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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SEC-registered adviser
O•••••• I••••••••• M••••••••• U• L••
Latest filing May 5, 2026
First filing on the tape Apr 28, 2016 · 28 filings
SEC status approved since May 11, 2016
RAUM
$299M
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
39
26 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$299M as of May 5, 2026
Apr 4, 2017$163M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 5, 2026
Apr 4, 20170 then
Employees (5.A)39 as of May 5, 2026
Apr 4, 20178 then
Private funds1 as of Mar 11, 2025
May 13, 20211 then
RAUM -30% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 5, 2026; 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
- $99.6MderivedRAUM 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
- -28%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 assetsreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$246M82%
- Other investment advisers$52.5M18%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•••••• R•••• M••••• F••• L• | Hedge Fund | $26.9M | 4 | Aug 13, 2020 |
Owners and control persons
Schedule A and B, latest filing
- D•••• B•••••••• G••••• · Chief Executive Officer And Presidentcontrolsince 02/2018 · owns less than 5%
- G•••••• S••••••• C••••••• · Vice President And Director Of Corporate, Legal And Compliancecontrolsince 02/2016 · owns less than 5%
- H•••••• A•••••• F••••••• · Chief Financial Officercontrolsince 02/2016 · owns less than 5%
- S••••••• A••••••••• J•••• · Vice President And Portfolio Executioncontrolsince 08/2021 · owns less than 5%
- D••••••••• J•••••• M•••••• · Chief Compliance Officersince 11/2023 · owns less than 5%
- P•••••• R•••••• J••• · Vice President And Chief Investment Officersince 04/2019 · owns less than 5%
- S•••••••• A•••••• G••• · Vice President And Investment Officersince 09/2019 · owns less than 5%
- H•••• A••••••• D•••• · S••••Holdersince 11/2023 · owns F of O•••••• H••••••• L••••••
Entity owners
- O•••••• U• L•• · Memberdirect · owns 75% or more
- O•••••• H••••••• L•••••• · Memberindirect · owns 75% or more of O•••••• U• L••
- E••••••• S•••• T•••• · S••••Holderindirect · owns 25% to 50% of O•••••• H••••••• L••••••
Related persons
Schedule D 7.A
- O•••••• G• L••bankpooled vehicle sponsorn
- O•••••• I••••••••• M••••••••• A•••••••• P•• L••investment advisery
- O•••••• I••••••••• M••••••••• U• L••investment advisern
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Apr 28, 2026RAUM (Item 5.F) moved from $426,373,359 to $307,001,573 (-28.0%) between the annual amendments of 2025-03-11 and 2026-04-28; the peer median change was +4.0% (1147 comparable advisers, 9.0th percentile of changes)peers: asset managers, $100M to $500M (1,147) · 9.1% percentile
- institutional asset s•••• shiftChange between filings · filing Apr 28, 2026institutional share of RAUM moved from 94.0% to 23.0% between the annual amendments of 2025-03-11 and 2026-04-28peers: asset managers, $100M to $500M (1,568)
What changed
consecutive filings, newest first
- Accounts · 4 to 3Apr 28, 2026 to May 5, 2026
- Advisory employees · 23 to 26Apr 28, 2026 to May 5, 2026
- Employees · 35 to 39Apr 28, 2026 to May 5, 2026
- Discretionary RAUM · $307M to $299MApr 28, 2026 to May 5, 2026
- RAUM · $307M to $299MApr 28, 2026 to May 5, 2026
- Accounts · 10 to 4Mar 11, 2025 to Jun 27, 2025
- Advisory employees · 21 to 23Mar 11, 2025 to Jun 27, 2025
- Pooled vehicle clients · 2.0 to unsetMar 11, 2025 to Jun 27, 2025
- Employees · 36 to 35Mar 11, 2025 to Jun 27, 2025
- Financial planning clients · unset to Mar 11, 2025 to Jun 27, 2025
- Private funds · 1 to unsetMar 11, 2025 to Jun 27, 2025
- Discretionary RAUM · $426M to $307MMar 11, 2025 to Jun 27, 2025
- Pooled vehicle RAUM · 26867341.0 to unsetMar 11, 2025 to Jun 27, 2025
- RAUM · $426M to $307MMar 11, 2025 to Jun 27, 2025
- Related bank · true to falseMar 11, 2025 to Jun 27, 2025
- HQ state · unset to Jun 24, 2024 to Mar 11, 2025
- Accounts · 13 to 10Nov 9, 2023 to Jun 21, 2024
- Advisory employees · 20 to 21Nov 9, 2023 to Jun 21, 2024
- Pooled vehicle clients · 3 to 2Nov 9, 2023 to Jun 21, 2024
- Custody of client assets · true to falseNov 9, 2023 to Jun 21, 2024
- Employees · 31 to 36Nov 9, 2023 to Jun 21, 2024
- Discretionary RAUM · $649M to $426MNov 9, 2023 to Jun 21, 2024
- Pooled vehicle RAUM · $60.4M to $26.9MNov 9, 2023 to Jun 21, 2024
- RAUM · $649M to $426MNov 9, 2023 to Jun 21, 2024
- Advisory employees · 15 to 20Sep 1, 2022 to Jun 22, 2023
- Employees · 27 to 31Sep 1, 2022 to Jun 22, 2023
- Discretionary RAUM · $636M to $649MSep 1, 2022 to Jun 22, 2023
- Pooled vehicle RAUM · $79.2M to $60.4MSep 1, 2022 to Jun 22, 2023
- RAUM · $636M to $649MSep 1, 2022 to Jun 22, 2023
- Accounts · 4 to 13Aug 9, 2021 to May 25, 2022
- Advisory employees · 11 to 15Aug 9, 2021 to May 25, 2022
- BD registered reps · 1 to 0Aug 9, 2021 to May 25, 2022
- Employees · 29 to 27Aug 9, 2021 to May 25, 2022
- Discretionary RAUM · $624M to $636MAug 9, 2021 to May 25, 2022
- Pooled vehicle RAUM · $79.0M to $79.2MAug 9, 2021 to May 25, 2022
- RAUM · $624M to $636MAug 9, 2021 to May 25, 2022
- Accounts · 9 to 4Aug 13, 2020 to May 13, 2021
- BD registered reps · 0 to 1Aug 13, 2020 to May 13, 2021
- Pooled vehicle clients · 2 to 3Aug 13, 2020 to May 13, 2021
- Employees · 24 to 29Aug 13, 2020 to May 13, 2021
Signals
9 dated events
- O•••••• I••••••••• M••••••••• U• L•• reported RAUM $307.0M, down 28% from $426.4M (2025-03-11 to 2025-06-27)Jun 27, 2025 · RAUM change · derived
- O•••••• I••••••••• M••••••••• U• L•• reported RAUM $426.4M, down 34% from $648.6M (2023-11-09 to 2024-06-21)Jun 21, 2024 · RAUM change · derived
- J•••• A•••••••• S•••••• (Vice President And Portfolio Execution) appeared on Schedule A of O•••••• I••••••••• M••••••••• U• L••Aug 9, 2021 · Control person joined · fact
- Nma Saad Rashid (Investment Officer) no longer on Schedule A of O•••••• I••••••••• M••••••••• U• L•• (listed 2021-05-13, absent 2021-08-09)Aug 9, 2021 · Control person left · inference
- O•••••• I••••••••• M••••••••• U• L•• reported RAUM $623.7M, up 124% from $278.8M (2020-08-13 to 2021-05-13)May 13, 2021 · RAUM change · derived
- O•••••• I••••••••• M••••••••• U• L•• reported RAUM $247.6M, down 53% from $531.1M (2019-09-12 to 2020-06-11)Jun 11, 2020 · RAUM change · derived
- G••••• B••••••• D••• (Chief Executive Officer) appeared on Schedule A of O•••••• I••••••••• M••••••••• U• L••Jun 26, 2019 · Control person joined · fact
- O•••••• I••••••••• M••••••••• U• L•• reported RAUM $578.8M, up 254% from $163.4M (2017-04-04 to 2018-03-14)Mar 14, 2018 · RAUM change · derived
- O•••••• I••••••••• M••••••••• U• L•• filed its initial SEC registration (Form ADV)Apr 28, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/osmosis-investment-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- o••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- +44 (0) 203 928 6555reportedpublic record, Form ADV, May 5, 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
- Asset manager (funds and pooled vehicles)deriveda 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