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••••••• C•••••• M••••••••• L••
Latest filing Sep 1, 2026
First filing on the tape May 15, 2015 · 30 filings
SEC status approved since May 27, 2015
RAUM
$667M
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
25
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$667M as of Mar 31, 2026
Mar 30, 2016$289M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20160 then
Employees (5.A)25 as of Mar 31, 2026
Mar 30, 201631 then
Private funds11 as of Mar 31, 2026
Mar 30, 20162 then
RAUM -37% over the last fiscal year-25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 1, 2026; 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
- $60.6MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -37%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
Also answered yes on Form ADV
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$667M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O••••••• C•••••• P••••••• I•••• L• | Private Equity Fund | $507M | 34 | Apr 2, 2019 |
| O••••••• C•••••• P••••••• I•• L• | Private Equity Fund | $313M | 32 | Apr 2, 2019 |
| O••••••• C•••••• P••••••• I••• L• | Private Equity Fund | $83.2M | 7 | Apr 5, 2022 |
| O••••••• C•••••• P••••••• I••• L• | Private Equity Fund | $75.3M | 16 | May 15, 2015 |
| O••••••• C•••••• P••••••• I• L• | Private Equity Fund | $74.3M | 17 | May 15, 2015 |
| O••••••• C•••••• P••••••• I••• ••••••••• L• | Private Equity Fund | $58.4M | 34 | Mar 31, 2021 |
| O••••••• C•••••• P••••••• I••••• L• | Private Equity Fund | $36.5M | 16 | Apr 5, 2022 |
| O••••••• C•••••• P••••••• I• ••••••••• L• | Private Equity Fund | $36.0M | 32 | Mar 31, 2021 |
| O••• I• E••••••• C••••••••• L• | Private Equity Fund | $6.2M | 21 | Mar 31, 2020 |
| O••• I• E••••••• C••••••••• L• | Private Equity Fund | $618,918 | 16 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• P•••• A•••••• · Chief Operating Officercontrolsince 02/2020 · owns less than 5%
- H•••••••• S•••••• · General Counsel And Secretarycontrolsince 10/2018 · owns less than 5%
- M••••• S••••• N•• · Chief Financial Officercontrolsince 05/2023 · owns less than 5%
- N••••• A•••••• K•••• · Chief Executive Officercontrolsince 04/2012 · owns less than 5%
- L••••••• J•••••• P••• J••••• · Sole Shareholdercontrolsince 01/2008 · owns 75% or more of N••• S••• C••••••••• S•••
- N••••• A•••••• K•••• · Managercontrolsince 12/2004 · owns F of A•• H•••••••• L••
- S••••••• R••••••• E••• · Chief Compliance Officersince 11/2023 · owns less than 5%
Entity owners
- A•• H•••••••• L•• · Managing Memberdirect · owns 75% or more
- N••• S••• C••••••••• S••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- O••••••• C•••••• P••••••• G• I• L•pooled vehicle sponsorn
- O••••••• C•••••• P••••••• G• I• ••••••••• L•pooled vehicle sponsorn
- O••••••• C•••••• P••••••• G• I•• L•pooled vehicle sponsorn
- O••••••• C•••••• P••••••• G• I••• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $1,056,498,848 to $666,821,866 (-37.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +8.0% (673 comparable advisers, 4.0th percentile of changes)peers: asset managers, $500M to $1B (673) · 3.7% percentile
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 31, 2026 to Sep 1, 2026
- Private funds · 11 to unsetMar 31, 2026 to Sep 1, 2026
- Succession · false to unsetMar 31, 2026 to Sep 1, 2026
- Advisory employees · 20 to 15Dec 9, 2025 to Mar 31, 2026
- Employees · 30 to 25Dec 9, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.1B to $667MDec 9, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.1B to $667MDec 9, 2025 to Mar 31, 2026
- RAUM · $1.1B to $667MDec 9, 2025 to Mar 31, 2026
- Accounts · 10 to 11Jan 3, 2025 to Mar 31, 2025
- Advisory employees · 30 to 20Jan 3, 2025 to Mar 31, 2025
- Pooled vehicle clients · 10 to 11Jan 3, 2025 to Mar 31, 2025
- Employees · 40 to 30Jan 3, 2025 to Mar 31, 2025
- Financial planning clients · unset to Jan 3, 2025 to Mar 31, 2025
- HQ city · LOS ANGELES to NEW YORKJan 3, 2025 to Mar 31, 2025
- HQ state · CA to NYJan 3, 2025 to Mar 31, 2025
- Other offices · 1 to 0Jan 3, 2025 to Mar 31, 2025
- Private funds · 10 to 11Jan 3, 2025 to Mar 31, 2025
- Discretionary RAUM · $1.5B to $1.1BJan 3, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $1.5B to $1.1BJan 3, 2025 to Mar 31, 2025
- RAUM · $1.5B to $1.1BJan 3, 2025 to Mar 31, 2025
- Other offices · 0 to 1Mar 28, 2024 to Jan 3, 2025
- Advisory employees · 22 to 30Nov 8, 2023 to Mar 28, 2024
- Assets in custody · 1164429735.0 to unsetNov 8, 2023 to Mar 28, 2024
- Custody of client assets · true to falseNov 8, 2023 to Mar 28, 2024
- Employees · 53 to 40Nov 8, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.6B to $1.5BNov 8, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.6B to $1.5BNov 8, 2023 to Mar 28, 2024
- RAUM · $1.6B to $1.5BNov 8, 2023 to Mar 28, 2024
- Advisory employees · 20 to 22Feb 10, 2023 to Mar 31, 2023
- Assets in custody · unset to 1164429735.0Feb 10, 2023 to Mar 31, 2023
- Custody of client assets · false to trueFeb 10, 2023 to Mar 31, 2023
- Employees · 31 to 53Feb 10, 2023 to Mar 31, 2023
- Discretionary RAUM · $1.4B to $1.6BFeb 10, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $1.4B to $1.6BFeb 10, 2023 to Mar 31, 2023
- RAUM · $1.4B to $1.6BFeb 10, 2023 to Mar 31, 2023
- Accounts · 8 to 10Jan 3, 2022 to Apr 5, 2022
- Pooled vehicle clients · 8 to 10Jan 3, 2022 to Apr 5, 2022
- Employees · 26 to 31Jan 3, 2022 to Apr 5, 2022
- Private funds · 8 to 10Jan 3, 2022 to Apr 5, 2022
- Discretionary RAUM · $1.2B to $1.4BJan 3, 2022 to Apr 5, 2022
Signals
12 dated events
- O••••••• C•••••• M••••••••• L•• reported RAUM $666.8M, down 37% from $1.1B (2025-12-09 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- O••••••• C•••••• M••••••••• L•• reported RAUM $1.1B, down 30% from $1.5B (2025-01-03 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Jean Heather Malloy (Chief Financial Officer) no longer on Schedule A of O••••••• C•••••• M••••••••• L•• (listed 2023-04-04, absent 2023-06-07)Jun 7, 2023 · Control person left · inference
- Nmn Samir Mohin (Chief Financial Officer) appeared on Schedule A of O••••••• C•••••• M••••••••• L••Jun 7, 2023 · Control person joined · fact
- Jean Heather Malloy (Chief Financial Officer) appeared on Schedule A of O••••••• C•••••• M••••••••• L••Nov 13, 2020 · Control person joined · fact
- Kiekert Sebastien Le Moult (Sole Shareholder) no longer on Schedule A of O••••••• C•••••• M••••••••• L•• (listed 2020-03-31, absent 2020-07-24)Jul 24, 2020 · Control person left · inference
- A. Paul Bridwell (Chief Operating Officer) appeared on Schedule A of O••••••• C•••••• M••••••••• L••Mar 31, 2020 · Control person joined · fact
- O••••••• C•••••• M••••••••• L•• reported RAUM $1.1B, up 36% from $802.0M (2020-01-16 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- Kiekert Sebastien Le Moult (Sole Shareholder) appeared on Schedule A of O••••••• C•••••• M••••••••• L••Jan 16, 2020 · Control person joined · fact
- O••••••• C•••••• M••••••••• L•• reported RAUM $802.0M, up 102% from $397.7M (2018-11-09 to 2019-04-02)Apr 2, 2019 · RAUM change · derived
- O••••••• C•••••• M••••••••• L•• reported RAUM $397.7M, up 37% from $289.8M (2017-05-12 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- O••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 15, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O••••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- O••••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- O•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-400-7400reportedpublic record, Form ADV, Sep 1, 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
- Asset manager (funds and pooled vehicles)deriveda 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