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••• I••••• C••

Former SEC-registered adviserNew York, New YorkCRD 269997SEC 801-105481IAPD
Latest filing Sep 16, 2021
First filing on the tape Jul 25, 2015 · 24 filings
RAUM
$21.5M
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
34
7 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$106M as of Mar 31, 2021
Feb 26, 2016$0 then
HNW client RAUM$8.3M as of Mar 31, 2021
Mar 29, 2018$1.7M then
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Feb 26, 20162 then
Employees (5.A)34 as of Mar 31, 2021
Feb 26, 20162 then
Private funds: no history
RAUM -61% over the last fiscal year+55% a year over threeIARs 2 to 0offices 0 to 1
Practice profile
derived from the filing of Sep 16, 2021; 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
$10.8MderivedRAUM 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
+92%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
+20%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$21.4M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
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
      • A•••••••• O•••• F••••• · Treasurercontrol
        since 06/2021 · owns less than 5%
      • C••••••• M••••••• A••• · Director And Presidentcontrol
        since 06/2021 · owns less than 5%
      • H••••• A•••••• C••••••••• · Secretarycontrol
        since 06/2021 · owns less than 5%
      • I••••• M•••••• N•• · Director And Managing Directorcontrol
        since 06/2021 · owns less than 5%
      • L•••• A••••••••• E••• · Chief Compliance Officer
        since 10/2020 · owns less than 5%
      • S••••••• J••••••• R••••• · Controller
        since 08/2021 · owns less than 5%
      Entity owners
      • J••••••• C•••• H••••••• L•• · Managing Member
        direct · owns 75% or more
      • J••• M••••• C•••• • C•• · Managing Member
        indirect · owns 75% or more of J••••••• C•••• H••••••• L•• · public reporting company
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • San Francisco, CA7 employees
      What changed
      consecutive filings, newest first
      • Accounts · 844 to 2
        Apr 12, 2021 to Sep 16, 2021
      • Advisory employees · 6 to 7
        Apr 12, 2021 to Sep 16, 2021
      • Advisory activities · 2 to 1
        Apr 12, 2021 to Sep 16, 2021
      • BD registered reps · 0 to 2
        Apr 12, 2021 to Sep 16, 2021
      • Charity clients · 4 to 0
        Apr 12, 2021 to Sep 16, 2021
      • HNW clients · 41 to 0
        Apr 12, 2021 to Sep 16, 2021
      • Individual clients · 581 to 0
        Apr 12, 2021 to Sep 16, 2021
      • HQ city · SAN FRANCISCO to NEW YORK
        Apr 12, 2021 to Sep 16, 2021
      • HQ state · CA to NY
        Apr 12, 2021 to Sep 16, 2021
      • Other offices · 0 to 1
        Apr 12, 2021 to Sep 16, 2021
      • Discretionary RAUM · $86.4M to $21.5M
        Apr 12, 2021 to Sep 16, 2021
      • HNW RAUM · $8.3M to $0
        Apr 12, 2021 to Sep 16, 2021
      • Individual RAUM · $15.0M to $0
        Apr 12, 2021 to Sep 16, 2021
      • Non-discretionary RAUM · $19.4M to $0
        Apr 12, 2021 to Sep 16, 2021
      • RAUM · $106M to $21.5M
        Apr 12, 2021 to Sep 16, 2021
      • Related adviser · false to true
        Apr 12, 2021 to Sep 16, 2021
      • Wrap assets (manager) · 0.0 to unset
        Apr 12, 2021 to Sep 16, 2021
      • Wrap assets (sponsor) · 0.0 to unset
        Apr 12, 2021 to Sep 16, 2021
      • Non-discretionary RAUM · $20.0M to $19.4M
        Apr 1, 2021 to Apr 12, 2021
      • RAUM · $106M to $106M
        Apr 1, 2021 to Apr 12, 2021
      • Accounts · 523 to 844
        Nov 3, 2020 to Mar 31, 2021
      • Advisory employees · 2 to 6
        Nov 3, 2020 to Mar 31, 2021
      • Charity clients · 3 to 4
        Nov 3, 2020 to Mar 31, 2021
      • HNW clients · 30 to 41
        Nov 3, 2020 to Mar 31, 2021
      • Individual clients · 489 to 581
        Nov 3, 2020 to Mar 31, 2021
      • Employees · 18 to 34
        Nov 3, 2020 to Mar 31, 2021
      • State-registered IARs · 1 to 0
        Nov 3, 2020 to Mar 31, 2021
      • Discretionary RAUM · $55.4M to $86.4M
        Nov 3, 2020 to Mar 31, 2021
      • HNW RAUM · $6.8M to $8.3M
        Nov 3, 2020 to Mar 31, 2021
      • Individual RAUM · $12.4M to $15.0M
        Nov 3, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $0 to $20.0M
        Nov 3, 2020 to Mar 31, 2021
      • RAUM · $55.4M to $106M
        Nov 3, 2020 to Mar 31, 2021
      • Advisory employees · 3 to 2
        Mar 30, 2020 to Apr 15, 2020
      • Employees · 19 to 18
        Mar 30, 2020 to Apr 15, 2020
      • State-registered IARs · 2 to 1
        Mar 30, 2020 to Apr 15, 2020
      • Accounts · 396 to 523
        Jan 8, 2020 to Mar 30, 2020
      • Advisory employees · 2 to 3
        Jan 8, 2020 to Mar 30, 2020
      • Advisory activities · 1 to 2
        Jan 8, 2020 to Mar 30, 2020
      • Charity clients · 0 to 3
        Jan 8, 2020 to Mar 30, 2020
      • Corporate clients · 2 to 1
        Jan 8, 2020 to Mar 30, 2020
      Signals
      9 dated events
      • M Conor Murray (Chief Operating Officer) no longer on Schedule A of O••• I••••• C•• (listed 2021-04-12, absent 2021-09-16)
        Sep 16, 2021 · Control person left · inference
      • Phillip Wei (Secretary To Board Of Directors) no longer on Schedule A of O••• I••••• C•• (listed 2021-04-12, absent 2021-09-16)
        Sep 16, 2021 · Control person left · inference
      • Joshua Levin (Chief Strategy Officer) no longer on Schedule A of O••• I••••• C•• (listed 2021-04-12, absent 2021-09-16)
        Sep 16, 2021 · Control person left · inference
      • Alan Michael Camacho (Director And President) appeared on Schedule A of O••• I••••• C••
        Sep 16, 2021 · Control person joined · fact
      • Nmn Monica Issar (Director And Managing Director) appeared on Schedule A of O••• I••••• C••
        Sep 16, 2021 · Control person joined · fact
      • Farouk Omar Altahawi (Treasurer) appeared on Schedule A of O••• I••••• C••
        Sep 16, 2021 · Control person joined · fact
      • Christopher Andrew House (Secretary) appeared on Schedule A of O••• I••••• C••
        Sep 16, 2021 · Control person joined · fact
      • Joshua Levin (Chief Strategy Officer) appeared on Schedule A of O••• I••••• C••
        Nov 6, 2019 · Control person joined · fact
      • O••• I••••• C•• filed its initial SEC registration (Form ADV)
        Jul 25, 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.
      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