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•••• C•••••• A••••••• L••
Latest filing Sep 15, 2026
First filing on the tape Jun 2, 2020 · 16 filings
SEC status approved since Jul 6, 2020
RAUM
$967M
reported, Item 5.F
Discretionary
4.1%
of RAUM
Private clients
4.0%
$38.5M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$138M
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$967M as of Mar 31, 2026
Mar 31, 2021$40.5M then
HNW client RAUM$34.6M as of Mar 31, 2026
Mar 31, 2021$38.5M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Mar 31, 20211 then
Employees (5.A)14 as of Mar 31, 2026
Mar 31, 20211 then
Private funds1 as of Mar 31, 2026
Mar 22, 20241 then
RAUM +23% over the last fiscal year+28% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Sep 15, 2026; every figure names its basis
- RAUM per advisor
- $138MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 4derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $27.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 4.1%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.5%derived
- 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, portfolio management for pooled vehicles, 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$916M95%
- High-net-worth individuals$34.6M3.6%
- Pooled investment vehicles$13.0M1.3%
- Individuals$3.9M0.4%
- Individual clients
- 8reported
- HNW clients
- 21reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 35reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.04 fund_share=0.01 institutional_share=0.0 related_bd=true related_bank=true bd_reps=7.0 bank_owner=falsederived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• G••••• S••••• | New York, Ny | Feb 16, 2021 | 17 y | 1 |
| M••••• H•••••• V•• A••••••Chartered Financial Analyst | New York, Ny | Dec 14, 2022 | 17 y | 0 |
| S•••• J• S•••••• | New York, Ny | Jun 2, 2023 | 10 y | 0 |
| S••••• C••••• D•••••••• | New York, Ny | Jun 27, 2023 | 30 y | 0 |
| S••• J••••• D•••••• | Los Angeles, Ca | Oct 30, 2023 | 15 y | 0 |
| C•••• A•••••••• M•••••• | S••••Sdale, Az | May 14, 2024 | 13 y | 0 |
| A••• K•••••• | New York, Ny | Jan 2, 2026 | 18 y | 0 |
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
- P•••• G••••• S••••• from C•••••• C•••••• M••••••••• G••••• I•••Feb 16, 2021 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•••• C••••• S••••••••• F•••• L• | Hedge Fund | $10.1M | 14 | Mar 22, 2024 |
Owners and control persons
Schedule A and B, latest filing
- S•••••• P••••• G••••• · Managing Member And Ccocontrolsince 01/2019 · owns 50% to 75%
- S••••••••• E••• · Membercontrolsince 08/2019 · owns 25% to 50%
- V•• A••••••• M•••••• H•••••• · Membersince 08/2019 · owns 10% to 25%
Related persons
Schedule D 7.A
- O•••• C•••••• G•••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 14 to 10Mar 31, 2026 to Sep 1, 2026
- BD registered reps · 10 to 7Mar 31, 2026 to Sep 1, 2026
- Financial planning clients · 0 to 0Mar 31, 2026 to Sep 1, 2026
- Private funds · 1 to unsetMar 31, 2026 to Sep 1, 2026
- Succession · false to unsetMar 31, 2026 to Sep 1, 2026
- Accounts · 41 to 35Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 3 to 8Mar 31, 2025 to Mar 31, 2026
- BD registered reps · 4 to 10Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 8 to 4Mar 31, 2025 to Mar 31, 2026
- HNW clients · 23 to 21Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 2 to 1Mar 31, 2025 to Mar 31, 2026
- Employees · 6 to 14Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $41.6M to $39.6MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $49.6M to $34.6MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $3.2M to $3.9MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $744M to $928MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $12.6M to $13.0MMar 31, 2025 to Mar 31, 2026
- RAUM · $786M to $967MMar 31, 2025 to Mar 31, 2026
- Accounts · 27 to 41Mar 22, 2024 to Mar 31, 2025
- Corporate clients · 7 to 8Mar 22, 2024 to Mar 31, 2025
- HNW clients · 14 to 23Mar 22, 2024 to Mar 31, 2025
- Individual clients · unset to 8.0Mar 22, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 22, 2024 to Mar 31, 2025
- Discretionary RAUM · $37.0M to $41.6MMar 22, 2024 to Mar 31, 2025
- HNW RAUM · $24.0M to $49.6MMar 22, 2024 to Mar 31, 2025
- Individual RAUM · $945,054 to $3.2MMar 22, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $576M to $744MMar 22, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $10.1M to $12.6MMar 22, 2024 to Mar 31, 2025
- RAUM · $614M to $786MMar 22, 2024 to Mar 31, 2025
- Accounts · 8 to 27Mar 30, 2023 to Mar 22, 2024
- Advisory activities · 4 to 5Mar 30, 2023 to Mar 22, 2024
- BD registered reps · 3 to 4Mar 30, 2023 to Mar 22, 2024
- Corporate clients · 1 to 7Mar 30, 2023 to Mar 22, 2024
- HNW clients · 7 to 14Mar 30, 2023 to Mar 22, 2024
- Pooled vehicle clients · unset to 2.0Mar 30, 2023 to Mar 22, 2024
- Employees · 3 to 6Mar 30, 2023 to Mar 22, 2024
- State-registered IARs · 3 to 4Mar 30, 2023 to Mar 22, 2024
- Private funds · unset to 1Mar 30, 2023 to Mar 22, 2024
- Discretionary RAUM · $6.0M to $37.0MMar 30, 2023 to Mar 22, 2024
- HNW RAUM · $345M to $24.0MMar 30, 2023 to Mar 22, 2024
Signals
5 dated events
- O•••• C•••••• A••••••• L•• reported RAUM $786.0M, up 28% from $613.5M (2024-03-22 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- O•••• C•••••• A••••••• L•• reported RAUM $613.5M, up 34% from $459.2M (2023-03-30 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- O•••• C•••••• A••••••• L•• reported RAUM $391.3M, up 49% from $262.4M (2022-03-31 to 2022-08-08)Aug 8, 2022 · RAUM change · derived
- Conant Stefan D'Annibale (Member) no longer on Schedule A of O•••• C•••••• A••••••• L•• (listed 2021-01-12, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- S•• F••••• O•••••• L•• filed its initial SEC registration (Form ADV)Jun 2, 2020 · 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
- odeonadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-214-7647reportedpublic record, Form ADV, Sep 15, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $138Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026