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.
SEC-registered adviser
Orix Advisers, LLC
Latest filing Aug 5, 2026
First filing on the tape Feb 4, 2020 · 24 filings
SEC status approved since Mar 5, 2020
RAUM
$9.6B
reported, Item 5.F
Discretionary
76%
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
372
73 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
15
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$9.6B as of Aug 5, 2026
Jun 27, 2020$602M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 5, 2026
Jun 27, 20200 then
Employees (5.A)372 as of Aug 5, 2026
Jun 27, 202022 then
Private funds15 as of Aug 5, 2026
Jun 27, 20201 then
RAUM +18% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 5, 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
- $458MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 76%derivedof RAUM
- Institutional
- 5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.4%derivedbetween 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, performance-basedreportedItem 5.E
- Advisory activities
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$6.6B88%
- Insurance companies$484M6.5%
- Corporations and businesses$434M5.8%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 21reported
- 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=0.68 institutional_share=0.05 related_bd=true related_bank=false bd_reps=13.0derived
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
18 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Orix Capital Fund I, LP | Private Equity Fund | $934M | 8 | Mar 30, 2016 |
| Signal Peak Clo 4, Ltd | Securitized Asset Fund | $589M | 12 | Sep 29, 2017 |
| Signal Peak Clo 9, Ltd | Securitized Asset Fund | $498M | 14 | Jun 29, 2021 |
| Signal Peak Clo 8, Ltd. | Securitized Asset Fund | $496M | 2 | Mar 1, 2019 |
| Signal Peak Clo 1, Ltd | Securitized Asset Fund | $444M | 17 | Mar 31, 2015 |
| Signal Peak Clo 6, Ltd. | Securitized Asset Fund | $440M | 16 | Nov 28, 2018 |
| Signal Peak Clo 5, Ltd. | Securitized Asset Fund | $405M | 20 | Sep 29, 2017 |
| Signal Peak Clo 12, Ltd | Securitized Asset Fund | $398M | 11 | Jun 28, 2022 |
| Signal Peak Clo 10, Ltd | Securitized Asset Fund | $395M | 13 | Jun 29, 2021 |
| Signal Peak Clo 7, Ltd | Securitized Asset Fund | $393M | 16 | Mar 1, 2019 |
| Sp-Static Clo, Ltdno longer reported | Securitized Asset Fund | $361M | 4 | Mar 1, 2019 |
| Signal Peak Clo 3, Ltd | Securitized Asset Fund | $302M | 12 | Nov 15, 2016 |
| Signal Peak Clo 2, LLC | Securitized Asset Fund | $256M | 4 | Mar 31, 2015 |
| Signal Peak Clo 11, Ltd | Other Private Fund | $178M | 1 | Jun 28, 2022 |
| Signal Peak Clo Bobby | Other Private Fund | $169M | 1 | Jun 28, 2022 |
| Mariner Clo 10, Ltd.no longer reported | Securitized Asset Fund | $71.9M | 1 | Aug 28, 2019 |
| Signal Peak Clo Opportunities Fund, L.P. | Hedge Fund | $3.3M | 54 | Mar 30, 2016 |
| Signal Peak Falcon Clo Fund, L.P.no longer reported | Hedge Fund | $736,003 | 1 | Sep 29, 2017 |
Owners and control persons
Schedule A and B, latest filing
- Brian Jeffrey Abrams · Head Of Private Credit And Real Estatecontrolsince 12/2023 · owns less than 5%
- Francis Charles Gilroy · Chief Operating Officercontrolsince 12/2020 · owns less than 5%
- Elissa Michele Halickman · Chief Compliance Officercontrolsince 09/2022 · owns less than 5%
- Gilbert Van Hassel · Executive Chairmancontrolsince 09/2022 · owns less than 5%
- Yue Zhu · Chief Financial Officercontrolsince 05/2024 · owns less than 5%
Entity owners
- Oam Holdings, LLC · Majority Shareholderdirect · owns 75% or more
- Ocu Global Asset Management, LLC · Sole Ownerindirect · owns 75% or more of Oam Holdings, LLC
- Ocu Opco Holdings, LLC · Sole Ownerindirect · owns 75% or more of Ocu Global Asset Management, LLC
- Orix Capital Markets, LLC · Sole Ownerindirect · owns 75% or more of Ocu Opco Holdings, LLC
- Orix Corporation · Sole Ownerindirect · owns 75% or more of Orix Corporation USA · public reporting company
- Orix Corporation USA · Sole Ownerindirect · owns 75% or more of Orix Capital Markets, LLC
Related persons
Schedule D 7.A
- Lument Investment Management, LLCinvestment advisernRAUM $1.9B
- Lument Securities, LLCbroker-dealern
- Nxt Capital Investment Advisers, LLCinvestment advisernRAUM $6.6B
- Orix Capital Fund I Gp, LLCpooled vehicle sponsory
- Partners Special Opportunities Fund Gp, LLCpooled vehicle sponsory
- Signal Peak Capital Management, LLCpooled vehicle sponsory
Advisers that list Orix Advisers, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX27 employees
- Bellevue, WA4 employees
- San Francisco, CA3 employees
- London, United Kingdom2 employees
What changed
consecutive filings, newest first
- Accounts · 24 to 21May 20, 2026 to Jun 29, 2026
- Advisory employees · 62 to 73May 20, 2026 to Jun 29, 2026
- Pooled vehicle clients · 16 to 15May 20, 2026 to Jun 29, 2026
- Employees · 328 to 372May 20, 2026 to Jun 29, 2026
- Private funds · 16 to 15May 20, 2026 to Jun 29, 2026
- Discretionary RAUM · $6.4B to $7.3BMay 20, 2026 to Jun 29, 2026
- Non-discretionary RAUM · $1.7B to $2.4BMay 20, 2026 to Jun 29, 2026
- Pooled vehicle RAUM · $5.8B to $6.6BMay 20, 2026 to Jun 29, 2026
- RAUM · $8.2B to $9.6BMay 20, 2026 to Jun 29, 2026
- Related bank · true to falseMay 20, 2026 to Jun 29, 2026
- Accounts · 25 to 24Jun 27, 2025 to Jan 16, 2026
- Pooled vehicle clients · 17 to 16Jun 27, 2025 to Jan 16, 2026
- Discretionary RAUM · $6.5B to $6.4BJun 27, 2025 to Jan 16, 2026
- Non-discretionary RAUM · $1.7B to $1.7BJun 27, 2025 to Jan 16, 2026
- Pooled vehicle RAUM · $5.9B to $5.8BJun 27, 2025 to Jan 16, 2026
- RAUM · $8.2B to $8.2BJun 27, 2025 to Jan 16, 2026
- Accounts · 22 to 25Oct 29, 2024 to Jun 27, 2025
- BD registered reps · 11 to 13Oct 29, 2024 to Jun 27, 2025
- Pooled vehicle clients · 16 to 17Oct 29, 2024 to Jun 27, 2025
- Employees · 305 to 328Oct 29, 2024 to Jun 27, 2025
- Financial planning clients · unset to Oct 29, 2024 to Jun 27, 2025
- Private funds · 15 to 16Oct 29, 2024 to Jun 27, 2025
- Discretionary RAUM · $5.9B to $6.5BOct 29, 2024 to Jun 27, 2025
- Non-discretionary RAUM · $2.2B to $1.7BOct 29, 2024 to Jun 27, 2025
- Pooled vehicle RAUM · $6.0B to $5.9BOct 29, 2024 to Jun 27, 2025
- RAUM · $8.1B to $8.2BOct 29, 2024 to Jun 27, 2025
- Advisory employees · 63 to 62Jun 29, 2023 to Jun 27, 2024
- Accounts · 24 to 22Jun 29, 2023 to Jun 27, 2024
- BD registered reps · 8 to 11Jun 29, 2023 to Jun 27, 2024
- Assets in custody · 927725615.0 to unsetJun 29, 2023 to Jun 27, 2024
- Custody of client assets · true to falseJun 29, 2023 to Jun 27, 2024
- Employees · 306 to 305Jun 29, 2023 to Jun 27, 2024
- Other offices · 5 to 4Jun 29, 2023 to Jun 27, 2024
- Discretionary RAUM · $6.3B to $5.9BJun 29, 2023 to Jun 27, 2024
- Non-discretionary RAUM · $1.9B to $2.2BJun 29, 2023 to Jun 27, 2024
- Pooled vehicle RAUM · $6.3B to $6.0BJun 29, 2023 to Jun 27, 2024
- RAUM · $8.2B to $8.1BJun 29, 2023 to Jun 27, 2024
- Accounts · 23 to 24Jan 25, 2023 to Jun 29, 2023
- Advisory employees · 70 to 63Jan 25, 2023 to Jun 29, 2023
- Pooled vehicle clients · 15 to 16Jan 25, 2023 to Jun 29, 2023
Signals
27 dated events
- Orix Advisers, Llc reported RAUM $8.2B, up 27% from $6.4B (2023-01-25 to 2023-06-29)Jun 29, 2023 · RAUM change · derived
- Brian Jeffrey Abrams (Head Of Private Credit) appeared on Schedule A of Orix Advisers, LlcJan 25, 2023 · Control person joined · fact
- Christopher Brian Dillon (Chief Compliance Officer) no longer on Schedule A of Orix Advisers, Llc (listed 2022-07-28, absent 2022-10-07)Oct 7, 2022 · Control person left · inference
- Elissa Michele Halickman (Chief Compliance Officer) appeared on Schedule A of Orix Advisers, LlcOct 7, 2022 · Control person joined · fact
- Gilbert Van Hassel (Executive Chairman) appeared on Schedule A of Orix Advisers, LlcOct 7, 2022 · Control person joined · fact
- Ubaka Arthur Mbanefo (Chief Investment Officer) no longer on Schedule A of Orix Advisers, Llc (listed 2022-06-28, absent 2022-07-28)Jul 28, 2022 · Control person left · inference
- James Erik Gunnerson (Managing Director, Co-Head, Signal Peak) no longer on Schedule A of Orix Advisers, Llc (listed 2022-03-31, absent 2022-06-28)Jun 28, 2022 · Control person left · inference
- Tung Christopher Suan (President & Senior Managing Director, Orix Capital Partners) no longer on Schedule A of Orix Advisers, Llc (listed 2022-03-31, absent 2022-06-28)Jun 28, 2022 · Control person left · inference
- Martin Craig Kahler (Managing Director, Orix Capital Partners) no longer on Schedule A of Orix Advisers, Llc (listed 2022-03-31, absent 2022-06-28)Jun 28, 2022 · Control person left · inference
- Edward Bradley Willson (Managing Director, Signal Peak) no longer on Schedule A of Orix Advisers, Llc (listed 2022-03-31, absent 2022-06-28)Jun 28, 2022 · Control person left · inference
- David Marcus Martin (Managing Director, Co-Head, Signal Peak) no longer on Schedule A of Orix Advisers, Llc (listed 2022-03-31, absent 2022-06-28)Jun 28, 2022 · Control person left · inference
- Mohan Ravi Singh (Managing Director And Head Of Special Opportunities) no longer on Schedule A of Orix Advisers, Llc (listed 2022-03-31, absent 2022-06-28)Jun 28, 2022 · Control person left · inference
- Allen Jeffrey Finley (Managing Director And Chief Operating Officer, Orix Capital Partners) no longer on Schedule A of Orix Advisers, Llc (listed 2022-03-31, absent 2022-06-28)Jun 28, 2022 · Control person left · inference
- Allen Jeffrey Finley (Managing Director And Chief Operating Officer, Orix Capital Partners) appeared on Schedule A of Orix Advisers, LlcMar 30, 2022 · Control person joined · fact
- Mohan Ravi Singh (Managing Director) appeared on Schedule A of Orix Advisers, LlcJan 2, 2022 · Control person joined · fact
- Tichatonga Brian Chibwe (Director Of Finance, Private Equity) no longer on Schedule A of Orix Advisers, Llc (listed 2021-01-03, absent 2021-06-22)Jun 22, 2021 · Control person left · inference
- Yue Zhu (Chief Accounting Officer) appeared on Schedule A of Orix Advisers, LlcJun 22, 2021 · Control person joined · fact
- Brian Jeffrey Abrams (Managing Director, Private Credit) appeared on Schedule A of Orix Advisers, LlcJun 22, 2021 · Control person joined · fact
- Ubaka Arthur Mbanefo (Chief Investment Officer) appeared on Schedule A of Orix Advisers, LlcJun 22, 2021 · Control person joined · fact
- Francis Charles Gilroy (Chief Operating Officer) appeared on Schedule A of Orix Advisers, LlcJan 3, 2021 · Control person joined · fact
- Edward Bradley Willson (Managing Director, Leveraged Credit) appeared on Schedule A of Orix Advisers, LlcJul 24, 2020 · Control person joined · fact
- David Marcus Martin (Managing Director, Co-Head, Leveraged Credit) appeared on Schedule A of Orix Advisers, LlcJul 24, 2020 · Control person joined · fact
- Christopher Brian Dillon (Chief Compliance Officer) appeared on Schedule A of Orix Advisers, LlcJul 24, 2020 · Control person joined · fact
- Mindy Fung-Lum Lo (Chief Compliance Officer) no longer on Schedule A of Orix Advisers, Llc (listed 2020-07-14, absent 2020-07-24)Jul 24, 2020 · Control person left · inference
- James Erik Gunnerson (Managing Director, Co-Head, Leveraged Credit) appeared on Schedule A of Orix Advisers, LlcJul 24, 2020 · Control person joined · fact
- Orix Advisers, Llc reported RAUM $5.3B, up 783% from $602.1M (2020-07-14 to 2020-07-24)Jul 24, 2020 · RAUM change · derived
- Orix Capital Partners, Llc filed its initial SEC registration (Form ADV)Feb 4, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Orix Advisers, LLC · Independent Sponsorsshared crd · capital_provider
- Orix Advisers, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- orixcapitalpartners.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-468-5888reportedpublic record, Form ADV, Aug 5, 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