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•••••••• E••••• M••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Dec 6, 2016 · 12 filings
SEC status approved since Dec 27, 2016
RAUM
$240M
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$240M as of Mar 20, 2026
Mar 14, 2017$349M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Mar 14, 20170 then
Employees (5.A)3 as of Mar 20, 2026
Mar 14, 20174 then
Private funds1 as of Mar 20, 2026
Mar 28, 20223 then
RAUM +21% over the last fiscal year+7.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 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
- $240MderivedRAUM 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
- +21%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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$240M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•••••••• E••••• P•••••••• L• | Private Equity Fund | $149M | 35 | Mar 9, 2023 |
| T••• L••••• M•••••••• L• | Private Equity Fund | $8.5M | 9 | Apr 13, 2015 |
| T•• P••••••• I•• L• | Private Equity Fund | $2.9M | 74 | Dec 21, 2012 |
| T••• A••••••• L••• | Private Equity Fund | $230,000 | 4 | Mar 28, 2022 |
Owners and control persons
Schedule A and B, latest filing
- M••••••••• G•••••• M••••••• · Managing Partnercontrolsince 11/2016 · owns less than 5%
- S•••••••• C•••••• E• · Managing Partner And Chief Compliance Officercontrolsince 11/2016 · owns less than 5%
- M••••••••• G•••••• M••••••• · Membercontrolsince 03/2018 · owns 50% to 75% of O•••••••• E••••• C•••••• G•• L••
- M••••••••• G•••••• M••••••• · Limited Partnercontrolsince 03/2018 · owns 50% to 75% of O•••••••• E••••• C••••••• L•••
- S•••••••• C•••••• E• · Limited Partnercontrolsince 03/2018 · owns 50% to 75% of O•••••••• E••••• C••••••• L•••
- S•••••••• C•••••• E• · Membercontrolsince 03/2018 · owns 50% to 75% of O•••••••• E••••• C•••••• G•• L••
Entity owners
- O•••••••• E••••• C••••••• L••• · Memberdirect · owns 75% or more
- O•••••••• E••••• C•••••• G•• L•• · General Partnerindirect · owns F of O•••••••• E••••• C••••••• L•••
Related persons
Schedule D 7.A
- O•••••••• E••••• P••••••• G•• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 4 to 3Mar 11, 2025 to Mar 20, 2026
- Discretionary RAUM · $197M to $240MMar 11, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $197M to $240MMar 11, 2025 to Mar 20, 2026
- RAUM · $197M to $240MMar 11, 2025 to Mar 20, 2026
- Financial planning clients · unset to Mar 27, 2024 to Mar 11, 2025
- Discretionary RAUM · $149M to $197MMar 27, 2024 to Mar 11, 2025
- Pooled vehicle RAUM · $149M to $197MMar 27, 2024 to Mar 11, 2025
- RAUM · $149M to $197MMar 27, 2024 to Mar 11, 2025
- Accounts · 4 to 1Mar 9, 2023 to Mar 27, 2024
- Pooled vehicle clients · 4 to 1Mar 9, 2023 to Mar 27, 2024
- Private funds · 4 to 1Mar 9, 2023 to Mar 27, 2024
- Discretionary RAUM · $194M to $149MMar 9, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $194M to $149MMar 9, 2023 to Mar 27, 2024
- RAUM · $194M to $149MMar 9, 2023 to Mar 27, 2024
- Accounts · 3 to 4Mar 28, 2022 to Mar 9, 2023
- Advisory employees · 2 to 3Mar 28, 2022 to Mar 9, 2023
- Pooled vehicle clients · 3 to 4Mar 28, 2022 to Mar 9, 2023
- Employees · 2 to 4Mar 28, 2022 to Mar 9, 2023
- Private funds · 3 to 4Mar 28, 2022 to Mar 9, 2023
- Discretionary RAUM · $130M to $194MMar 28, 2022 to Mar 9, 2023
- Pooled vehicle RAUM · $130M to $194MMar 28, 2022 to Mar 9, 2023
- RAUM · $130M to $194MMar 28, 2022 to Mar 9, 2023
- Advisory employees · 3 to 2Mar 29, 2021 to Mar 28, 2022
- Employees · 3 to 2Mar 29, 2021 to Mar 28, 2022
- Private funds · unset to 3Mar 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $85.2M to $130MMar 29, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $85.2M to $130MMar 29, 2021 to Mar 28, 2022
- RAUM · $85.2M to $130MMar 29, 2021 to Mar 28, 2022
- Accounts · 4 to 3Mar 26, 2020 to Mar 29, 2021
- Advisory employees · 5 to 3Mar 26, 2020 to Mar 29, 2021
- Pooled vehicle clients · 4 to 3Mar 26, 2020 to Mar 29, 2021
- Employees · 6 to 3Mar 26, 2020 to Mar 29, 2021
- Discretionary RAUM · $182M to $85.2MMar 26, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $182M to $85.2MMar 26, 2020 to Mar 29, 2021
- RAUM · $182M to $85.2MMar 26, 2020 to Mar 29, 2021
- Discretionary RAUM · $348M to $182MMar 14, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $348M to $182MMar 14, 2019 to Mar 26, 2020
- RAUM · $348M to $182MMar 14, 2019 to Mar 26, 2020
- Discretionary RAUM · $356M to $348MMar 23, 2018 to Mar 14, 2019
- Pooled vehicle RAUM · $356M to $348MMar 23, 2018 to Mar 14, 2019
Signals
3 dated events
- O•••••••• E••••• M••••••••• L•• reported RAUM $181.9M, down 48% from $348.0M (2019-03-14 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- O•••••••• E••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 23, 2018 · Succession (Item 4) · fact
- O•••••••• E••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 6, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O•••••••• E••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- O•••••••• E••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- O••••••••E•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 281-402-8174reportedpublic record, Form ADV, Mar 20, 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