 2026 to Aug 19, 2026
- Corporate clients · 3 to 2Mar 25, 2026 to Aug 19, 2026
- HNW clients · 338 to 351Mar 25, 2026 to Aug 19, 2026
- Individual clients · 94 to 90Mar 25, 2026 to Aug 19, 2026
- Pension plan clients · 24 to 25Mar 25, 2026 to Aug 19, 2026
- Assets in custody · $133M to $116MMar 25, 2026 to Aug 19, 2026
- Discretionary RAUM · $920M to $885MMar 25, 2026 to Aug 19, 2026
- HNW RAUM · $802M to $883MMar 25, 2026 to Aug 19, 2026
- Individual RAUM · $32.3M to $34.6MMar 25, 2026 to Aug 19, 2026
- Non-discretionary RAUM · $62.1M to $116MMar 25, 2026 to Aug 19, 2026
- Pension RAUM · $44.4M to $49.5MMar 25, 2026 to Aug 19, 2026
- Pooled vehicle RAUM · $9.3M to $12.2MMar 25, 2026 to Aug 19, 2026
- RAUM · $982M to $1.0BMar 25, 2026 to Aug 19, 2026
- Accounts · 1,554 to 1,609Nov 17, 2025 to Mar 25, 2026
- Corporate clients · 5 to 3Nov 17, 2025 to Mar 25, 2026
- HNW clients · 308 to 338Nov 17, 2025 to Mar 25, 2026
- Individual clients · 110 to 94Nov 17, 2025 to Mar 25, 2026
- Pension plan clients · 12 to 24Nov 17, 2025 to Mar 25, 2026
- Assets in custody · $115M to $133MNov 17, 2025 to Mar 25, 2026
- Custody of client assets · false to trueNov 17, 2025 to Mar 25, 2026
- Discretionary RAUM · $747M to $920MNov 17, 2025 to Mar 25, 2026
- HNW RAUM · $701M to $802MNov 17, 2025 to Mar 25, 2026
- Individual RAUM · $27.3M to $32.3MNov 17, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $117M to $62.1MNov 17, 2025 to Mar 25, 2026
- Pension RAUM · $44.1M to $44.4MNov 17, 2025 to Mar 25, 2026
- RAUM · $864M to $982MNov 17, 2025 to Mar 25, 2026
- Financial planning clients · 51-100 to 51-100Mar 4, 2025 to Apr 1, 2025
- Accounts · 1,423 to 1,554Oct 7, 2024 to Mar 4, 2025
- Charity clients · 3 to 2Oct 7, 2024 to Mar 4, 2025
- HNW clients · 283 to 308Oct 7, 2024 to Mar 4, 2025
- Individual clients · 117 to 110Oct 7, 2024 to Mar 4, 2025
- Pension plan clients · unset to 12.0Oct 7, 2024 to Mar 4, 2025
- Assets in custody · $109M to $115MOct 7, 2024 to Mar 4, 2025
- Discretionary RAUM · $567M to $747MOct 7, 2024 to Mar 4, 2025
- HNW RAUM · $611M to $701MOct 7, 2024 to Mar 4, 2025
- Individual RAUM · $22.6M to $27.3MOct 7, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $127M to $117MOct 7, 2024 to Mar 4, 2025
- Pension RAUM · unset to 44141216.0Oct 7, 2024 to Mar 4, 2025
- Pooled vehicle RAUM · $7.8M to $9.3MOct 7, 2024 to Mar 4, 2025
- RAUM · $694M to $864MOct 7, 2024 to Mar 4, 2025
Signals
5 dated events
- Gail Allison Jaffe (Chief Compliance Officer) no longer on Schedule A of O••••• L•••• A••••• L•• (listed 2021-05-06, absent 2021-07-19)Jul 19, 2021 · Control person left · inference
- Gail Allison Jaffe (Chief Compliance Officer) appeared on Schedule A of O••••• L•••• A••••• L••Mar 19, 2021 · Control person joined · fact
- Richard James Lynch (Principal & Member) no longer on Schedule A of O••••• L•••• A••••• L•• (listed 2020-03-19, absent 2020-04-02)Apr 2, 2020 · Control person left · inference
- Michael Joseph Sharma (Chief Investment Officer) appeared on Schedule A of O••••• L•••• A••••• L••Mar 15, 2019 · Control person joined · fact
- B••• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 4, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O••••• L•••• A••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business email
- c••••••••@o•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- i•••••••••@o•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-447-4329reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-472-3281reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 908-741-4902reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/O•••••-L••••-ASSETS-LLCreportedpublic record, Form ADV, Sep 19, 2026
- Website
- O•••••L••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 908-741-4884reportedpublic record, Form ADV, Aug 19, 2026
- Contact form
- o•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- o•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $200Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026