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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

O•••• S••••• C•••••• P••••••• L••

Independent wealth managerLos Angeles, CaliforniaCRD 300115SEC 801-134084IAPD
Latest filing Mar 31, 2026
First filing on the tape Jan 30, 2019 · 8 filings
SEC status approved since Jul 31, 2025
RAUM
$165M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
55%
$90.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$165M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$165M as of Mar 31, 2026
Jul 1, 2025$145M then
HNW client RAUM$90.4M as of Mar 31, 2026
Jul 1, 2025$78.5M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Jul 1, 20251 then
Employees (5.A)2 as of Mar 31, 2026
Jul 1, 20253 then
Private funds1 as of Mar 31, 2026
Jul 1, 20251 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
  • Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
  • RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
  • UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
RAUM per advisor
$165MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$15.1MderivedHNW RAUM over HNW clients
Average account
$20.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
31%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$90.4M55%
  • Insurance companies$51.8M31%
  • Pooled investment vehicles$23.2M14%
Individual clients
n/areported
HNW clients
6reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
Class basis
private_client_share=0.55 fund_share=0.14 institutional_share=0.31 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
N•••• M•••••• H•••••Los Angeles, CaJan 5, 202610 y0
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• N••••• M•••••• · President, Chief Investment Officer, Chief Compliance Officercontrol
        since 12/2018 · owns 75% or more
      • H•••••• J••••••••• L•••••••• · Chief Operating Officer
        since 12/2018 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 3 to 2
        Jul 1, 2025 to Mar 31, 2026
      • Discretionary RAUM · $145M to $165M
        Jul 1, 2025 to Mar 31, 2026
      • HNW RAUM · $78.5M to $90.4M
        Jul 1, 2025 to Mar 31, 2026
      • RAUM · $145M to $165M
        Jul 1, 2025 to Mar 31, 2026
      • Accounts · 0 to 8
        Sep 4, 2019 to Jul 1, 2025
      • Advisory activities · 1 to 3
        Sep 4, 2019 to Jul 1, 2025
      • HNW clients · unset to 6.0
        Sep 4, 2019 to Jul 1, 2025
      • Pooled vehicle clients · unset to 1.0
        Sep 4, 2019 to Jul 1, 2025
      • Financial planning clients · unset to
        Sep 4, 2019 to Jul 1, 2025
      • Private funds · unset to 1
        Sep 4, 2019 to Jul 1, 2025
      • Discretionary RAUM · $0 to $145M
        Sep 4, 2019 to Jul 1, 2025
      • HNW RAUM · unset to 78517367.0
        Sep 4, 2019 to Jul 1, 2025
      • Pooled vehicle RAUM · unset to 23200000.0
        Sep 4, 2019 to Jul 1, 2025
      • RAUM · $0 to $145M
        Sep 4, 2019 to Jul 1, 2025
      • HNW clients · 0.0 to unset
        Jun 11, 2019 to Jul 19, 2019
      • State-registered IARs · 0 to 1
        Jun 11, 2019 to Jul 19, 2019
      • HNW RAUM · 0.0 to unset
        Jun 11, 2019 to Jul 19, 2019
      • Employees · 2 to 3
        Jan 30, 2019 to Jun 11, 2019
      Signals
      1 dated events
      • O•••• S••••• C•••••• P••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 30, 2019 · 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
      3105041101reportedpublic 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
      Independent wealth managerderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $165Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026