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••• C•••••• M••••••••• L••••••
Latest filing Jun 30, 2026
First filing on the tape Oct 3, 2016 · 17 filings
SEC status approved since Nov 3, 2016
RAUM
$387M
reported, Item 5.F
Discretionary
0.0%
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
13
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$387M as of Jun 30, 2026
Jun 20, 2017$695M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 30, 2026
Jun 20, 20170 then
Employees (5.A)13 as of Jun 30, 2026
Jun 20, 201711 then
Private funds1 as of Jun 30, 2026
Jun 20, 20171 then
RAUM -38% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 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
- $55.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- +12%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $280M, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$280M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $280M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.72 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••• S•••••• C•••••••• M••••• F••• | Hedge Fund | $144M | 35 | Oct 3, 2016 |
Owners and control persons
Schedule A and B, latest filing
- G••••• A•••••• L••••• J••• · Chief Executive Officercontrolsince 10/2000 · owns 50% to 75%
- E••••••••• K•••• •••• · Shareholdercontrolsince 07/2023 · owns 75% or more of Bltm Cgm Gp, LLC
- H•••• P•••• F•••••• · Director/Chief Compliance Officersince 12/2000 · owns less than 5%
Entity owners
- C••••• O•• H•••••••• L••• · Corporate Partnerdirect · owns 25% to 50%
- C••••• G••••• M•••••••• S••••• · Shareholderindirect · owns 75% or more of C••••• O•• H•••••••• L•••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jun 30, 2026discretionary share of RAUM of 0% against a peer median of 100% (1568 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $100M to $500M (1,568) · 0.0% percentile
What changed
consecutive filings, newest first
- Advisory employees · 7 to 6Jun 19, 2025 to Jun 30, 2026
- Assets in custody · $298M to $280MJun 19, 2025 to Jun 30, 2026
- Employees · 14 to 13Jun 19, 2025 to Jun 30, 2026
- Non-discretionary RAUM · $501M to $387MJun 19, 2025 to Jun 30, 2026
- Pooled vehicle RAUM · $298M to $280MJun 19, 2025 to Jun 30, 2026
- RAUM · $501M to $387MJun 19, 2025 to Jun 30, 2026
- Assets in custody · $385M to $298MJun 28, 2024 to Jun 19, 2025
- Financial planning clients · unset to Jun 28, 2024 to Jun 19, 2025
- HQ state · unset to Jun 28, 2024 to Jun 19, 2025
- Discretionary RAUM · $704M to $0Jun 28, 2024 to Jun 19, 2025
- Non-discretionary RAUM · $0 to $501MJun 28, 2024 to Jun 19, 2025
- Pooled vehicle RAUM · $362M to $298MJun 28, 2024 to Jun 19, 2025
- RAUM · $704M to $501MJun 28, 2024 to Jun 19, 2025
- Accounts · 5 to 7Aug 11, 2023 to Jun 28, 2024
- Discretionary RAUM · $628M to $704MAug 11, 2023 to Jun 28, 2024
- Pooled vehicle RAUM · $385M to $362MAug 11, 2023 to Jun 28, 2024
- RAUM · $628M to $704MAug 11, 2023 to Jun 28, 2024
- Advisory employees · 5 to 7Mar 3, 2023 to Jul 5, 2023
- Assets in custody · unset to 385000000.0Mar 3, 2023 to Jul 5, 2023
- Custody of client assets · false to trueMar 3, 2023 to Jul 5, 2023
- Employees · 13 to 14Mar 3, 2023 to Jul 5, 2023
- Discretionary RAUM · $536M to $628MMar 3, 2023 to Jul 5, 2023
- Pooled vehicle RAUM · $302M to $385MMar 3, 2023 to Jul 5, 2023
- RAUM · $536M to $628MMar 3, 2023 to Jul 5, 2023
- Accounts · 7 to 5Jun 29, 2021 to Jun 29, 2022
- Employees · 12 to 13Jun 29, 2021 to Jun 29, 2022
- Discretionary RAUM · $574M to $536MJun 29, 2021 to Jun 29, 2022
- Pooled vehicle RAUM · $306M to $302MJun 29, 2021 to Jun 29, 2022
- RAUM · $574M to $536MJun 29, 2021 to Jun 29, 2022
- Pooled vehicle clients · 4 to 3Jun 26, 2020 to Jun 29, 2021
- Employees · 11 to 12Jun 26, 2020 to Jun 29, 2021
- Discretionary RAUM · $379M to $574MJun 26, 2020 to Jun 29, 2021
- Pooled vehicle RAUM · $145M to $306MJun 26, 2020 to Jun 29, 2021
- RAUM · $379M to $574MJun 26, 2020 to Jun 29, 2021
- Accounts · 6 to 7Jun 28, 2019 to Jun 26, 2020
- Advisory employees · 6 to 5Jun 28, 2019 to Jun 26, 2020
- Employees · 13 to 11Jun 28, 2019 to Jun 26, 2020
- Discretionary RAUM · $634M to $379MJun 28, 2019 to Jun 26, 2020
- Pooled vehicle RAUM · $463M to $145MJun 28, 2019 to Jun 26, 2020
- RAUM · $634M to $379MJun 28, 2019 to Jun 26, 2020
Signals
5 dated events
- O••• C•••••• M••••••••• L•••••• reported RAUM $501.0M, down 29% from $704.4M (2024-06-28 to 2025-06-19)Jun 19, 2025 · RAUM change · derived
- (Nmn) Kian Esteghamat (Shareholder) appeared on Schedule A of O••• C•••••• M••••••••• L••••••Jun 28, 2024 · Control person joined · fact
- O••• C•••••• M••••••••• L•••••• reported RAUM $574.0M, up 51% from $379.0M (2020-06-26 to 2021-06-29)Jun 29, 2021 · RAUM change · derived
- O••• C•••••• M••••••••• L•••••• reported RAUM $379.0M, down 40% from $634.3M (2019-06-28 to 2020-06-26)Jun 26, 2020 · RAUM change · derived
- O••• C•••••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)Oct 3, 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
- Website
- O•••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 020 7227 0000reportedpublic record, Form ADV, Jun 30, 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