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•• T••• I••••••••• P••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 282876SEC 801-107974IAPD
Latest filing Mar 25, 2021
First filing on the tape Feb 16, 2016 · 15 filings
RAUM
$180M
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
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$180M gross assets
History
15 filings and snapshots on the tape
RAUM$180M as of Mar 25, 2021
Mar 23, 2017$176M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2021
Mar 23, 20170 then
Employees (5.A)10 as of Mar 25, 2021
Mar 23, 20179 then
Private funds2 as of Mar 25, 2021
Mar 23, 20171 then
RAUM -32% over the last fiscal year-4.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
$22.5MderivedRAUM 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
-32%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
yesreportedItem 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
  • 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)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$180M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O•• T••• M••••• F••• L•Hedge Fund$178M28Sep 19, 2016
      O•• T••• L•••• L••••• M••••• F••• L•Hedge Fund$1.2M4Mar 6, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • F••••• R•••••• G••••• · Partner And Head Tradercontrol
        since 05/2016 · owns less than 5%
      • L••• W••••••• V••••• · Chief Executive Officer / Managing Partnercontrol
        since 09/2015 · owns 75% or more
      • L••••••••• R••••••• C•••••• · Chief Compliance Officer / Chief Financial Officercontrol
        since 01/2021 · owns less than 5%
      • L••• W••••••• V••••• · Managing Membercontrol
        since 09/2015 · owns 75% or more of O•• T••• I••••••••• P••••••• G• L••
      Entity owners
      • O•• T••• I••••••••• P••••••• G• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • O•• T••• C•••••• P••••••• L••
        pooled vehicle sponsorn
      • O•• T••• L•••• L••••• C•••••• P••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $266M to $180M
        Jan 6, 2021 to Mar 25, 2021
      • Pooled vehicle RAUM · $266M to $180M
        Jan 6, 2021 to Mar 25, 2021
      • RAUM · $266M to $180M
        Jan 6, 2021 to Mar 25, 2021
      • Accounts · 4 to 8
        Mar 25, 2019 to Mar 6, 2020
      • Pooled vehicle clients · 4 to 8
        Mar 25, 2019 to Mar 6, 2020
      • Employees · 9 to 10
        Mar 25, 2019 to Mar 6, 2020
      • Private funds · 1 to 2
        Mar 25, 2019 to Mar 6, 2020
      • Discretionary RAUM · $192M to $266M
        Mar 25, 2019 to Mar 6, 2020
      • Pooled vehicle RAUM · $192M to $266M
        Mar 25, 2019 to Mar 6, 2020
      • RAUM · $192M to $266M
        Mar 25, 2019 to Mar 6, 2020
      • Discretionary RAUM · $208M to $192M
        Mar 14, 2018 to Mar 25, 2019
      • Pooled vehicle RAUM · $208M to $192M
        Mar 14, 2018 to Mar 25, 2019
      • RAUM · $208M to $192M
        Mar 14, 2018 to Mar 25, 2019
      • Pooled vehicle clients · unset to 4.0
        Sep 8, 2017 to Mar 14, 2018
      • Other offices · unset to 0.0
        Sep 8, 2017 to Mar 14, 2018
      • Discretionary RAUM · $176M to $208M
        Sep 8, 2017 to Mar 14, 2018
      • Pooled vehicle RAUM · unset to 208174340.0
        Sep 8, 2017 to Mar 14, 2018
      • RAUM · $176M to $208M
        Sep 8, 2017 to Mar 14, 2018
      • Employees · 8 to 9
        Sep 19, 2016 to Mar 23, 2017
      • Discretionary RAUM · $32.0M to $176M
        Sep 19, 2016 to Mar 23, 2017
      • RAUM · $32.0M to $176M
        Sep 19, 2016 to Mar 23, 2017
      • Accounts · unset to 4.0
        Jul 14, 2016 to Sep 19, 2016
      • Advisory employees · 6 to 5
        Jul 14, 2016 to Sep 19, 2016
      • Assets in custody · unset to 0.0
        Jul 14, 2016 to Sep 19, 2016
      • Custody of client assets · false to true
        Jul 14, 2016 to Sep 19, 2016
      • Employees · 9 to 8
        Jul 14, 2016 to Sep 19, 2016
      • Private funds · unset to 1
        Jul 14, 2016 to Sep 19, 2016
      • Discretionary RAUM · unset to 32000000.0
        Jul 14, 2016 to Sep 19, 2016
      • Non-discretionary RAUM · unset to 0.0
        Jul 14, 2016 to Sep 19, 2016
      • RAUM · unset to 32000000.0
        Jul 14, 2016 to Sep 19, 2016
      • Advisory employees · 2 to 6
        May 2, 2016 to Jun 8, 2016
      • Employees · 5 to 9
        May 2, 2016 to Jun 8, 2016
      Signals
      3 dated events
      • Charles Richard Lawrenson (Chief Compliance Officer / Chief Financial Officer) appeared on Schedule A of O•• T••• I••••••••• P••••••• L•
        Jan 6, 2021 · Control person joined · fact
      • Andrew Neil Berman (Chief Compliance Officer / Chief Operating Officer / Chief Financial Officer) no longer on Schedule A of O•• T••• I••••••••• P••••••• L• (listed 2020-03-06, absent 2021-01-06)
        Jan 6, 2021 · Control person left · inference
      • O•• T••• I••••••••• P••••••• L• filed its initial SEC registration (Form ADV)
        Feb 16, 2016 · 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