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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
O•••••• I••••••••• M••••••••• L••
Latest filing Aug 27, 2026
First filing on the tape May 28, 2016 · 23 filings
SEC status approved since Mar 24, 2020
RAUM
$254M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$249M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$127M
derived; firm RAUM over IAPD count
Employees
3
2 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$254M as of Aug 27, 2026
Mar 26, 2021$154M then
HNW client RAUM$238M as of Aug 27, 2026
Mar 26, 2021$148M then
State-registered IARs (5.B.3)2 as of Aug 27, 2026
Mar 26, 20212 then
Employees (5.A)3 as of Aug 27, 2026
Mar 26, 20214 then
Private funds: no history
RAUM +10.0% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $761,476derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $132M, 62 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)
- 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
- High-net-worth individuals$238M94%
- Individuals$11.0M4.3%
- Pension and profit-sharing plans$4.9M1.9%
- Individual clients
- 69reported
- HNW clients
- 96reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 334reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $132M for 62 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• D••••• O••••••Chartered Financial Analyst | Torrance, Ca | Oct 11, 2016 | 41 y | 2 |
| J••• S••••• O•••••• | Torrance, Ca | Jan 31, 2018 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• D••••• O•••••• from E••••••• W••••• M••••••••• L••Oct 11, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••• J•••• S••••• · Partnercontrolsince 09/2020 · owns 25% to 50%
- O••••••• M••••••• D••••• · President, Chief Compliance Officercontrolsince 05/2016 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Torrance, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Aug 27, 2026custody of client assets (Item 9.A): no on the filing of 2026-03-31, yes on the filing of 2026-08-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Assets in custody · unset to 132040636.0Mar 31, 2026 to Aug 27, 2026
- Custody of client assets · false to trueMar 31, 2026 to Aug 27, 2026
- Accounts · 301 to 334Mar 31, 2025 to Mar 31, 2026
- HNW clients · 87 to 96Mar 31, 2025 to Mar 31, 2026
- Individual clients · 68 to 69Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $231M to $254MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $216M to $238MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $10.7M to $11.0MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $4.2M to $4.9MMar 31, 2025 to Mar 31, 2026
- RAUM · $231M to $254MMar 31, 2025 to Mar 31, 2026
- Accounts · 250 to 301Mar 15, 2024 to Mar 31, 2025
- HNW clients · 72 to 87Mar 15, 2024 to Mar 31, 2025
- Individual clients · 56 to 68Mar 15, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 15, 2024 to Mar 31, 2025
- Discretionary RAUM · $193M to $231MMar 15, 2024 to Mar 31, 2025
- HNW RAUM · $181M to $216MMar 15, 2024 to Mar 31, 2025
- Individual RAUM · $8.3M to $10.7MMar 15, 2024 to Mar 31, 2025
- Pension RAUM · $3.4M to $4.2MMar 15, 2024 to Mar 31, 2025
- RAUM · $193M to $231MMar 15, 2024 to Mar 31, 2025
- Accounts · 206 to 250Mar 30, 2023 to Mar 15, 2024
- HNW clients · 68 to 72Mar 30, 2023 to Mar 15, 2024
- Individual clients · 39 to 56Mar 30, 2023 to Mar 15, 2024
- Discretionary RAUM · $154M to $193MMar 30, 2023 to Mar 15, 2024
- HNW RAUM · $148M to $181MMar 30, 2023 to Mar 15, 2024
- Individual RAUM · $3.6M to $8.3MMar 30, 2023 to Mar 15, 2024
- Pension RAUM · $2.6M to $3.4MMar 30, 2023 to Mar 15, 2024
- RAUM · $154M to $193MMar 30, 2023 to Mar 15, 2024
- Accounts · 195 to 206Sep 29, 2022 to Mar 30, 2023
- HNW clients · 63 to 68Sep 29, 2022 to Mar 30, 2023
- Individual clients · 38 to 39Sep 29, 2022 to Mar 30, 2023
- Pension plan clients · 3 to 2Sep 29, 2022 to Mar 30, 2023
- Employees · 4 to 3Sep 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $172M to $154MSep 29, 2022 to Mar 30, 2023
- HNW RAUM · $164M to $148MSep 29, 2022 to Mar 30, 2023
- Individual RAUM · $4.3M to $3.6MSep 29, 2022 to Mar 30, 2023
- Pension RAUM · $3.5M to $2.6MSep 29, 2022 to Mar 30, 2023
- RAUM · $172M to $154MSep 29, 2022 to Mar 30, 2023
- Accounts · 184 to 195Jun 24, 2021 to Mar 31, 2022
- HNW clients · 60 to 63Jun 24, 2021 to Mar 31, 2022
- Individual clients · 34 to 38Jun 24, 2021 to Mar 31, 2022
Signals
2 dated events
- S••••• J••• O•••••• (Partner) appeared on Schedule A of O•••••• I••••••••• M••••••••• L••Mar 26, 2021 · Control person joined · fact
- O•••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 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
- Business phone
- 310-343-8499reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 310-357-9312reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 310-363-2360reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-363-2360reportedpublic record, Form ADV, Aug 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $127Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026