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••••• B••••• M••••••••• L••
Latest filing Sep 30, 2021
First filing on the tape Oct 23, 2015 · 15 filings
RAUM
$335M
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
22
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$335M gross assets
History
15 filings and snapshots on the tape
RAUM$335M as of Mar 31, 2021
Mar 30, 2016$152M then
HNW client RAUM$0 as of Mar 31, 2021
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 30, 20160 then
Employees (5.A)22 as of Mar 31, 2021
Mar 30, 201618 then
Private funds3 as of Mar 31, 2021
Mar 30, 20161 then
RAUM -2.2% over the last fiscal year-5.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 30, 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
- $112MderivedRAUM 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
- -2.2%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
- Custody
- $321M, 3 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$335M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $321M for 3 clientsreported
- 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••••• B•••••• L•• | Private Equity Fund | $71.8M | 7 | Oct 23, 2015 |
| O••••• G•••• L••no longer reported | Hedge Fund | $0 | 0 | Apr 24, 2018 |
Owners and control persons
Schedule A and B, latest filing
- C••••• J•••••••• H••••• · Ceocontrolsince 10/2015 · owns less than 5%
- C••••••• G•••••• R•••••• · Chief Compliance Officercontrolsince 10/2015 · owns less than 5%
- R••••••••• S•••• B•••• · Presidentcontrolsince 10/2015 · owns less than 5%
- R••••• B••••• L••••••• · Chief Financial Officercontrolsince 10/2015 · owns less than 5%
- C••••• J•••••••• H••••• · Managing Membercontrolsince 06/2010 · owns 50% to 75% of O••••• F••••• L••
- R••••••••• S•••• B•••• · Membercontrolsince 06/2010 · owns 25% to 50% of O••••• F••••• L••
- M•••• D•••••• · Membersince 10/2015 · owns 10% to 25%
- M••••••••• D•••••• M•••••• · Membersince 10/2015 · owns 10% to 25%
Entity owners
- O••••• F••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- O••••• F••••• L••pooled vehicle sponsory
- O••••• L••• M••••••••• L••investment advisernRAUM $2.3B
- O••••• S••••• M••••••••• L••investment advisernRAUM $307M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $333M to $321MMar 27, 2020 to Mar 31, 2021
- Employees · 21 to 22Mar 27, 2020 to Mar 31, 2021
- Discretionary RAUM · $342M to $335MMar 27, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $342M to $335MMar 27, 2020 to Mar 31, 2021
- RAUM · $342M to $335MMar 27, 2020 to Mar 31, 2021
- Advisory employees · 10 to 11Mar 28, 2019 to Mar 27, 2020
- Assets in custody · $307M to $333MMar 28, 2019 to Mar 27, 2020
- Employees · 20 to 21Mar 28, 2019 to Mar 27, 2020
- Discretionary RAUM · $313M to $342MMar 28, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $313M to $342MMar 28, 2019 to Mar 27, 2020
- RAUM · $313M to $342MMar 28, 2019 to Mar 27, 2020
- Assets in custody · $312M to $307MNov 20, 2018 to Mar 28, 2019
- Employees · 19 to 20Nov 20, 2018 to Mar 28, 2019
- Private funds · 2 to 3Nov 20, 2018 to Mar 28, 2019
- Discretionary RAUM · $367M to $313MNov 20, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $367M to $313MNov 20, 2018 to Mar 28, 2019
- RAUM · $367M to $313MNov 20, 2018 to Mar 28, 2019
- Accounts · 2 to 3Apr 24, 2018 to Nov 20, 2018
- Pooled vehicle clients · 2 to 3Apr 24, 2018 to Nov 20, 2018
- Assets in custody · $385M to $312MApr 24, 2018 to Nov 20, 2018
- Discretionary RAUM · $390M to $367MApr 24, 2018 to Nov 20, 2018
- Pooled vehicle RAUM · $390M to $367MApr 24, 2018 to Nov 20, 2018
- RAUM · $390M to $367MApr 24, 2018 to Nov 20, 2018
- Accounts · 1 to 2Mar 29, 2018 to Apr 24, 2018
- Pooled vehicle clients · 1 to 2Mar 29, 2018 to Apr 24, 2018
- Private funds · 1 to 2Mar 29, 2018 to Apr 24, 2018
- Advisory employees · 9 to 10Mar 31, 2017 to Mar 29, 2018
- Charity clients · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- Corporate clients · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- HNW clients · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- Individual clients · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- Pension plan clients · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 1.0Mar 31, 2017 to Mar 29, 2018
- Assets in custody · $278M to $385MMar 31, 2017 to Mar 29, 2018
- Employees · 18 to 19Mar 31, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- Discretionary RAUM · $285M to $390MMar 31, 2017 to Mar 29, 2018
- HNW RAUM · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- Individual RAUM · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- Pension RAUM · unset to 0.0Mar 31, 2017 to Mar 29, 2018
Signals
2 dated events
- O••••• B••••• M••••••••• L•• reported RAUM $390.3M, up 37% from $285.2M (2017-03-31 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- O••••• B••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 23, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O••••• B••••• M••••••••• L•• · Private Equityshared crd · organization
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