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••••••• A•••• M••••••••• •••• K•••• L••••••
Latest filing Mar 31, 2026
First filing on the tape May 21, 2018 · 13 filings
SEC status approved since Jun 20, 2018
RAUM
$51.8M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$51.8M as of Mar 31, 2026
Mar 29, 2019$72.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20190 then
Employees (5.A)2 as of Mar 31, 2026
Mar 29, 20193 then
Private funds: no history
RAUM +38% over the last fiscal year-3.1% 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
- $51.8MderivedRAUM 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
- +38%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- 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$51.8M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O•••••••• J••••• W••••• · Chairman, Directorcontrolsince 02/2018 · owns less than 5%
- O•••••••• J••••• W••••• · President, Directorcontrolsince 11/1994 · owns 50% to 75% of O••••••• A•••• M••••••••• I••
- H••••••••• E•••• V••••• · Chief Financial Officersince 09/2022 · owns less than 5%
- J••••• T•••••• P•••••• · Chief Compliance Officersince 09/2022 · owns less than 5%
Entity owners
- O••••••• A•••• M••••••••• I•• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- O••••••• A•••• M••••••••• I••investment adviseryRAUM $5.1B
- O••••••• A•••• M••••••••• U• L••••••investment advisern
- O••••••• S••••••••• I•••broker-dealern
Advisers that list O••••••• A•••• M••••••••• •••• K•••• L•••••• as a related person
- 105471 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $37.4M to $51.8MMar 31, 2025 to Mar 31, 2026
- RAUM · $37.4M to $51.8MMar 31, 2025 to Mar 31, 2026
- Financial planning clients · unset to Nov 1, 2024 to Mar 31, 2025
- HQ state · unset to Nov 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $45.8M to $37.4MNov 1, 2024 to Mar 31, 2025
- RAUM · $45.8M to $37.4MNov 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $56.9M to $45.8MMar 31, 2023 to Mar 28, 2024
- RAUM · $56.9M to $45.8MMar 31, 2023 to Mar 28, 2024
- Advisory employees · 3 to 2Jan 10, 2023 to Mar 31, 2023
- Employees · 3 to 2Jan 10, 2023 to Mar 31, 2023
- Discretionary RAUM · $97.1M to $56.9MJan 10, 2023 to Mar 31, 2023
- RAUM · $97.1M to $56.9MJan 10, 2023 to Mar 31, 2023
- Discretionary RAUM · $122M to $97.1MMar 31, 2021 to Mar 31, 2022
- RAUM · $122M to $97.1MMar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $89.9M to $122MMar 30, 2020 to Mar 31, 2021
- RAUM · $89.9M to $122MMar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $72.1M to $89.9MMar 29, 2019 to Mar 30, 2020
- RAUM · $72.1M to $89.9MMar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $117M to $72.1MAug 8, 2018 to Mar 29, 2019
- RAUM · $117M to $72.1MAug 8, 2018 to Mar 29, 2019
Signals
2 dated events
- Brian Patrick Joyce (Executive Vice President, Director) no longer on Schedule A of O••••••• A•••• M••••••••• •••• K•••• L•••••• (listed 2022-10-31, absent 2023-01-10)Jan 10, 2023 · Control person left · inference
- O••••••• A•••• M••••••••• •••• K•••• L•••••• filed its initial SEC registration (Form ADV)May 21, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 852.2297.2297reportedpublic 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