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 Mar 25, 2026
First filing on the tape Mar 29, 2021 · 9 filings
SEC status approved since Apr 30, 2021
RAUM
$422M
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
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$422M as of Mar 25, 2026
Mar 25, 2022$168M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 25, 20220 then
Employees (5.A)7 as of Mar 25, 2026
Mar 25, 20224 then
Private funds3 as of Mar 25, 2026
Mar 25, 20223 then
RAUM +42% over the last fiscal year+65% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $141MderivedRAUM 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
- +42%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
- $422M, 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
- 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$422M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $422M for 3 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O••• C•••••• M••••••••• F•••• L• | Hedge Fund | $69.4M | 3 | Aug 14, 2017 |
| O••• C•••••• M••••••••• F••• I•• L• | Hedge Fund | $57.5M | 2 | Mar 29, 2021 |
| O••• C•••••• M••••••••• F••• I••• L• | Hedge Fund | $36.4M | 2 | Mar 25, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• L•••• M•••• · Member And Chief Compliance Officercontrolsince 09/2020 · owns 10% to 25%
- D• S••••• S••••••• N•• · Membercontrolsince 09/2020 · owns 10% to 25%
- I•••••••• T••••••• N•• · Managing Membercontrolsince 11/2016 · owns 50% to 75%
- P••••••• E•••••••• U•••••• G• · Membercontrolsince 11/2016 · owns 5% to 10%
Related persons
Schedule D 7.A
- O••• C•••••• P•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Mar 25, 2025 to Mar 25, 2026
- Assets in custody · $297M to $422MMar 25, 2025 to Mar 25, 2026
- Employees · 5 to 7Mar 25, 2025 to Mar 25, 2026
- Discretionary RAUM · $297M to $422MMar 25, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $297M to $422MMar 25, 2025 to Mar 25, 2026
- RAUM · $297M to $422MMar 25, 2025 to Mar 25, 2026
- Financial planning clients · unset to Mar 29, 2024 to Mar 25, 2025
- Discretionary RAUM · $163M to $297MMar 29, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $163M to $297MMar 29, 2024 to Mar 25, 2025
- RAUM · $163M to $297MMar 29, 2024 to Mar 25, 2025
- Assets in custody · $163M to $297MMar 29, 2024 to Mar 25, 2025
- Assets in custody · $93.8M to $163MMar 27, 2023 to Mar 29, 2024
- Discretionary RAUM · $93.8M to $163MMar 27, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $93.8M to $163MMar 27, 2023 to Mar 29, 2024
- RAUM · $93.8M to $163MMar 27, 2023 to Mar 29, 2024
- Advisory employees · 3 to 4Aug 4, 2022 to Mar 27, 2023
- Assets in custody · $168M to $93.8MAug 4, 2022 to Mar 27, 2023
- Employees · 4 to 5Aug 4, 2022 to Mar 27, 2023
- Discretionary RAUM · $168M to $93.8MAug 4, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $168M to $93.8MAug 4, 2022 to Mar 27, 2023
- RAUM · $168M to $93.8MAug 4, 2022 to Mar 27, 2023
- Accounts · 2 to 3Nov 18, 2021 to Mar 25, 2022
- Pooled vehicle clients · 2 to 3Nov 18, 2021 to Mar 25, 2022
- Assets in custody · unset to 168429000.0Nov 18, 2021 to Mar 25, 2022
- Custody of client assets · false to trueNov 18, 2021 to Mar 25, 2022
- Private funds · 2 to 3Nov 18, 2021 to Mar 25, 2022
- Discretionary RAUM · $130M to $168MNov 18, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $130M to $168MNov 18, 2021 to Mar 25, 2022
- RAUM · $130M to $168MNov 18, 2021 to Mar 25, 2022
- Private funds · 4 to 2Mar 29, 2021 to Apr 30, 2021
Signals
3 dated events
- O••• C•••••• M••••••••• L•• reported RAUM $422.1M, up 42% from $296.7M (2025-03-25 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- O••• C•••••• M••••••••• L•• reported RAUM $296.7M, up 82% from $163.3M (2024-03-29 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- O••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 29, 2021 · 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
- 646-867-0658reportedpublic record, Form ADV, Mar 25, 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