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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

O• P•••••• C•••••• L••

Former SEC-registered adviserCRD 269970SEC 801-101513IAPD
Latest filing Mar 4, 2016
First filing on the tape Jul 10, 2015 · 10 filings
RAUM
$11.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$11.0M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$10.0M gross assets
History
10 filings and snapshots on the tape
RAUM$11.0M as of Mar 4, 2016
Jul 10, 2015$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 4, 2016
Jul 10, 20151 then
Employees (5.A)1 as of Mar 4, 2016
Jul 10, 20151 then
Private funds1 as of Mar 4, 2016
Jul 10, 20151 then
Practice profile
derived from the filing of Mar 4, 2016; every figure names its basis
RAUM per advisor
$11.0MderivedRAUM 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
$407,407derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
27reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
N••• G••••• P••••Walnut Creek, CaApr 19, 202520 y1
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
Every departureEvery arrival
Private funds
2 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
S• V• C•••••• I••••••••• P••••••• M•••••• L•••Hedge Fund$10.0M2Jul 10, 2015
S• V• C•••••• P•••••••• L••Hedge Fund$02Oct 6, 2015
Owners and control persons
Schedule A and B, latest filing
  • P••••• N•••• G• · Managing Member & Chief Compliance Officercontrol
    since 07/2015 · 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
  • Private funds · 2 to 1
    Nov 23, 2015 to Dec 8, 2015
  • Private funds · 1 to 2
    Sep 28, 2015 to Oct 6, 2015
  • Related adviser · true to false
    Sep 28, 2015 to Oct 6, 2015
  • Advisory activities · 4 to 5
    Aug 31, 2015 to Sep 28, 2015
  • BD registered reps · 1 to 0
    Aug 31, 2015 to Sep 28, 2015
  • Related adviser · false to true
    Aug 31, 2015 to Sep 28, 2015
  • Accounts · 0 to 27
    Jul 31, 2015 to Aug 31, 2015
  • Discretionary RAUM · $0 to $11.0M
    Jul 31, 2015 to Aug 31, 2015
  • RAUM · $0 to $11.0M
    Jul 31, 2015 to Aug 31, 2015
Signals
1 dated events
  • O• P•••••• C•••••• L•• filed its initial SEC registration (Form ADV)
    Jul 10, 2015 · 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
Website
OMP••••••CAP.COMreportedpublic record, Form ADV, Sep 18, 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
$11.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026