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••••••••
Legal name O••••••••• F•••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Dec 18, 2017 · 21 filings
SEC status approved since Jan 17, 2018
RAUM
$158M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$136M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$158M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$158M as of Mar 24, 2026
Mar 27, 2019$115M then
HNW client RAUM$125M as of Mar 24, 2026
Mar 27, 2019$102M then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Mar 27, 20191 then
Employees (5.A)4 as of Mar 24, 2026
Mar 27, 20193 then
Private funds: no history
RAUM +0.5% over the last fiscal year+4.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $158MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$125M79%
- Corporations and businesses$16.7M11%
- Individuals$10.5M6.6%
- Charitable organizations$5.5M3.5%
- Individual clients
- 35reported
- HNW clients
- 23reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 64reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A••••• K••••• | Brunswick, Me | Jan 17, 2018 | 39 y | 5 |
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
none on the tape
Joined, latest
- D•••• A••••• K••••• from A••••• G••••••• I•••Jan 17, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• D••••• A••••• · Managing Member, Ccocontrolsince 03/2024 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
What changed
consecutive filings, newest first
- Accounts · 69 to 64Aug 19, 2025 to Mar 24, 2026
- Charity clients · 0 to 3Aug 19, 2025 to Mar 24, 2026
- Corporate clients · 2 to 3Aug 19, 2025 to Mar 24, 2026
- HNW clients · 24 to 23Aug 19, 2025 to Mar 24, 2026
- Individual clients · 43 to 35Aug 19, 2025 to Mar 24, 2026
- Discretionary RAUM · $148M to $158MAug 19, 2025 to Mar 24, 2026
- HNW RAUM · $139M to $125MAug 19, 2025 to Mar 24, 2026
- Individual RAUM · $14.3M to $10.5MAug 19, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $8.4M to $0Aug 19, 2025 to Mar 24, 2026
- RAUM · $157M to $158MAug 19, 2025 to Mar 24, 2026
- Advisory employees · 2 to 1Jun 16, 2025 to Aug 19, 2025
- Employees · 3 to 4Jun 16, 2025 to Aug 19, 2025
- Legal name · O•••••••• F••••••••, LLC to O••••••••S FINANCIAL LLCJun 16, 2025 to Aug 19, 2025
- Financial planning clients · unset to Mar 24, 2025 to Jun 16, 2025
- Accounts · 147 to 69Aug 22, 2024 to Mar 24, 2025
- Corporate clients · 11 to 2Aug 22, 2024 to Mar 24, 2025
- HNW clients · 53 to 24Aug 22, 2024 to Mar 24, 2025
- Individual clients · 26 to 43Aug 22, 2024 to Mar 24, 2025
- Employees · 4 to 3Aug 22, 2024 to Mar 24, 2025
- State-registered IARs · 2 to 1Aug 22, 2024 to Mar 24, 2025
- Discretionary RAUM · $139M to $148MAug 22, 2024 to Mar 24, 2025
- HNW RAUM · $129M to $139MAug 22, 2024 to Mar 24, 2025
- Individual RAUM · $4.3M to $14.3MAug 22, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $6.6M to $8.4MAug 22, 2024 to Mar 24, 2025
- RAUM · $146M to $157MAug 22, 2024 to Mar 24, 2025
- Accounts · 138 to 147Sep 25, 2023 to Mar 28, 2024
- Corporate clients · 9 to 11Sep 25, 2023 to Mar 28, 2024
- HNW clients · 52 to 53Sep 25, 2023 to Mar 28, 2024
- Individual clients · 24 to 26Sep 25, 2023 to Mar 28, 2024
- Employees · 3 to 4Sep 25, 2023 to Mar 28, 2024
- Discretionary RAUM · $133M to $139MSep 25, 2023 to Mar 28, 2024
- HNW RAUM · $121M to $129MSep 25, 2023 to Mar 28, 2024
- Individual RAUM · $3.6M to $4.3MSep 25, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $6.6M to $6.6MSep 25, 2023 to Mar 28, 2024
- RAUM · $139M to $146MSep 25, 2023 to Mar 28, 2024
- Accounts · 119 to 138Nov 4, 2022 to Mar 22, 2023
- HNW clients · 55 to 52Nov 4, 2022 to Mar 22, 2023
- Individual clients · 22 to 24Nov 4, 2022 to Mar 22, 2023
- Employees · 4 to 3Nov 4, 2022 to Mar 22, 2023
- Discretionary RAUM · $168M to $133MNov 4, 2022 to Mar 22, 2023
Signals
4 dated events
- Brad Michael Brazinsky (Chief Compliance Officer) no longer on Schedule A of O•••••••• F•••••••• (listed 2023-09-25, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- O•••••••• F•••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 17, 2022 · Succession (Item 4) · fact
- Brad Michael Brazinsky (Chief Compliance Officer) appeared on Schedule A of O•••••••• F••••••••Mar 12, 2021 · Control person joined · fact
- O•••••••• F•••••••• filed its initial SEC registration (Form ADV)Dec 18, 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
- Principal office phone
- 978-865-3787reportedpublic record, Form ADV, Mar 24, 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
- $158Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026