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Former SEC-registered adviser

O•••••• F••••••

Former SEC-registered adviserWalnut Creek, CaliforniaCRD 306511SEC 801-117809websiteIAPD
Legal name O•••••• F••••••• L••
Latest filing May 4, 2020
First filing on the tape Nov 16, 2019 · 6 filings
RAUM
$39.4M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
100%
$39.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$39.4M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$39.4M as of May 4, 2020
Nov 16, 2019$0 then
HNW client RAUM$37.5M as of May 4, 2020
Apr 15, 2020$34.3M then
State-registered IARs (5.B.3)1 as of May 4, 2020
Nov 16, 20191 then
Employees (5.A)1 as of May 4, 2020
Nov 16, 20191 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 4, 2020; every figure names its basis
RAUM per advisor
$39.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
22derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$452,874derivedRAUM over accounts (5.F.2.f)
Discretionary
85%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 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, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$37.5M95%
  • Individuals$1.9M4.8%
Individual clients
7reported
HNW clients
15reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
87reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•• M•••••• G••••Walnut Creek, CaJan 7, 202025 y5
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G••••• J••• M•••••• · Ownercontrol
      since 01/2020 · owns 75% or more of O•••••• M••••• L••
    • G••••• J••• M•••••• · Chief Compliance Officer
      since 01/2020 · owns less than 5%
    Entity owners
    • O•••••• M••••• L•• · Principal
      direct · owns 75% or more
    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
    • Accounts · 84 to 87
      Apr 20, 2020 to May 4, 2020
    • HNW clients · 14 to 15
      Apr 20, 2020 to May 4, 2020
    • Discretionary RAUM · $30.4M to $33.6M
      Apr 20, 2020 to May 4, 2020
    • HNW RAUM · $34.3M to $37.5M
      Apr 20, 2020 to May 4, 2020
    • RAUM · $36.2M to $39.4M
      Apr 20, 2020 to May 4, 2020
    • Accounts · 0 to 84
      Jan 6, 2020 to Apr 15, 2020
    • HNW clients · unset to 14.0
      Jan 6, 2020 to Apr 15, 2020
    • Individual clients · unset to 7.0
      Jan 6, 2020 to Apr 15, 2020
    • Discretionary RAUM · $0 to $30.4M
      Jan 6, 2020 to Apr 15, 2020
    • HNW RAUM · unset to 34300000.0
      Jan 6, 2020 to Apr 15, 2020
    • Individual RAUM · unset to 1900000.0
      Jan 6, 2020 to Apr 15, 2020
    • Non-discretionary RAUM · $0 to $5.8M
      Jan 6, 2020 to Apr 15, 2020
    • RAUM · $0 to $36.2M
      Jan 6, 2020 to Apr 15, 2020
    • Financial planning clients · unset to 0
      Nov 16, 2019 to Jan 3, 2020
    Signals
    2 dated events
    • ••• Locked
      Jan 6, 2020 · Control person joined · fact
    • ••• Locked
      Nov 16, 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, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $39.4Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026