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.

Former SEC-registered adviser

Oc Private Capital, LLC

Former SEC-registered adviserNew York, New YorkCRD 290619SEC 801-112066IAPD
Latest filing Oct 17, 2019
First filing on the tape Oct 25, 2017 · 5 filings
RAUM
$182M
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM: $133M
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 29, 20180 then
Employees (5.A)14 as of Mar 29, 2019
Mar 29, 201814 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 17, 2019; 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
$182MderivedRAUM 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
unknownderivedbetween 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, otherreportedItem 5.E
Advisory activities
portfolio management for investment companies, selection of other advisers, otherreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$182M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • William John Coleman · Director And Chairmancontrol
        since 08/2019 · owns less than 5%
      • Timothy M. Corbett · Directorcontrol
        since 10/2017 · owns less than 5%
      • David Mark Jenkins · Directorcontrol
        since 10/2017 · owns less than 5%
      • Kumar Krishna Memani · Directorcontrol
        since 10/2017 · owns less than 5%
      • Andrew Peters · Chief Risk Officercontrol
        since 02/2018 · owns less than 5%
      • Lee Richard Phegley · Chief Financial Officercontrol
        since 08/2019 · owns less than 5%
      • Justin Plouffe · Directorcontrol
        since 10/2017 · owns less than 5%
      • Rohit Vohra · Ceo And Coocontrol
        since 08/2019 · owns less than 5%
      • Christopher Stephen Volpe · Chief Compliance Officercontrol
        since 10/2017 · owns less than 5%
      Entity owners
      • Ofi Global Institutional, Inc. · Member
        direct · owns 50% to 75%
      • The Carlyle Group · Member
        direct · owns 25% to 50%
      • Carlyle Group Management L.L.C. · General Partner
        indirect · owns F of The Carlyle Group, L.P.
      • Carlyle Holdings I Gp Inc. · Member
        indirect · owns 75% or more of Carlyle Holdings I Gp Sub L.L.C.
      • Carlyle Holdings I Gp Sub L.L.C. · General Partner
        indirect · owns F of Carlyle Holdings I, LP
      • Carlyle Holdings I, LP · Member
        indirect · owns 75% or more of Tc Group LLC
      • Invesco Advisers, Inc. · Shareholder
        indirect · owns 75% or more of Ofi Global Institutional, Inc.
      • Invesco Group Services, Inc. · Sole Shareholder
        indirect · owns 75% or more of Invesco Advisers, Inc.
      • Invesco Holding Company (US), Inc. · Sole Shareholder
        indirect · owns 75% or more of Oppenheimer Acquisition Corp (Gatc)
      • Invesco Holding Company Limited · Sole Shareholder
        indirect · owns 75% or more of Invesco Holding Company (US), Inc.
      • Invesco Ltd. · Sole Shareholder
        indirect · owns 75% or more of Invesco Holding Company Limited
      • Ofi Global Asset Management, Inc. · Sole Shareholder
        indirect · owns 75% or more of Invesco Group Services, Inc.
      • Oppenheimer Acquisition Corp (Gatc) · Shareholder
        indirect · owns 75% or more of Oppenheimerfunds Inc
      • Oppenheimerfunds Inc · Shareholder
        indirect · owns 75% or more of Ofi Global Asset Management, Inc.
      • Tc Group LLC · Member
        indirect · owns 75% or more of The Carlyle Group
      • The Carlyle Group, L.P. · Shareholder
        indirect · owns 75% or more of Carlyle Holdings I Gp Inc. · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Oc Private Capital, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $121M to $182M
        Jun 24, 2019 to Oct 17, 2019
      • RAUM · $121M to $182M
        Jun 24, 2019 to Oct 17, 2019
      • Advisory employees · 5 to 0
        Mar 29, 2019 to Jun 24, 2019
      • BD registered reps · 5 to 0
        Mar 29, 2019 to Jun 24, 2019
      • Employees · 14 to 0
        Mar 29, 2019 to Jun 24, 2019
      • Discretionary RAUM · $133M to $121M
        Mar 29, 2019 to Jun 24, 2019
      • RAUM · $133M to $121M
        Mar 29, 2019 to Jun 24, 2019
      • Accounts · unset to 1.0
        Mar 29, 2018 to Mar 29, 2019
      • Advisory activities · 2 to 3
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · unset to 132795773.0
        Mar 29, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · unset to 0.0
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · unset to 132795773.0
        Mar 29, 2018 to Mar 29, 2019
      • Advisory employees · 3 to 5
        Oct 25, 2017 to Mar 29, 2018
      • Advisory activities · 1 to 2
        Oct 25, 2017 to Mar 29, 2018
      • BD registered reps · 2 to 5
        Oct 25, 2017 to Mar 29, 2018
      • Employees · 9 to 14
        Oct 25, 2017 to Mar 29, 2018
      Signals
      5 dated events
      • William John Coleman (Director And Chairman) appeared on Schedule A of Oc Private Capital, Llc
        Oct 17, 2019 · Control person joined · fact
      • Lee Richard Phegley (Chief Financial Officer) appeared on Schedule A of Oc Private Capital, Llc
        Oct 17, 2019 · Control person joined · fact
      • Kamal Bhatia (Ceo, Director And Chairman) no longer on Schedule A of Oc Private Capital, Llc (listed 2019-06-24, absent 2019-10-17)
        Oct 17, 2019 · Control person left · inference
      • Donghui Tony Oh (Chief Financial Officer) no longer on Schedule A of Oc Private Capital, Llc (listed 2019-06-24, absent 2019-10-17)
        Oct 17, 2019 · Control person left · inference
      • Oc Private Capital, Llc filed its initial SEC registration (Form ADV)
        Oct 25, 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.
      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
      Former SEC-registered adviserderiveda 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