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•••••• P••••••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 170434SEC 801-79199IAPD
Latest filing Mar 31, 2018
First filing on the tape Feb 6, 2014 · 11 filings
RAUM
$73.8M
reported, Item 5.F
Discretionary
0.0%
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
11
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$73.8M as of Mar 31, 2018
Mar 31, 2015$302M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2018
Mar 31, 20150 then
Employees (5.A)11 as of Mar 31, 2018
Mar 31, 20153 then
Private funds: no history
RAUM -66% over the last fiscal year-37% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2018; 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
$14.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
-66%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
otherreportedItem 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
  • Other investment advisers$22.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
0reported
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
      • B•••••• M••••••• D••••• · Chief Executive Officer - Elected Membercontrol
        since 01/2014 · owns less than 5%
      • D•••••• K••••• J••••• · Chief Financial Officercontrol
        since 02/2017 · owns less than 5%
      • E••••• J•••• E•••• · Chief Compliance Officercontrol
        since 11/2017 · owns less than 5%
      • S••••••• D••••• N••• · Chief Investment Officer - Elected Membercontrol
        since 01/2014 · owns less than 5%
      • U•••••• W••••••• A•••••••• · Chief Commercial Officercontrol
        since 06/2016 · owns less than 5%
      Entity owners
      • O•••••• A••• I•• · Owner - Sole Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 34 to 5
        Dec 26, 2017 to Mar 31, 2018
      • Advisory employees · 24 to 11
        Dec 26, 2017 to Mar 31, 2018
      • BD registered reps · 9 to 2
        Dec 26, 2017 to Mar 31, 2018
      • Employees · 24 to 11
        Dec 26, 2017 to Mar 31, 2018
      • Financial planning clients · unset to 0
        Dec 26, 2017 to Mar 31, 2018
      • Non-discretionary RAUM · $216M to $73.8M
        Dec 26, 2017 to Mar 31, 2018
      • RAUM · $216M to $73.8M
        Dec 26, 2017 to Mar 31, 2018
      • Other offices · unset to 0.0
        Aug 1, 2017 to Dec 26, 2017
      • Accounts · 59 to 34
        Nov 28, 2016 to Mar 31, 2017
      • Advisory employees · 26 to 24
        Nov 28, 2016 to Mar 31, 2017
      • BD registered reps · 0 to 9
        Nov 28, 2016 to Mar 31, 2017
      • Employees · 26 to 24
        Nov 28, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $439M to $216M
        Nov 28, 2016 to Mar 31, 2017
      • RAUM · $439M to $216M
        Nov 28, 2016 to Mar 31, 2017
      • Related broker-dealer · false to true
        Nov 28, 2016 to Mar 31, 2017
      • Accounts · 115 to 59
        Mar 31, 2015 to Mar 29, 2016
      • Advisory employees · 3 to 26
        Mar 31, 2015 to Mar 29, 2016
      • Business name · O•••••• I••••••••• A•••••••• L•• to O•••••• P••••••• A•••••••• L••
        Mar 31, 2015 to Mar 29, 2016
      • Employees · 3 to 26
        Mar 31, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $302M to $439M
        Mar 31, 2015 to Mar 29, 2016
      • RAUM · $302M to $439M
        Mar 31, 2015 to Mar 29, 2016
      • Accounts · 11 to 115
        Jun 18, 2014 to Mar 31, 2015
      • Advisory activities · 2 to 1
        Jun 18, 2014 to Mar 31, 2015
      • Discretionary RAUM · $54.2M to $0
        Jun 18, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $0 to $302M
        Jun 18, 2014 to Mar 31, 2015
      • RAUM · $54.2M to $302M
        Jun 18, 2014 to Mar 31, 2015
      • Accounts · 1 to 11
        Feb 6, 2014 to Jun 18, 2014
      • Legal name · O•••••• I••••••••• A•••••••• L•• to O•••••• P••••••• A•••••••• L••
        Feb 6, 2014 to Jun 18, 2014
      • Discretionary RAUM · $0 to $54.2M
        Feb 6, 2014 to Jun 18, 2014
      • Non-discretionary RAUM · $700,000 to $0
        Feb 6, 2014 to Jun 18, 2014
      • RAUM · $700,000 to $54.2M
        Feb 6, 2014 to Jun 18, 2014
      Signals
      2 dated events
      • O•••••• P••••••• A•••••••• L•• reported RAUM $73.8M, down 66% from $215.6M (2017-12-26 to 2018-03-31)
        Mar 31, 2018 · RAUM change · derived
      • O•••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 6, 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