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.
Former SEC-registered adviser
O••••• I••••••••• L••
Latest filing Mar 28, 2018
First filing on the tape Dec 16, 2016 · 3 filings
RAUM
$91.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
22%
$20.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$41.4M gross assets
History
3 filings and snapshots on the tape
RAUM$91.7M as of Mar 28, 2018
Dec 16, 2016$36.0M then
HNW client RAUM: $20.0M
State-registered IARs (5.B.3)0 as of Mar 28, 2018
Dec 16, 20160 then
Employees (5.A)3 as of Mar 28, 2018
Dec 16, 20161 then
Private funds1 as of Mar 28, 2018
Dec 16, 20162 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 28, 2018; 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
- $22.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 33%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
- unknownderivedbetween 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 individuals, portfolio management for businesses and institutions, 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)
- 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$41.4M45%
- Charitable organizations$30.3M33%
- High-net-worth individuals$20.0M22%
- Individual clients
- 0reported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 4reported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O••••• P•••••••• L• | Hedge Fund | $41.4M | 11 | Sep 9, 2016 |
Owners and control persons
Schedule A and B, latest filing
- P•••••• R•••• R•••••• · Managing Partner, Chief Compliance Officercontrolsince 06/2016 · owns 75% or more
Related persons
Schedule D 7.A
- O••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1 to 4Jan 6, 2017 to Mar 28, 2018
- Advisory employees · 1 to 2Jan 6, 2017 to Mar 28, 2018
- Corporate clients · unset to 0.0Jan 6, 2017 to Mar 28, 2018
- Individual clients · unset to 0.0Jan 6, 2017 to Mar 28, 2018
- Pension plan clients · unset to 0.0Jan 6, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 1.0Jan 6, 2017 to Mar 28, 2018
- Custody of client assets · false to trueJan 6, 2017 to Mar 28, 2018
- Employees · 1 to 3Jan 6, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Jan 6, 2017 to Mar 28, 2018
- Discretionary RAUM · $36.0M to $91.7MJan 6, 2017 to Mar 28, 2018
- HNW RAUM · unset to 19958638.0Jan 6, 2017 to Mar 28, 2018
- Individual RAUM · unset to 0.0Jan 6, 2017 to Mar 28, 2018
- Pension RAUM · unset to 0.0Jan 6, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 41378982.0Jan 6, 2017 to Mar 28, 2018
- RAUM · $36.0M to $91.7MJan 6, 2017 to Mar 28, 2018
- Private funds · 2 to 1Dec 16, 2016 to Jan 6, 2017
Signals
1 dated events
- O••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Dec 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