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•••••• F•••••• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 7, 2017 · 14 filings
SEC status approved since Jan 5, 2018
RAUM
$184M
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
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$184M as of Mar 31, 2026
Mar 28, 2019$280M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20190 then
Employees (5.A)5 as of Mar 31, 2026
Mar 28, 20198 then
Private funds3 as of Mar 31, 2026
Mar 28, 20192 then
RAUM -5.0% over the last fiscal year-4.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $20.5MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.0%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $184M, 9 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$184M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $184M for 9 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•••••• C••••• P••••••• L• | Hedge Fund | $214M | 80 | Dec 7, 2017 |
| O•• C••• L•• | Hedge Fund | $68.9M | 3 | Dec 7, 2017 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• S•••• · Chief Compliance Officer And Chief Financial Officercontrolsince 09/2017 · owns less than 5%
- E••••• H••• · Chief Operating Officercontrolsince 09/2017 · owns less than 5%
- W••••••••• J•••• P• · Member / Chief Executive Officer / Chief Investment Officercontrolsince 05/2011 · owns less than 5%
- A•••••• S•••• · O••••controlsince 10/2021 · owns 25% to 50% of O•••••• F•••••• H••••••• L••
- C••••• R•••••• · Membercontrolsince 05/2018 · owns 75% or more of S• C•••••• A•••••••• L••
- E••••• H••• · O••••controlsince 10/2021 · owns 25% to 50% of O•••••• F•••••• H••••••• L••
- K•••• E••• · O••••controlsince 10/2021 · owns 25% to 50% of O•••••• R••••• C••••••• L••
- S•••••••• S•••••• · O••••controlsince 10/2021 · owns 25% to 50% of O•••••• R••••• C••••••• L••
- H•••• S•••••• · Membersince 05/2011 · owns 75% or more of P••••••• L••
Entity owners
- O•••••• F•••••• H••••••• L•• · Memberdirect · owns 5% to 10%
- O•••••• O•••• L•• · Memberdirect · owns 75% or more
- O•••••• R••••• C••••••• L•• · Memberindirect · owns 75% or more of O•••••• O•••• L••
- S• C•••••• A•••••••• L•• · Memberindirect · owns 75% or more of S•••••••• L••
- S•••••••• L•• · O••••indirect · owns 25% to 50% of O•••••• O•••• L••
- P••••••• L•• · Memberindirect · owns 25% to 50% of S•••••••• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- private fund count surgeChange between filings · filing Mar 31, 2026private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (734 comparable advisers, 95.0th percentile of changes)peers: asset managers, $100M to $500M (734) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 5 to 9Oct 3, 2025 to Mar 31, 2026
- Advisory employees · 5 to 4Oct 3, 2025 to Mar 31, 2026
- Pooled vehicle clients · 5 to 9Oct 3, 2025 to Mar 31, 2026
- Assets in custody · $194M to $184MOct 3, 2025 to Mar 31, 2026
- Employees · 6 to 5Oct 3, 2025 to Mar 31, 2026
- Private funds · 2 to 3Oct 3, 2025 to Mar 31, 2026
- Discretionary RAUM · $194M to $184MOct 3, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $194M to $184MOct 3, 2025 to Mar 31, 2026
- RAUM · $194M to $184MOct 3, 2025 to Mar 31, 2026
- Assets in custody · $260M to $194MMar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $260M to $194MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $260M to $194MMar 28, 2024 to Mar 31, 2025
- RAUM · $260M to $194MMar 28, 2024 to Mar 31, 2025
- Advisory employees · 6 to 5Mar 29, 2023 to Mar 28, 2024
- Assets in custody · $210M to $260MMar 29, 2023 to Mar 28, 2024
- Employees · 7 to 6Mar 29, 2023 to Mar 28, 2024
- Other offices · 0 to 1Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $210M to $260MMar 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $210M to $260MMar 29, 2023 to Mar 28, 2024
- RAUM · $210M to $260MMar 29, 2023 to Mar 28, 2024
- Assets in custody · $227M to $210MMar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $227M to $210MMar 30, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $227M to $210MMar 30, 2022 to Mar 29, 2023
- RAUM · $227M to $210MMar 30, 2022 to Mar 29, 2023
- Accounts · 4 to 5Nov 12, 2021 to Mar 30, 2022
- Pooled vehicle clients · 4 to 5Nov 12, 2021 to Mar 30, 2022
- Assets in custody · $334M to $227MNov 12, 2021 to Mar 30, 2022
- Discretionary RAUM · $334M to $227MNov 12, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $334M to $227MNov 12, 2021 to Mar 30, 2022
- RAUM · $334M to $227MNov 12, 2021 to Mar 30, 2022
- Advisory employees · 7 to 6May 28, 2020 to Mar 31, 2021
- Assets in custody · $322M to $334MMay 28, 2020 to Mar 31, 2021
- Employees · 8 to 7May 28, 2020 to Mar 31, 2021
- Discretionary RAUM · $322M to $334MMay 28, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $322M to $334MMay 28, 2020 to Mar 31, 2021
- RAUM · $322M to $334MMay 28, 2020 to Mar 31, 2021
- Advisory employees · 8 to 7Mar 28, 2019 to Mar 30, 2020
- Assets in custody · unset to 322172028.0Mar 28, 2019 to Mar 30, 2020
- Custody of client assets · false to trueMar 28, 2019 to Mar 30, 2020
Signals
6 dated events
- O•••••• F•••••• L•• reported RAUM $226.9M, down 32% from $334.1M (2021-11-12 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Alfred J••• Stalfort (Managing Member) no longer on Schedule A of O•••••• F•••••• L•• (listed 2021-03-31, absent 2021-10-29)Oct 29, 2021 · Control person left · inference
- S•••••• Scioscia (Owner) appeared on Schedule A of O•••••• F•••••• L••Oct 29, 2021 · Control person joined · fact
- Ehud Kore (Owner) appeared on Schedule A of O•••••• F•••••• L••Oct 29, 2021 · Control person joined · fact
- Hugh Ewing (Owner) appeared on Schedule A of O•••••• F•••••• L••Oct 29, 2021 · Control person joined · fact
- O•••••• F•••••• L•• filed its initial SEC registration (Form ADV)Dec 7, 2017 · 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••••••FINANCE.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 434-977-7770reportedpublic record, Form ADV, Mar 31, 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