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••• P••••••• U• L••

Former SEC-registered adviserIrvine, CaliforniaCRD 284118SEC 801-108128IAPD
Latest filing Mar 31, 2021
First filing on the tape Jul 8, 2016 · 10 filings
RAUM
$2.1B
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$461M gross assets
History
10 filings and snapshots on the tape
RAUM$2.1B as of Mar 31, 2021
Mar 31, 2017$453M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 31, 20170 then
Employees (5.A)4 as of Mar 31, 2021
Mar 31, 20174 then
Private funds2 as of Mar 31, 2021
Apr 1, 20192 then
RAUM -0.8% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$232MderivedRAUM 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
-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, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.1B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••• O••••• L••Hedge Fund$68.0M3Apr 1, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • H•••• S••••••• P•••••• · Chief Compliance Officer & Chief Operating Officer - Hedge Fundscontrol
        since 01/2018 · owns less than 5%
      • M•••••• J•••• J•••• · Chief Investment Officercontrol
        since 09/2013 · owns 75% or more
      • C••••• S•••••• A••••• · Founding Partner
        since 09/2013 · owns 75% or more of O••• P••••••• L••
      Entity owners
      • O••• P••••••• U• H••••••• L•• · Shareholder
        direct · owns less than 5%
      • O••• P••••••• L•• · Shareholder
        indirect · owns 75% or more of O••• P••••••• U• H••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list O••• P••••••• U• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 9
        Jun 9, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 8 to 9
        Jun 9, 2020 to Mar 31, 2021
      • Discretionary RAUM · $2.1B to $2.1B
        Jun 9, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $2.1B to $2.1B
        Jun 9, 2020 to Mar 31, 2021
      • RAUM · $2.1B to $2.1B
        Jun 9, 2020 to Mar 31, 2021
      • Assets in custody · unset to 0.0
        Oct 10, 2019 to Mar 31, 2020
      • Custody of client assets · false to true
        Oct 10, 2019 to Mar 31, 2020
      • Employees · 5 to 4
        Oct 10, 2019 to Mar 31, 2020
      • Financial planning clients · 0 to unset
        Oct 10, 2019 to Mar 31, 2020
      • Discretionary RAUM · $1.2B to $2.1B
        Oct 10, 2019 to Mar 31, 2020
      • Pooled vehicle RAUM · $1.2B to $2.1B
        Oct 10, 2019 to Mar 31, 2020
      • RAUM · $1.2B to $2.1B
        Oct 10, 2019 to Mar 31, 2020
      • Accounts · 6 to 8
        Apr 25, 2018 to Apr 1, 2019
      • Pooled vehicle clients · 6 to 8
        Apr 25, 2018 to Apr 1, 2019
      • Private funds · unset to 2
        Apr 25, 2018 to Apr 1, 2019
      • Discretionary RAUM · $1.4B to $1.2B
        Apr 25, 2018 to Apr 1, 2019
      • Pooled vehicle RAUM · $1.4B to $1.2B
        Apr 25, 2018 to Apr 1, 2019
      • RAUM · $1.4B to $1.2B
        Apr 25, 2018 to Apr 1, 2019
      • Accounts · 4 to 6
        Mar 31, 2017 to Mar 31, 2018
      • Advisory employees · 2 to 3
        Mar 31, 2017 to Mar 31, 2018
      • Pooled vehicle clients · unset to 6.0
        Mar 31, 2017 to Mar 31, 2018
      • Employees · 4 to 5
        Mar 31, 2017 to Mar 31, 2018
      • Financial planning clients · unset to 0
        Mar 31, 2017 to Mar 31, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 31, 2018
      • Discretionary RAUM · $453M to $1.4B
        Mar 31, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 1357413292.0
        Mar 31, 2017 to Mar 31, 2018
      • RAUM · $453M to $1.4B
        Mar 31, 2017 to Mar 31, 2018
      • Accounts · 2 to 4
        Jan 20, 2017 to Mar 31, 2017
      • Advisory employees · 3 to 2
        Jan 20, 2017 to Mar 31, 2017
      • Advisory activities · 2 to 1
        Jan 20, 2017 to Mar 31, 2017
      • Private funds · 1 to unset
        Jan 20, 2017 to Mar 31, 2017
      • Discretionary RAUM · $321M to $453M
        Jan 20, 2017 to Mar 31, 2017
      • RAUM · $321M to $453M
        Jan 20, 2017 to Mar 31, 2017
      Signals
      6 dated events
      • O••• P••••••• U• L•• reported RAUM $2.1B, up 69% from $1.2B (2019-10-10 to 2020-03-31)
        Mar 31, 2020 · RAUM change · derived
      • B••••••• S•••••• (Chief Compliance Officer / Legal Counsel) no longer on Schedule A of O••• P••••••• U• L•• (listed 2019-10-10, absent 2020-03-31)
        Mar 31, 2020 · Control person left · inference
      • P•••••• S•••••• H••• (Chief Operating Officer - Hedge Funds & Head Of Regulatory Filings) appeared on Schedule A of O••• P••••••• U• L••
        Apr 1, 2019 · Control person joined · fact
      • B••••••• S•••••• (Chief Compliance Officer / Legal Counsel) appeared on Schedule A of O••• P••••••• U• L••
        Apr 1, 2019 · Control person joined · fact
      • O••• P••••••• U• L•• reported RAUM $1.4B, up 200% from $452.8M (2017-03-31 to 2018-03-31)
        Mar 31, 2018 · RAUM change · derived
      • O••• P••••••• U• L•• filed its initial SEC registration (Form ADV)
        Jul 8, 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