DFX Intelligence

RIA Intelligence

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SEC-registered adviser

O•••••• Q•••••••• C•••••••••

Institutional managerDallas, TexasCRD 301469SEC 801-115089website IAPD

Latest filing Mar 23, 2026

First filing on the tape Mar 27, 2019 · 24 filings

SEC status approved since Apr 26, 2019

RAUM

$695M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.1%

$551,224 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

24 filings and snapshots on the tape

RAUM$695M as of Mar 23, 2026

Mar 30, 2020$808M then

HNW client RAUM$551,224 as of Mar 23, 2026

Mar 30, 2020$3.0M then

State-registered IARs (5.B.3)0 as of Mar 23, 2026

Mar 30, 20201 then

Employees (5.A)4 as of Mar 23, 2026

Mar 30, 20207 then

Private funds: no history

RAUM +32% over the last fiscal year+9.6% a year over threeIARs 0 to 0offices 2 to 1

Practice profile

derived from the filing of Mar 23, 2026; every figure names its basis

Archetypes, each a printed rule

Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent

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: $551,224derivedHNW RAUM over HNW clients
Average account: $46.3MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: +32%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +0.0%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
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

Insurance companies$562M81%
State and municipal entities$82.7M12%
Pension and profit-sharing plans$49.5M7.1%
High-net-worth individuals$551,2240.1%

Individual clients: 0reported
HNW clients: 1reported
Pension plan clients: 2reported
Charitable clients: 0reported
Accounts: 15reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false 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

Every departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
H•••••••• M•••• S••••••• F•••no longer reported	Other Private Fund	$152M	7	Mar 28, 2012

Owners and control persons

Schedule A and B, latest filing

A••••••• J•••• M••••• · Vice Presidentcontrol
since 08/2022 · owns less than 5%
B•••••••• A••••••• · Director, Vice Chaircontrol
since 08/2018 · owns less than 5%
B•••••••• S•••••••• · Director, Vice Presidentcontrol
since 08/2018 · owns less than 5%
B••••• C•••••• · Treasurercontrol
since 08/2018 · owns less than 5%
C••• C••••• · Director, Executive Vice Presidentcontrol
since 02/2022 · owns less than 5%
F•••••• D•••••••• · Chief Compliance Officercontrol
since 05/2024 · owns less than 5%
G•••••• B••••••• · Senior Vice President Operations & Developmentcontrol
since 03/2020 · owns less than 5%
G••••••• G•••••• A••••• · Directorcontrol
since 02/2023 · owns less than 5%
L••••••• C••••• · Director, Presidentcontrol
since 08/2018 · owns less than 5%
P•••• J••••••••• · Director, Chaircontrol
since 08/2018 · owns less than 5%
B•••••••• G••••• · Shareholder Category Bcontrol
since 12/1993 · owns 75% or more of G•••••• I•••
T••••••••• V•••• · Secretary
since 05/2021 · owns less than 5%
W•••••••• J••• E••• · Chief Investment Officer
since 05/2020 · owns less than 5%

Entity owners

O•••••• H••••••• I••• · Direct Owner
direct · owns 75% or more
C••••••••• O•••••• · Shareholder Categories A & Aa
indirect · owns 75% or more of G••••• O•••••• I•••
G•••••• I••• · Shareholder Category A
indirect · owns 75% or more of O•••••• I•••
G••••• O•••••• I••• · Shareholder Category A & D
indirect · owns 75% or more of O•••••• H••••••• I•••
O•••••• I••• · Shareholder Categories A, B, C & D
indirect · owns 75% or more of C••••••••• O••••••

Related persons

Schedule D 7.A

O•••••• A•••• M••••••••• I•••
investment advisern
O•••••• G•••••• F••••••••• S•••
investment advisern
O•••••• R• I•••••••• C••••••
real estaten

Offices

Schedule D 1.F, the 25 largest

Dallas, TX2 employees
, 1 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

business activity changedChange between filings · filing Mar 23, 2026
wrap fee program participation (Item 5.I): yes on the filing of 2025-09-04, no on the filing of 2026-03-23
peers: institutional managers, $500M to $1B (71)

How anomalies are measured

What changed

consecutive filings, newest first

Corporate clients · 1 to 0
Sep 4, 2025 to Mar 23, 2026
Discretionary RAUM · $528M to $695M
Sep 4, 2025 to Mar 23, 2026
HNW RAUM · $471,413 to $551,224
Sep 4, 2025 to Mar 23, 2026
Pension RAUM · $48.5M to $49.5M
Sep 4, 2025 to Mar 23, 2026
RAUM · $528M to $695M
Sep 4, 2025 to Mar 23, 2026
Wrap assets (manager) · 816604.0 to unset
Sep 4, 2025 to Mar 23, 2026
Wrap assets (sponsor) · 0.0 to unset
Sep 4, 2025 to Mar 23, 2026
Advisory employees · 3 to 2
Mar 21, 2025 to Sep 4, 2025
Other offices · 2 to 1
Mar 21, 2025 to Sep 4, 2025
Accounts · 23 to 15
May 3, 2024 to Mar 21, 2025
Corporate clients · 0 to 1
May 3, 2024 to Mar 21, 2025
HNW clients · 0 to 1
May 3, 2024 to Mar 21, 2025
Pension plan clients · 0 to 2
May 3, 2024 to Mar 21, 2025
Employees · 5 to 4
May 3, 2024 to Mar 21, 2025
Financial planning clients · 0 to
May 3, 2024 to Mar 21, 2025
State-registered IARs · 1 to 0
May 3, 2024 to Mar 21, 2025
Other offices · 3 to 2
May 3, 2024 to Mar 21, 2025
Discretionary RAUM · $575M to $528M
May 3, 2024 to Mar 21, 2025
HNW RAUM · unset to 471413.0
May 3, 2024 to Mar 21, 2025
Individual RAUM · $400,044 to $0
May 3, 2024 to Mar 21, 2025
Pension RAUM · $107M to $48.5M
May 3, 2024 to Mar 21, 2025
Pooled vehicle RAUM · unset to 0.0
May 3, 2024 to Mar 21, 2025
RAUM · $575M to $528M
May 3, 2024 to Mar 21, 2025
Wrap assets (manager) · $0 to $816,604
May 3, 2024 to Mar 21, 2025
Accounts · 29 to 23
Oct 5, 2023 to Mar 11, 2024
Other offices · 4 to 3
Oct 5, 2023 to Mar 11, 2024
Discretionary RAUM · $528M to $575M
Oct 5, 2023 to Mar 11, 2024
HNW RAUM · 333173.0 to unset
Oct 5, 2023 to Mar 11, 2024
Individual RAUM · unset to 400044.0
Oct 5, 2023 to Mar 11, 2024
Pension RAUM · $83.2M to $107M
Oct 5, 2023 to Mar 11, 2024
RAUM · $528M to $575M
Oct 5, 2023 to Mar 11, 2024
Wrap assets (manager) · $3.0M to $0
Oct 5, 2023 to Mar 11, 2024
Accounts · 38 to 29
Aug 15, 2022 to Mar 20, 2023
Advisory employees · 2 to 3
Aug 15, 2022 to Mar 20, 2023
HNW clients · 5 to 0
Aug 15, 2022 to Mar 20, 2023
Employees · 4 to 5
Aug 15, 2022 to Mar 20, 2023
HQ city · STAMFORD to DALLAS
Aug 15, 2022 to Mar 20, 2023
HQ state · CT to TX
Aug 15, 2022 to Mar 20, 2023
Other offices · 1 to 4
Aug 15, 2022 to Mar 20, 2023
Discretionary RAUM · $617M to $528M
Aug 15, 2022 to Mar 20, 2023

Signals

10 dated events

O•••••• Q•••••••• C••••••••• reported RAUM $695.1M, up 32% from $528.3M (2025-09-04 to 2026-03-23)
Mar 23, 2026 · RAUM change · derived
Dominique Fortin (Chief Compliance Officer) appeared on Schedule A of O•••••• Q•••••••• C•••••••••
May 3, 2024 · Control person joined · fact
M••••• J••• A•••••• (Vice President) appeared on Schedule A of O•••••• Q•••••••• C•••••••••
Mar 20, 2023 · Control person joined · fact
A••••• G••••• G•••••• (Director) appeared on Schedule A of O•••••• Q•••••••• C•••••••••
Mar 20, 2023 · Control person joined · fact
C••••• Cyr (Director, Executive Vice President) appeared on Schedule A of O•••••• Q•••••••• C•••••••••
Mar 30, 2022 · Control person joined · fact
L•••• F••••••• (Director) no longer on Schedule A of O•••••• Q•••••••• C••••••••• (listed 2022-01-31, absent 2022-03-30)
Mar 30, 2022 · Control person left · inference
L•••• S••••• (Secretary) no longer on Schedule A of O•••••• Q•••••••• C••••••••• (listed 2022-01-31, absent 2022-03-30)
Mar 30, 2022 · Control person left · inference
P•••••• L••••••••• (Director, Executive Vice President) no longer on Schedule A of O•••••• Q•••••••• C••••••••• (listed 2021-03-30, absent 2021-06-17)
Jun 17, 2021 · Control person left · inference
F••••••• B••••••• (Assistant Secretary) no longer on Schedule A of O•••••• Q•••••••• C••••••••• (listed 2019-05-16, absent 2020-03-30)
Mar 30, 2020 · Control person left · inference
O•••••• Q•••••••• C••••••••• filed its initial SEC registration (Form ADV)
Mar 27, 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

Website: o•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 263-381-5677reportedpublic record, Form ADV, Mar 23, 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: Institutional managerderiveda 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