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
E••••••• C•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jan 23, 2017 · 20 filings
SEC status approved since Feb 6, 2017
RAUM
$339M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$339M as of Mar 27, 2026
Mar 30, 2018$161M then
HNW client RAUM$0 as of Mar 27, 2026
Mar 30, 2018$18.1M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 30, 20180 then
Employees (5.A)4 as of Mar 27, 2026
Mar 30, 20186 then
Private funds7 as of Mar 27, 2026
Mar 30, 20187 then
RAUM -9.1% over the last fiscal year+3.1% 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
- $42.4MderivedRAUM 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
- -9.1%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 vehicles, otherreportedItem 5.G
- Custody
- $322M, 7 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 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$339M100%
- Individual clients
- n/areported
- HNW clients
- 0reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $322M for 7 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•••••• H••••••• I••• L••• | Private Equity Fund | $121M | 9 | Sep 29, 2017 |
| O•••••• H••••••• I•• L••• | Private Equity Fund | $90.3M | 5 | Jan 23, 2017 |
| O•••••• H••••••• I• L••• | Private Equity Fund | $23.5M | 7 | Jan 23, 2017 |
| O•••• L• | Private Equity Fund | $18.5M | 3 | Jul 26, 2019 |
| O•••••• T•••• I••••••••• P•••••••• L• | Private Equity Fund | $15.3M | 5 | Jan 23, 2017 |
| O••••• L• | Private Equity Fund | $14.9M | 3 | Mar 27, 2019 |
| O•••• L••• | Private Equity Fund | $9.9M | 3 | Sep 29, 2017 |
| O•• I••••••••• P•••••••• L• | Private Equity Fund | $110,657 | 4 | Jan 23, 2017 |
| O•• I••••••••• P•••••••• L•no longer reported | Private Equity Fund | $102,000 | 4 | Jan 23, 2017 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• A•••• B•••••• · Managing Director; Co-Ceocontrolsince 01/2023 · owns less than 5%
- O••••• K••••• E••• · Managing Director; Co-Ceocontrolsince 01/2023 · owns less than 5%
- C••••••• R•••••• E••••• · Trusteecontrolsince 11/2015 · owns F of O•••••• T••••
- S•••••••• J•••••• J••••• · Chief Compliance Officersince 05/2022 · owns less than 5%
Entity owners
- O•••••• S••• I••••••••• L•• · Managing Memberdirect · owns 50% to 75%
- O•••••• T•••• · Ownerindirect · owns 25% to 50% of O•••••• S••• I••••••••• L••
Related persons
Schedule D 7.A
- O•••••• I••••••••• M••••••••• I•• L••pooled vehicle sponsorn
- O•••••• I••••••••• M••••••••• I••• L••pooled vehicle sponsorn
- O•••••• I••••••••• M••••••••• L••pooled vehicle sponsorn
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 Mar 27, 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
- HNW clients · unset to 0.0Nov 19, 2025 to Mar 27, 2026
- Assets in custody · $359M to $322MNov 19, 2025 to Mar 27, 2026
- HNW RAUM · unset to 0.0Nov 19, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $373M to $339MNov 19, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $373M to $339MNov 19, 2025 to Mar 27, 2026
- RAUM · $373M to $339MNov 19, 2025 to Mar 27, 2026
- Accounts · 17 to 8Mar 21, 2024 to Mar 25, 2025
- HNW clients · 8.0 to unsetMar 21, 2024 to Mar 25, 2025
- Pooled vehicle clients · 9 to 8Mar 21, 2024 to Mar 25, 2025
- Assets in custody · $294M to $359MMar 21, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 25, 2025
- Private funds · 8 to 7Mar 21, 2024 to Mar 25, 2025
- HNW RAUM · 158000.0 to unsetMar 21, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $307M to $373MMar 21, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $306M to $373MMar 21, 2024 to Mar 25, 2025
- RAUM · $307M to $373MMar 21, 2024 to Mar 25, 2025
- Assets in custody · $295M to $294MMar 30, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $310M to $307MMar 30, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $310M to $306MMar 30, 2023 to Mar 21, 2024
- RAUM · $310M to $307MMar 30, 2023 to Mar 21, 2024
- Advisory employees · 2 to 3Jan 30, 2023 to Mar 30, 2023
- Business name · O•••••• H••••••• G••••• L•• to E••••••• C•••••• M••••••••• L••Jan 30, 2023 to Mar 30, 2023
- Assets in custody · $313M to $295MJan 30, 2023 to Mar 30, 2023
- Employees · 3 to 4Jan 30, 2023 to Mar 30, 2023
- Legal name · O•••••• H••••••• G••••• L•• to E••••••• C•••••• M••••••••• L••Jan 30, 2023 to Mar 30, 2023
- HNW RAUM · $3.9M to $158,000Jan 30, 2023 to Mar 30, 2023
- Non-discretionary RAUM · $338M to $310MJan 30, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $334M to $310MJan 30, 2023 to Mar 30, 2023
- RAUM · $338M to $310MJan 30, 2023 to Mar 30, 2023
- Advisory employees · 6 to 2May 20, 2022 to Jan 30, 2023
- Employees · 6 to 3May 20, 2022 to Jan 30, 2023
- Accounts · 18 to 17Sep 16, 2021 to Mar 30, 2022
- Pooled vehicle clients · 10 to 9Sep 16, 2021 to Mar 30, 2022
- Assets in custody · $298M to $313MSep 16, 2021 to Mar 30, 2022
- Private funds · 9 to 8Sep 16, 2021 to Mar 30, 2022
- HNW RAUM · $35.2M to $3.9MSep 16, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $360M to $338MSep 16, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $324M to $334MSep 16, 2021 to Mar 30, 2022
- RAUM · $360M to $338MSep 16, 2021 to Mar 30, 2022
- Assets in custody · $282M to $298MNov 2, 2020 to Mar 31, 2021
Signals
5 dated events
- Eric Keith Oster (Managing Director; Co-Ceo) appeared on Schedule A of E••••••• C•••••• M••••••••• L••Jan 30, 2023 · Control person joined · fact
- Bernard Alan Menkes (Managing Director; Co-Ceo) appeared on Schedule A of E••••••• C•••••• M••••••••• L••Jan 30, 2023 · Control person joined · fact
- Daniel Phil Collins (Managing Director/Ceo) no longer on Schedule A of E••••••• C•••••• M••••••••• L•• (listed 2022-05-20, absent 2023-01-30)Jan 30, 2023 · Control person left · inference
- Pete Boylan (Vice President) no longer on Schedule A of E••••••• C•••••• M••••••••• L•• (listed 2020-11-02, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- O•••••• H••••••• G••••• L•• filed its initial SEC registration (Form ADV)Jan 23, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E••••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- E••••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-887-1126reportedpublic 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