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Former SEC-registered adviser

O•••• C•••• A•••••••• L••

Former SEC-registered adviserCRD 171402SEC 801-80611websiteIAPD
Latest filing Aug 20, 2025
First filing on the tape Nov 12, 2014 · 24 filings
SEC status approved since Nov 25, 2014
RAUM
$230M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.6%
$1.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$230M as of Aug 20, 2025
Mar 13, 2015$106M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 20, 2025
Mar 13, 20150 then
Employees (5.A)4 as of Aug 20, 2025
Mar 13, 20157 then
Private funds: no history
RAUM +11% over the last fiscal year+3.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 20, 2025; 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
$76.6MderivedRAUM 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
+3.8%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
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$228M99%
  • Individuals$1.4M0.6%
Individual clients
7reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
reported
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••••• J•••••• A••••• · Member, Chief Operating Officercontrol
        since 08/2015 · owns 10% to 25%
      • W••••••• T••••• C•••••• · Member, Managercontrol
        since 10/2014 · owns 25% to 50%
      • W•••••••• G•••••• T•••••• · Member, Managercontrol
        since 10/2014 · owns 10% to 25%
      • M••••• A•••••• A•••• · Chief Compliance Officer
        since 07/2022 · owns less than 5%
      • R•••• C•••• J••••• · Member
        since 06/2021 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list O•••• C•••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Greenwich, CT1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 3
        Mar 21, 2025 to Aug 20, 2025
      • Employees · 5 to 4
        Mar 21, 2025 to Aug 20, 2025
      • HQ city · PALM BEACH GARDENS to
        Mar 21, 2025 to Aug 20, 2025
      • HQ state · FL to
        Mar 21, 2025 to Aug 20, 2025
      • Discretionary RAUM · $216M to $230M
        Mar 21, 2025 to Aug 20, 2025
      • Individual RAUM · $2.2M to $1.4M
        Mar 21, 2025 to Aug 20, 2025
      • RAUM · $216M to $230M
        Mar 21, 2025 to Aug 20, 2025
      • Accounts · 12 to 9
        Aug 20, 2024 to Mar 21, 2025
      • Individual clients · 10 to 7
        Aug 20, 2024 to Mar 21, 2025
      • Financial planning clients · unset to
        Aug 20, 2024 to Mar 21, 2025
      • Discretionary RAUM · $229M to $216M
        Aug 20, 2024 to Mar 21, 2025
      • Individual RAUM · $2.8M to $2.2M
        Aug 20, 2024 to Mar 21, 2025
      • RAUM · $229M to $216M
        Aug 20, 2024 to Mar 21, 2025
      • Accounts · 14 to 12
        Mar 22, 2024 to Aug 20, 2024
      • Individual clients · 13 to 10
        Mar 22, 2024 to Aug 20, 2024
      • Discretionary RAUM · $208M to $229M
        Mar 22, 2024 to Aug 20, 2024
      • Individual RAUM · $3.1M to $2.8M
        Mar 22, 2024 to Aug 20, 2024
      • RAUM · $208M to $229M
        Mar 22, 2024 to Aug 20, 2024
      • Discretionary RAUM · $215M to $208M
        Oct 17, 2023 to Mar 22, 2024
      • Individual RAUM · $2.9M to $3.1M
        Oct 17, 2023 to Mar 22, 2024
      • RAUM · $215M to $208M
        Oct 17, 2023 to Mar 22, 2024
      • Advisory employees · 3 to 2
        Mar 17, 2023 to Oct 17, 2023
      • Employees · 6 to 5
        Mar 17, 2023 to Oct 17, 2023
      • Discretionary RAUM · $265M to $215M
        Mar 17, 2023 to Oct 17, 2023
      • Individual RAUM · $2.6M to $2.9M
        Mar 17, 2023 to Oct 17, 2023
      • RAUM · $265M to $215M
        Mar 17, 2023 to Oct 17, 2023
      • Accounts · 12 to 14
        Oct 7, 2022 to Mar 17, 2023
      • Individual clients · 11 to 13
        Oct 7, 2022 to Mar 17, 2023
      • Discretionary RAUM · $207M to $265M
        Oct 7, 2022 to Mar 17, 2023
      • Individual RAUM · $2.4M to $2.6M
        Oct 7, 2022 to Mar 17, 2023
      • RAUM · $207M to $265M
        Oct 7, 2022 to Mar 17, 2023
      • Accounts · 5 to 12
        Apr 27, 2021 to Mar 28, 2022
      • Individual clients · 4 to 11
        Apr 27, 2021 to Mar 28, 2022
      • Discretionary RAUM · $166M to $207M
        Apr 27, 2021 to Mar 28, 2022
      • Individual RAUM · $816,640 to $2.4M
        Apr 27, 2021 to Mar 28, 2022
      • RAUM · $166M to $207M
        Apr 27, 2021 to Mar 28, 2022
      • Accounts · 1 to 5
        Jun 24, 2020 to Mar 31, 2021
      • Advisory activities · 2 to 3
        Jun 24, 2020 to Mar 31, 2021
      • Individual clients · unset to 4.0
        Jun 24, 2020 to Mar 31, 2021
      • Discretionary RAUM · $179M to $166M
        Jun 24, 2020 to Mar 31, 2021
      Signals
      7 dated events
      • O•••• C•••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $229.7M)
        Dec 20, 2025 · Left the SEC roster · derived
      • Keith Roger Long (Member, Manager) no longer on Schedule A of O•••• C•••• A•••••••• L•• (listed 2023-03-17, absent 2023-10-17)
        Oct 17, 2023 · Control person left · inference
      • Arthur Justin Beals (Member, Chief Operating Officer) appeared on Schedule A of O•••• C•••• A•••••••• L••
        Apr 27, 2021 · Control person joined · fact
      • Justin A Beals (Member, Chief Operating Officer) no longer on Schedule A of O•••• C•••• A•••••••• L•• (listed 2021-03-31, absent 2021-04-27)
        Apr 27, 2021 · Control person left · inference
      • J Michael Winter (Member, Manager) no longer on Schedule A of O•••• C•••• A•••••••• L•• (listed 2019-03-28, absent 2020-03-27)
        Mar 27, 2020 · Control person left · inference
      • O•••• C•••• A•••••••• L•• reported RAUM $199.6M, down 58% from $473.0M (2018-03-27 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      • O•••• C•••• F••••• L•• filed its initial SEC registration (Form ADV)
        Nov 12, 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