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•• O•• C•••••• M••••••••• L••

Independent wealth managerPurchase, New YorkCRD 170339SEC 801-114497website IAPD

Latest filing Mar 31, 2026

First filing on the tape Jan 24, 2014 · 59 filings

SEC status approved since Jan 28, 2019

RAUM

$419M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

57%

$239M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$140M

derived; firm RAUM over IAPD count

Employees

11 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

59 filings and snapshots on the tape

RAUM$419M as of Mar 31, 2026

Feb 20, 2015$175M then

HNW client RAUM$150M as of Mar 31, 2026

Mar 31, 2021$15.1M then

State-registered IARs (5.B.3)3 as of Mar 31, 2026

Feb 20, 20150 then

Employees (5.A)14 as of Mar 31, 2026

Feb 20, 20152 then

Private funds3 as of Mar 31, 2026

Feb 20, 20151 then

RAUM -6.4% over the last fiscal year+8.2% a year over threeIARs 3 to 3

Practice profile

derived from the filing of Mar 31, 2026; every figure names its basis

Archetypes, each a printed rule

Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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)
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $140MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 125derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.7MderivedHNW RAUM over HNW clients
Average account: $1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 4.7derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -6.4%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +1.9%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody: $173M, 6 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)
compensates persons for client referrals (8.G.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)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$173M41%
High-net-worth individuals$150M36%
Individuals$89.2M21%
State and municipal entities$6.1M1.5%
Pension and profit-sharing plans$863,9780.2%

Individual clients: 320reported
HNW clients: 55reported
Pension plan clients: 1reported
Charitable clients: n/areported
Accounts: 384reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $173M for 6 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.57 fund_share=0.41 institutional_share=0.02 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry
L•••••• F••••••• V•••••••••	Purchase, Ny	May 7, 2021	37 y
J•••• N••• C••••	Purchase, Ny	Aug 10, 2021	33 y
G••• J••• R••••	Bronxville, Ny	Oct 19, 2021	40 y

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•••• K•••••• F•••• to H•••••• P•••••••• M••••••••• L••
Nov 3, 2020 · Other

Joined, latest

J•••• K•••••• F•••• from M••••• S••••••
Jan 21, 2020 · Other

Every departure Every arrival

Private funds

10 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
O•• O•• M••••••••• M••••• F•••• L••	Hedge Fund	$65.6M	11	Mar 30, 2012
O•• O•• M••••••••• F•••• L••	Hedge Fund	$42.0M	9	Mar 25, 2016
O•• O•• A•••• O••••••••• F•••• L•	Hedge Fund	$39.5M	62	Feb 20, 2015
O•• O•• M••••••••• O••••••• F•••• L••	Hedge Fund	$23.6M	2	Jan 19, 2017
O•• O•• A•••• O••••••••• O••••••• F•••• L••	Hedge Fund	$15.4M	21	Sep 18, 2019
O•• O•• T••••••• A•••• F•••• L••	Hedge Fund	$12.8M	40	Mar 26, 2019
A•• M••••• S••••• F•••• L•	Hedge Fund	$8.1M	76	Mar 31, 2014
O•• O•• T••••••• A•••• O••••••• F•••• L••	Hedge Fund	$5.9M	46	Mar 26, 2019
A•• C••••• M••••• F•••• S••	Hedge Fund	$5.1M	34	Mar 25, 2015
O•• O•• G••••• O••••••••• F•••• L••	Hedge Fund	$1.2M	3	Apr 1, 2022

Owners and control persons

Schedule A and B, latest filing

C••••••••• J••••• · Ccocontrol
since 04/2019 · owns less than 5%
D••••••• S••••••• V• · Managing Partnercontrol
since 02/2013 · owns less than 5%
D••••••• S••••••• V• · Managing Membercontrol
since 01/2022 · owns 50% to 75% of O•• O•• C•••••• P•••••••• L••
C••••• J••••• N••• · Senior P•••••••• Manager
since 12/2018 · owns less than 5%

Entity owners

O•• O•• C•••••• P•••••••• L•• · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

O•• O•• C•••••• A•••••••• L••
pooled vehicle sponsory
O•• O•• C•••••• A••••••• G•••• I• L••
bankpooled vehicle sponsory
O•• O•• I••••••••• P•••••••• L••
pooled vehicle sponsory
O•• O•• P•••••••• L••
pooled vehicle sponsory

Advisers that list O•• O•• C•••••• M••••••••• L•• as a related person

163251 y

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Purchase, Ny · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

custody status changedChange between filings · filing Mar 31, 2026
custody of client assets (Item 9.A): no on the filing of 2025-06-30, yes on the filing of 2026-03-31
peers: independent wealth managers, $100M to $500M (5,678)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 377 to 384
Jun 30, 2025 to Mar 31, 2026
Advisory employees · 12 to 11
Jun 30, 2025 to Mar 31, 2026
HNW clients · 43 to 55
Jun 30, 2025 to Mar 31, 2026
Individual clients · 325 to 320
Jun 30, 2025 to Mar 31, 2026
Assets in custody · unset to 172711879.0
Jun 30, 2025 to Mar 31, 2026
Custody of client assets · false to true
Jun 30, 2025 to Mar 31, 2026
Employees · 16 to 14
Jun 30, 2025 to Mar 31, 2026
Private funds · 9 to 3
Jun 30, 2025 to Mar 31, 2026
Discretionary RAUM · $447M to $419M
Jun 30, 2025 to Mar 31, 2026
HNW RAUM · $172M to $150M
Jun 30, 2025 to Mar 31, 2026
Individual RAUM · $82.1M to $89.2M
Jun 30, 2025 to Mar 31, 2026
Pension RAUM · $798,440 to $863,978
Jun 30, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $186M to $173M
Jun 30, 2025 to Mar 31, 2026
RAUM · $447M to $419M
Jun 30, 2025 to Mar 31, 2026
Financial planning clients · unset to
Apr 1, 2025 to Jun 30, 2025
Discretionary RAUM · $417M to $447M
Apr 1, 2025 to Jun 30, 2025
Non-discretionary RAUM · $29.7M to $0
Apr 1, 2025 to Jun 30, 2025
Accounts · 372 to 377
Apr 16, 2024 to Apr 1, 2025
Advisory employees · 11 to 12
Apr 16, 2024 to Apr 1, 2025
HNW clients · 28 to 43
Apr 16, 2024 to Apr 1, 2025
Individual clients · 336 to 325
Apr 16, 2024 to Apr 1, 2025
Pooled vehicle clients · 5 to 6
Apr 16, 2024 to Apr 1, 2025
Employees · 12 to 16
Apr 16, 2024 to Apr 1, 2025
State-registered IARs · 4 to 3
Apr 16, 2024 to Apr 1, 2025
Private funds · 8 to 9
Apr 16, 2024 to Apr 1, 2025
Discretionary RAUM · $283M to $417M
Apr 16, 2024 to Apr 1, 2025
HNW RAUM · $63.7M to $172M
Apr 16, 2024 to Apr 1, 2025
Individual RAUM · $80.0M to $82.1M
Apr 16, 2024 to Apr 1, 2025
Non-discretionary RAUM · $0 to $29.7M
Apr 16, 2024 to Apr 1, 2025
Pension RAUM · $757,699 to $798,440
Apr 16, 2024 to Apr 1, 2025
Pooled vehicle RAUM · $135M to $186M
Apr 16, 2024 to Apr 1, 2025
RAUM · $283M to $447M
Apr 16, 2024 to Apr 1, 2025
Accounts · 163 to 372
Jan 4, 2024 to Mar 25, 2024
Advisory employees · 13 to 11
Jan 4, 2024 to Mar 25, 2024
BD registered reps · 1 to 0
Jan 4, 2024 to Mar 25, 2024
HNW clients · 18 to 28
Jan 4, 2024 to Mar 25, 2024
Individual clients · 135 to 336
Jan 4, 2024 to Mar 25, 2024
Pension plan clients · unset to 1.0
Jan 4, 2024 to Mar 25, 2024
Pooled vehicle clients · 7 to 5
Jan 4, 2024 to Mar 25, 2024
Employees · 14 to 12
Jan 4, 2024 to Mar 25, 2024

Signals

8 dated events

O•• O•• C•••••• M••••••••• L•• reported RAUM $447.0M, up 58% from $283.1M (2024-04-16 to 2025-04-01)
Apr 1, 2025 · RAUM change · derived
O•• O•• C•••••• M••••••••• L•• reported RAUM $330.7M, down 56% from $755.1M (2022-10-19 to 2023-03-31)
Mar 31, 2023 · RAUM change · derived
O•• O•• C•••••• M••••••••• L•• reported RAUM $755.1M, up 73% from $437.7M (2021-03-31 to 2022-04-01)
Apr 1, 2022 · RAUM change · derived
O•• O•• C•••••• M••••••••• L•• reported RAUM $403.8M, up 42% from $285.2M (2020-06-29 to 2020-10-09)
Oct 9, 2020 · RAUM change · derived
Neil James Crabb (Senior Portfolio Manager) appeared on Schedule A of O•• O•• C•••••• M••••••••• L••
Jun 3, 2020 · Control person joined · fact
Joanne Costantini (Cco) appeared on Schedule A of O•• O•• C•••••• M••••••••• L••
May 23, 2019 · Control person joined · fact
O•• O•• C•••••• M••••••••• L•• reported RAUM $25.4M, down 85% from $175.0M (2016-03-16 to 2018-11-27)
Nov 27, 2018 · RAUM change · derived
O•• O•• filed its initial SEC registration (Form ADV)
Jan 24, 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.

How to reach

public business contact points only, each with its source

Business email: s•••••••@o•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 914-205-5821reportedpublished by the firm, firm site, Sep 17, 2026
Website: o•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
Principal office phone: 914-205-5821reportedpublic record, Form ADV, Mar 31, 2026
Contact form: o•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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: $140Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026