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•• T••••••• • O•• V••••• M••••••••• L••
Latest filing Mar 31, 2023
First filing on the tape Jan 14, 2015 · 19 filings
RAUM
$158M
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
7
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
$158M gross assets
History
19 filings and snapshots on the tape
RAUM$158M as of Mar 31, 2023
Mar 30, 2016$121M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 30, 20161 then
Employees (5.A)7 as of Mar 31, 2023
Mar 30, 20163 then
Private funds2 as of Mar 31, 2023
Mar 30, 20161 then
RAUM -31% over the last fiscal year+9.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2023; 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
- $79.1MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -31%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-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- Pooled investment vehicles$158M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•• T••••••• • O•• V••••• A••••• F••• I• L••• | Private Equity Fund | $115M | 21 | Jan 14, 2015 |
| F••••••••• C••••• F••• I• L••• | Private Equity Fund | $43.7M | 7 | May 10, 2021 |
Owners and control persons
Schedule A and B, latest filing
- J••••••• H••••••• F••••••• · Chief Executive Officer, Chief Compliance Officer And Presidentcontrolsince 04/2013 · owns less than 5%
- J••••••• H••••••• F••••••• · Member And Managercontrolsince 04/2009 · owns 75% or more of L•••••••• H•••••••
Entity owners
- L•••••••• H••••••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- F••••• L••••• C•••••• C••••• I••••••••• L••pooled vehicle sponsorn
- O•• T••••••• • O•• V••••• A••••• F••• I• I••••••••• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Stellenbosch, South Africa4 employees
- Ebene, Mauritius
What changed
consecutive filings, newest first
- Employees · 6 to 7Sep 22, 2022 to Mar 31, 2023
- Discretionary RAUM · $230M to $158MSep 22, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $230M to $158MSep 22, 2022 to Mar 31, 2023
- RAUM · $230M to $158MSep 22, 2022 to Mar 31, 2023
- Advisory employees · 9 to 4May 10, 2021 to Mar 30, 2022
- Employees · 10 to 6May 10, 2021 to Mar 30, 2022
- Discretionary RAUM · $246M to $230MMay 10, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $246M to $230MMay 10, 2021 to Mar 30, 2022
- RAUM · $246M to $230MMay 10, 2021 to Mar 30, 2022
- Accounts · 1 to 2Mar 31, 2021 to May 10, 2021
- Advisory employees · 4 to 9Mar 31, 2021 to May 10, 2021
- Pooled vehicle clients · 1 to 2Mar 31, 2021 to May 10, 2021
- Employees · 6 to 10Mar 31, 2021 to May 10, 2021
- Private funds · 1 to 2Mar 31, 2021 to May 10, 2021
- Discretionary RAUM · $136M to $246MMar 31, 2021 to May 10, 2021
- Pooled vehicle RAUM · $136M to $246MMar 31, 2021 to May 10, 2021
- RAUM · $136M to $246MMar 31, 2021 to May 10, 2021
- Advisory employees · 3 to 4Mar 26, 2020 to Mar 31, 2021
- Employees · 3 to 6Mar 26, 2020 to Mar 31, 2021
- Other offices · 0 to 2Mar 26, 2020 to Mar 31, 2021
- Discretionary RAUM · $121M to $136MMar 26, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $121M to $136MMar 26, 2020 to Mar 31, 2021
- RAUM · $121M to $136MMar 26, 2020 to Mar 31, 2021
- Related adviser · true to falseMar 26, 2020 to Mar 31, 2021
- Other offices · 1 to 0Mar 29, 2019 to Mar 26, 2020
- Discretionary RAUM · $117M to $121MMar 1, 2019 to Mar 29, 2019
- Pooled vehicle RAUM · $117M to $121MMar 1, 2019 to Mar 29, 2019
- RAUM · $117M to $121MMar 1, 2019 to Mar 29, 2019
- Pooled vehicle clients · unset to 1.0Aug 1, 2017 to Mar 22, 2018
- State-registered IARs · 1 to 0Aug 1, 2017 to Mar 22, 2018
- Other offices · unset to 1.0Aug 1, 2017 to Mar 22, 2018
- Discretionary RAUM · $125M to $117MAug 1, 2017 to Mar 22, 2018
- Pooled vehicle RAUM · unset to 117272464.0Aug 1, 2017 to Mar 22, 2018
- RAUM · $125M to $117MAug 1, 2017 to Mar 22, 2018
- HQ city · DENVER to GREENWOOD VILLAGEMar 30, 2016 to Mar 28, 2017
- Discretionary RAUM · $121M to $125MMar 30, 2016 to Mar 28, 2017
- RAUM · $121M to $125MMar 30, 2016 to Mar 28, 2017
- Discretionary RAUM · $106M to $121MDec 23, 2015 to Mar 30, 2016
- RAUM · $106M to $121MDec 23, 2015 to Mar 30, 2016
- Discretionary RAUM · $67.5M to $106MJun 12, 2015 to Dec 23, 2015
Signals
3 dated events
- O•• T••••••• • O•• V••••• M••••••••• L•• reported RAUM $246.1M, up 81% from $136.1M (2021-03-31 to 2021-05-10)May 10, 2021 · RAUM change · derived
- Stevens Kathleen Matheny (Chief Financial Officer, Chief Operating Officer And Chief Compliance Officer) no longer on Schedule A of O•• T••••••• • O•• V••••• M••••••••• L•• (listed 2019-03-01, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- O•• T••••••• • O•• V••••• filed its initial SEC registration (Form ADV)Jan 14, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O•• T••••••• • O•• V••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- O•• T••••••• • O•• V••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/ONE-T•••••••-&-ONE-V•••••-1K1V-reportedpublic record, Form ADV, Sep 19, 2026
- Firm profile
- linkedin.com/company/family-legacy-capitalreportedpublic record, Form ADV, Sep 19, 2026
- Website
- 1K1V.COMreportedpublic record, Form ADV, Sep 19, 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
- 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