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Former SEC-registered adviser

O•• T•••• A•••••••

Former SEC-registered adviserToledo, OhioCRD 296842SEC 801-113226IAPD
Legal name O•• T•••• A•••••••• L••
Latest filing Jul 30, 2018
First filing on the tape Apr 14, 2018 · 2 filings
RAUM
$203M
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
65%
$132M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$203M as of Jul 30, 2018
Apr 14, 2018$203M then
HNW client RAUM$43.0M as of Jul 30, 2018
Apr 14, 2018$43.0M then
State-registered IARs (5.B.3)2 as of Jul 30, 2018
Apr 14, 20182 then
Employees (5.A)6 as of Jul 30, 2018
Apr 14, 20187 then
Private funds: no history
Practice profile
derived from the filing of Jul 30, 2018; every figure names its basis
RAUM per advisor
$101MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
250derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$330,769derivedHNW RAUM over HNW clients
Average account
$131,285derivedRAUM over accounts (5.F.2.f)
Discretionary
77%derivedof RAUM
Institutional
35%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 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, hourlyreportedItem 5.E
Advisory activities
financial planning, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$88.8M44%
  • Pension and profit-sharing plans$71.0M35%
  • High-net-worth individuals$43.0M21%
Individual clients
370reported
HNW clients
130reported
Pension plan clients
93reported
Charitable clients
n/areported
Accounts
1,545reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
      • A••••• S•••• · Presidentcontrol
        since 04/2018 · owns 75% or more
      • B•••••• B•••••••• N••••• · Chief Compliance Officer
        since 04/2018 · owns less than 5%
      Related persons
      Schedule D 7.A
      • C••••••••• A• H••••
        investment advisern
      • S•••• A••••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 7 to 6
        Apr 14, 2018 to Jul 30, 2018
      Signals
      1 dated events
      • O•• T•••• A••••••• filed its initial SEC registration (Form ADV)
        Apr 14, 2018 · 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