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•• F•• C•••••• M••••••••• L•
Latest filing Mar 27, 2026
First filing on the tape May 25, 2018 · 9 filings
SEC status approved since Jun 22, 2018
RAUM
$831M
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
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$831M as of Mar 27, 2026
Mar 25, 2019$317M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 25, 20190 then
Employees (5.A)6 as of Mar 27, 2026
Mar 25, 20195 then
Private funds1 as of Mar 27, 2026
Mar 25, 20191 then
RAUM -4.3% over the last fiscal year-1.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $277MderivedRAUM 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
- -4.3%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $831M, 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
- 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)
- 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$831M100%
- 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
- $831M for 3 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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•• F•• C•••••• M••••• F••• L• | Hedge Fund | $792M | 34 | Mar 31, 2016 |
Owners and control persons
Schedule A and B, latest filing
- M••••••••• D••••• S•••• · Limited Partnercontrolsince 03/2015 · owns 75% or more
- M•••••••• M•••••• Y••• · Cfo, Ccocontrolsince 07/2015 · owns less than 5%
- M••••••••• D••••• S•••• · Member, Managercontrolsince 03/2015 · owns 75% or more of O•• F•• C•••••• M••••••••• H••••••• L••
Entity owners
- O•• F•• C•••••• M••••••••• H••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- O•• F•• C•••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $868M to $831MMar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $868M to $831MMar 27, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $868M to $831MMar 27, 2025 to Mar 27, 2026
- RAUM · $868M to $831MMar 27, 2025 to Mar 27, 2026
- Assets in custody · $792M to $868MMar 27, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $792M to $868MMar 27, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $792M to $868MMar 27, 2024 to Mar 27, 2025
- RAUM · $792M to $868MMar 27, 2024 to Mar 27, 2025
- Assets in custody · $862M to $792MMar 24, 2023 to Mar 27, 2024
- Discretionary RAUM · $862M to $792MMar 24, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $862M to $792MMar 24, 2023 to Mar 27, 2024
- RAUM · $862M to $792MMar 24, 2023 to Mar 27, 2024
- Assets in custody · $753M to $862MMar 25, 2022 to Mar 24, 2023
- Discretionary RAUM · $753M to $862MMar 25, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $753M to $862MMar 25, 2022 to Mar 24, 2023
- RAUM · $753M to $862MMar 25, 2022 to Mar 24, 2023
- Assets in custody · $531M to $753MMar 22, 2021 to Mar 25, 2022
- Discretionary RAUM · $531M to $753MMar 22, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $531M to $753MMar 22, 2021 to Mar 25, 2022
- RAUM · $531M to $753MMar 22, 2021 to Mar 25, 2022
- Assets in custody · $510M to $531MMar 20, 2020 to Mar 22, 2021
- Discretionary RAUM · $510M to $531MMar 20, 2020 to Mar 22, 2021
- Pooled vehicle RAUM · $510M to $531MMar 20, 2020 to Mar 22, 2021
- RAUM · $510M to $531MMar 20, 2020 to Mar 22, 2021
- Advisory employees · 3 to 4Mar 25, 2019 to Mar 20, 2020
- Assets in custody · $317M to $510MMar 25, 2019 to Mar 20, 2020
- Employees · 5 to 6Mar 25, 2019 to Mar 20, 2020
- Discretionary RAUM · $317M to $510MMar 25, 2019 to Mar 20, 2020
- Pooled vehicle RAUM · $317M to $510MMar 25, 2019 to Mar 20, 2020
- RAUM · $317M to $510MMar 25, 2019 to Mar 20, 2020
- Assets in custody · $297M to $317MMay 25, 2018 to Mar 25, 2019
- Employees · 4 to 5May 25, 2018 to Mar 25, 2019
- Private funds · 2 to 1May 25, 2018 to Mar 25, 2019
- Discretionary RAUM · $297M to $317MMay 25, 2018 to Mar 25, 2019
- Pooled vehicle RAUM · $297M to $317MMay 25, 2018 to Mar 25, 2019
- RAUM · $297M to $317MMay 25, 2018 to Mar 25, 2019
Signals
3 dated events
- O•• F•• C•••••• M••••••••• L• reported RAUM $753.4M, up 42% from $530.6M (2021-03-22 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- O•• F•• C•••••• M••••••••• L• reported RAUM $509.7M, up 61% from $316.8M (2019-03-25 to 2020-03-20)Mar 20, 2020 · RAUM change · derived
- O•• F•• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)May 25, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O•• F•• C•••••• M••••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- (415) 488-8508reportedpublic record, Form ADV, Mar 27, 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