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•••• L••• A••••••• L••

Former SEC-registered adviserBridgewater, New JerseyCRD 282278SEC 801-107011websiteIAPD
Latest filing Mar 28, 2024
First filing on the tape Nov 30, 2015 · 23 filings
SEC status approved since Jan 4, 2016
RAUM
$19.2M
reported, Item 5.F
Discretionary
0.0%
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
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$19.2M as of Mar 28, 2024
Mar 31, 2017$141,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 31, 20170 then
Employees (5.A)6 as of Mar 28, 2024
Mar 31, 20174 then
Private funds: no history
RAUM +0.8% over the last fiscal year-5.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2024; 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
$9.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
+0.8%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, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 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
  • Investment companies$19.2M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      • M••••••••• M••••••• C•••••• · Chief Executive Officercontrol
        since 07/2018 · owns 10% to 25%
      • M••••••••• P••••• F•••• · Chief Compliance Officercontrol
        since 02/2015 · owns less than 5%
      • M••••••••• M••••••• C•••••• · Ownercontrol
        since 12/2020 · owns 25% to 50% of O•••• L••• I•••
      Entity owners
      • O•••• L••• I••• · Corporation
        direct · 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
      • Advisory employees · 3 to 4
        Mar 28, 2023 to Mar 28, 2024
      • Employees · 5 to 6
        Mar 28, 2023 to Mar 28, 2024
      • Non-discretionary RAUM · $19.0M to $19.2M
        Mar 28, 2023 to Mar 28, 2024
      • RAUM · $19.0M to $19.2M
        Mar 28, 2023 to Mar 28, 2024
      • Advisory employees · 4 to 3
        Mar 29, 2022 to Mar 28, 2023
      • Non-discretionary RAUM · $20.9M to $19.0M
        Mar 29, 2022 to Mar 28, 2023
      • RAUM · $20.9M to $19.0M
        Mar 29, 2022 to Mar 28, 2023
      • Advisory activities · 2 to 3
        Aug 7, 2021 to Mar 29, 2022
      • Employees · 6 to 5
        Aug 7, 2021 to Mar 29, 2022
      • Non-discretionary RAUM · $22.5M to $20.9M
        Aug 7, 2021 to Mar 29, 2022
      • RAUM · $22.5M to $20.9M
        Aug 7, 2021 to Mar 29, 2022
      • BD registered reps · 4 to 5
        Apr 27, 2021 to Aug 7, 2021
      • Employees · 5 to 6
        Apr 27, 2021 to Aug 7, 2021
      • Non-discretionary RAUM · $22.8M to $22.5M
        Apr 27, 2021 to Aug 7, 2021
      • RAUM · $22.8M to $22.5M
        Apr 27, 2021 to Aug 7, 2021
      • Accounts · 3 to 2
        Dec 21, 2020 to Mar 31, 2021
      • Advisory employees · 3 to 4
        Dec 21, 2020 to Mar 31, 2021
      • BD registered reps · 3 to 4
        Dec 21, 2020 to Mar 31, 2021
      • Employees · 4 to 5
        Dec 21, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $22.7M to $22.8M
        Dec 21, 2020 to Mar 31, 2021
      • RAUM · $22.7M to $22.8M
        Dec 21, 2020 to Mar 31, 2021
      • HQ city · CHATHAM to BRIDGEWATER
        Jun 1, 2020 to Jul 27, 2020
      • Discretionary RAUM · $22.7M to $0
        Mar 31, 2020 to Apr 5, 2020
      • Non-discretionary RAUM · $0 to $22.7M
        Mar 31, 2020 to Apr 5, 2020
      • Advisory employees · 2 to 3
        Mar 26, 2019 to Mar 31, 2020
      • Employees · 3 to 4
        Mar 26, 2019 to Mar 31, 2020
      • Discretionary RAUM · $0 to $22.7M
        Mar 26, 2019 to Mar 31, 2020
      • Non-discretionary RAUM · $21.3M to $0
        Mar 26, 2019 to Mar 31, 2020
      • RAUM · $21.3M to $22.7M
        Mar 26, 2019 to Mar 31, 2020
      • Non-discretionary RAUM · $21.0M to $21.3M
        Nov 9, 2018 to Mar 26, 2019
      • RAUM · $21.0M to $21.3M
        Nov 9, 2018 to Mar 26, 2019
      • Related adviser · true to false
        Nov 9, 2018 to Mar 26, 2019
      • HQ city · SUMMIT to CHATHAM
        Aug 6, 2018 to Nov 9, 2018
      • Advisory employees · 4 to 2
        Mar 28, 2018 to Aug 6, 2018
      • BD registered reps · 2 to 3
        Mar 28, 2018 to Aug 6, 2018
      • Employees · 4 to 3
        Mar 28, 2018 to Aug 6, 2018
      • HQ city · PRINCETON to SUMMIT
        Mar 28, 2018 to Aug 6, 2018
      • Accounts · 1 to 3
        Mar 31, 2017 to Mar 28, 2018
      • Financial planning clients · unset to 0
        Mar 31, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      Signals
      3 dated events
      • O•••• L••• A••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $19.2M)
        May 2, 2025 · Left the SEC roster · derived
      • Spencer Michel Serieyssol (Member) no longer on Schedule A of O•••• L••• A••••••• L•• (listed 2020-07-27, absent 2020-12-21)
        Dec 21, 2020 · Control person left · inference
      • O•••• L••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 30, 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