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•••• B••••• C••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Feb 17, 2023 · 7 filings
SEC status approved since Mar 20, 2023
RAUM
$140M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$140M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$70.1M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$140M as of Mar 16, 2026
Mar 11, 2024$120M then
HNW client RAUM$111M as of Mar 16, 2026
Mar 11, 2024$98.0M then
State-registered IARs (5.B.3)2 as of Mar 16, 2026
Mar 11, 20242 then
Employees (5.A)3 as of Mar 16, 2026
Mar 11, 20243 then
Private funds: no history
RAUM +7.0% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $70.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $459,829derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $112MreportedItem 5.I
- Custody
- $21.4M, 32 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$111M79%
- Individuals$29.4M21%
- Charitable organizations$43,5910.0%
- Individual clients
- 102reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 305reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $21.4M for 32 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• S•••• C•••••• | O•••• B•••••, Ms | Aug 31, 2020 | 41 y | 1 |
| C••••••••• A• E•••••••• | O•••• B•••••, Ms | Jan 1, 2025 | 27 y | 4 |
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
- C••••••••• A• E•••••••• from D•••• C• J•••• G••••• W••••• M•••••••••Jan 1, 2025 · Other
- W•••••• S•••• C•••••• from W•••• F•••• A•••••••Aug 31, 2020 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• W••••••• S•••• · Managing Membercontrolsince 09/2019 · owns 50% to 75%
- E••••••••• C••••••••• A• · Managing Member & Ccocontrolsince 03/2019 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| O•••• B•••••, Ms | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- O•••• B•••••, MS1 employees
What changed
consecutive filings, newest first
- Accounts · 291 to 305Mar 4, 2025 to Mar 16, 2026
- HNW clients · 37 to 40Mar 4, 2025 to Mar 16, 2026
- Individual clients · 99 to 102Mar 4, 2025 to Mar 16, 2026
- Assets in custody · $35.8M to $21.4MMar 4, 2025 to Mar 16, 2026
- Financial planning clients · 0 to 1-10Mar 4, 2025 to Mar 16, 2026
- Discretionary RAUM · $131M to $140MMar 4, 2025 to Mar 16, 2026
- HNW RAUM · $106M to $111MMar 4, 2025 to Mar 16, 2026
- Individual RAUM · $24.8M to $29.4MMar 4, 2025 to Mar 16, 2026
- RAUM · $131M to $140MMar 4, 2025 to Mar 16, 2026
- Accounts · 301 to 291Mar 11, 2024 to Mar 4, 2025
- HNW clients · 36 to 37Mar 11, 2024 to Mar 4, 2025
- Individual clients · 101 to 99Mar 11, 2024 to Mar 4, 2025
- Assets in custody · $17.9M to $35.8MMar 11, 2024 to Mar 4, 2025
- Financial planning clients · 1-10 to 0Mar 11, 2024 to Mar 4, 2025
- HQ city · unset to Mar 11, 2024 to Mar 4, 2025
- HQ state · unset to Mar 11, 2024 to Mar 4, 2025
- Discretionary RAUM · $120M to $131MMar 11, 2024 to Mar 4, 2025
- HNW RAUM · $98.0M to $106MMar 11, 2024 to Mar 4, 2025
- Individual RAUM · $22.5M to $24.8MMar 11, 2024 to Mar 4, 2025
- RAUM · $120M to $131MMar 11, 2024 to Mar 4, 2025
- Accounts · 277 to 301Sep 29, 2023 to Mar 11, 2024
- HNW clients · 24 to 36Sep 29, 2023 to Mar 11, 2024
- Individual clients · 114 to 101Sep 29, 2023 to Mar 11, 2024
- Assets in custody · $34.1M to $17.9MSep 29, 2023 to Mar 11, 2024
- Discretionary RAUM · $102M to $120MSep 29, 2023 to Mar 11, 2024
- HNW RAUM · $71.1M to $98.0MSep 29, 2023 to Mar 11, 2024
- Individual RAUM · $30.4M to $22.5MSep 29, 2023 to Mar 11, 2024
- RAUM · $102M to $120MSep 29, 2023 to Mar 11, 2024
Signals
1 dated events
- O•••• B••••• C••••••• L•• filed its initial SEC registration (Form ADV)Feb 17, 2023 · 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
- Business email
- admin@obcap.netreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- scott@obcap.netreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 662-893-6406reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- OBCAP.NETreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (901) 338-3400reportedpublic record, Form ADV, Mar 16, 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
- $70.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026