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••• S••••• I••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Mar 22, 2022 · 7 filings
SEC status approved since Apr 22, 2022
RAUM
$131M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$131M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$65.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$131M as of Mar 20, 2026
Mar 27, 2023$93.7M then
HNW client RAUM: $6.8M
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Mar 27, 20232 then
Employees (5.A)2 as of Mar 20, 2026
Mar 27, 20232 then
Private funds: no history
RAUM +15% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $65.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 120derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $213,591derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$131M100%
- Individual clients
- 239reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 612reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• G• Z••••• | Mandeville, La | Mar 5, 2017 | 16 y | 4 |
| S•••• M•••••• C••••• | Mandeville, La | Mar 5, 2017 | 27 y | 4 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- B•••• D••••• P••••• to R•• F•••••••• N••••••Sep 14, 2018 · RIA to RIA
Joined, latest
- B•••• D••••• P••••• from U•• F•••••••• S••••••••• L••May 10, 2018 · Other
- S•••• M•••••• C••••• from E•••••• F•••••••• E••••••Mar 5, 2017 · Other
- J••••• G• Z••••• from E•••••• F•••••••• E••••••Mar 5, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from E•••••• F•••••••• E••••••Mar 13, 2017 · Sunnyvale, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• S••••• M•••••• · Chief Compliance Officer/Managing Directorcontrolsince 01/2017 · owns 50% to 75%
- Z•••••• J•••••• G• · Managing Directorcontrolsince 01/2017 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mandeville, La | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 599 to 612Mar 6, 2025 to Mar 20, 2026
- Individual clients · 237 to 239Mar 6, 2025 to Mar 20, 2026
- Discretionary RAUM · $114M to $131MMar 6, 2025 to Mar 20, 2026
- Individual RAUM · $114M to $131MMar 6, 2025 to Mar 20, 2026
- RAUM · $114M to $131MMar 6, 2025 to Mar 20, 2026
- Accounts · 581 to 599Mar 13, 2024 to Mar 6, 2025
- HNW clients · 3 to 0Mar 13, 2024 to Mar 6, 2025
- Individual clients · 229 to 237Mar 13, 2024 to Mar 6, 2025
- Financial planning clients · unset to Mar 13, 2024 to Mar 6, 2025
- HQ city · unset to Mar 13, 2024 to Mar 6, 2025
- HQ state · unset to Mar 13, 2024 to Mar 6, 2025
- Discretionary RAUM · $104M to $114MMar 13, 2024 to Mar 6, 2025
- HNW RAUM · 6777410.0 to unsetMar 13, 2024 to Mar 6, 2025
- Individual RAUM · $97.6M to $114MMar 13, 2024 to Mar 6, 2025
- RAUM · $104M to $114MMar 13, 2024 to Mar 6, 2025
- Accounts · 568 to 581Mar 27, 2023 to Mar 13, 2024
- Advisory activities · 2 to 1Mar 27, 2023 to Mar 13, 2024
- HNW clients · 0 to 3Mar 27, 2023 to Mar 13, 2024
- Individual clients · 234 to 229Mar 27, 2023 to Mar 13, 2024
- Discretionary RAUM · $93.7M to $104MMar 27, 2023 to Mar 13, 2024
- HNW RAUM · unset to 6777410.0Mar 27, 2023 to Mar 13, 2024
- Individual RAUM · $93.7M to $97.6MMar 27, 2023 to Mar 13, 2024
- RAUM · $93.7M to $104MMar 27, 2023 to Mar 13, 2024
- Accounts · 237 to 568May 9, 2022 to Mar 27, 2023
- Individual clients · 237 to 234May 9, 2022 to Mar 27, 2023
- Discretionary RAUM · $118M to $93.7MMay 9, 2022 to Mar 27, 2023
- Individual RAUM · $118M to $93.7MMay 9, 2022 to Mar 27, 2023
- RAUM · $118M to $93.7MMay 9, 2022 to Mar 27, 2023
Signals
1 dated events
- O••• S••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Mar 22, 2022 · 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
- Business phone
- 985-231-0808reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 985-520-0313reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- O•••S•••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 985-231-0808reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- o•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $65.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026