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••••• G••••• A•••••••• I•••
Latest filing May 4, 2026
First filing on the tape Nov 13, 2020 · 16 filings
SEC status approved since Dec 17, 2020
RAUM
$402M
reported, Item 5.F
Discretionary
100%
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
40
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$402M as of May 4, 2026
Mar 26, 2021$364M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 4, 2026
Mar 26, 20210 then
Employees (5.A)40 as of May 4, 2026
Mar 26, 202141 then
Private funds2 as of May 4, 2026
Mar 26, 20216 then
RAUM +9.3% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 4, 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
- $4.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.3%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
- +9.3%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
- Custody
- $402M, 11 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)
- 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
- Corporations and businesses$323M80%
- Pooled investment vehicles$41.6M10%
- Charitable organizations$37.2M9.3%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 87reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $402M for 11 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.1 institutional_share=0.09 related_bd=true related_bank=false bd_reps=2.0derived
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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O••••• C•••••••• F••• L••no longer reported | Hedge Fund | $29.7M | 1 | Nov 13, 2020 |
| O••••• R•••• A••••••••• M••••• L•• | Hedge Fund | $20.7M | 1 | Nov 13, 2020 |
| O••••• R•••• Q•••••••• M••••• L••no longer reported | Hedge Fund | $13.4M | 1 | Nov 13, 2020 |
| O••••• C••••• A••••••••• M••••• L•• | Hedge Fund | $3.9M | 1 | Nov 13, 2020 |
| O••••• T••••••••• M••••• L••no longer reported | Hedge Fund | $1.9M | 1 | Nov 13, 2020 |
| O••••• C••••• Q•••••••• M••••• L•• | Hedge Fund | $327,000 | 1 | Nov 13, 2020 |
Owners and control persons
Schedule A and B, latest filing
- B••••• S•••••• L••••••• · Chief Executive Officer & Chief Investment Officercontrolsince 11/2019 · owns less than 5%
- E•••••••• P••••••• M••••• · Director Of D••• Sciencecontrolsince 11/2019 · owns less than 5%
- G•••••• C••••••••• F•••••• · Chief Operating Officercontrolsince 11/2019 · owns less than 5%
- L••• P•••••• •••• · Chief Financial Officercontrolsince 09/2022 · owns less than 5%
- M••••••• A••••••••• V••••• · General Counsel & Chief Compliance Officercontrolsince 11/2019 · owns less than 5%
- C•••• M••••••• B••••••• · Head Of Business Development & Investor Relationssince 01/2022 · owns less than 5%
Entity owners
- O••••• C•••••• M••••••••• I••• · Parent Companydirect · owns 75% or more
- D••• A••••••• I••• · Holding Companyindirect · owns 75% or more of O••••• C•••••• M••••••••• I•••
- I••••••••• L•• · Trusteeindirect · owns F of W•••••• S•••• O••••• G•• E••••• T•••• S•••• U•••• T•• F•• C• O••••• I••••••••• T•••• O• 2••• • D•••• A• O• J••• 8• 2•••
- I••••••••• L•• · Trusteeindirect · owns F of W•••••• S•••• O••••• G•• E••••• T•••• S•••• U•••• T•• W•••••• J• O••••• I••••••••• T•••• O• 2•••• D•••• A• O• J••• 8• 2•••
- W•••••• S•••• O••••• G•• E••••• T•••• S•••• U•••• T•• F•• C• O••••• I••••••••• T•••• O• 2••• • D•••• A• O• J••• 8• 2••• · S••••Holderindirect · owns 50% to 75% of D••• A••••••• I•••
- W•••••• S•••• O••••• G•• E••••• T•••• S•••• U•••• T•• W•••••• J• O••••• I••••••••• T•••• O• 2•••• D•••• A• O• J••• 8• 2••• · S••••Holderindirect · owns 50% to 75% of D••• A••••••• I•••
Related persons
Schedule D 7.A
- O••••• S••••••••• I•••••••••broker-dealern
- W•••••• O••••• • C••••••investment advisern
- W•••••• O••••• I•••• P••• L•••investment advisern
- W•••••• O••••• I••••••••• M••••••••• ••••••••• L•••investment advisern
Advisers that list O••••• G••••• A•••••••• I••• as a related person
- 152620 n
Offices
Schedule D 1.F, the 25 largest
- New York, NY
What changed
consecutive filings, newest first
- Accounts · 88 to 87Apr 30, 2025 to Mar 20, 2026
- Corporate clients · 9 to 8Apr 30, 2025 to Mar 20, 2026
- Assets in custody · $368M to $402MApr 30, 2025 to Mar 20, 2026
- Employees · 34 to 40Apr 30, 2025 to Mar 20, 2026
- Discretionary RAUM · $368M to $402MApr 30, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $31.8M to $41.6MApr 30, 2025 to Mar 20, 2026
- RAUM · $368M to $402MApr 30, 2025 to Mar 20, 2026
- Accounts · 50 to 882•••-08-12 to Apr 30, 2025
- Advisory employees · 14 to 82•••-08-12 to Apr 30, 2025
- Corporate clients · 6 to 92•••-08-12 to Apr 30, 2025
- Pooled vehicle clients · 3 to 22•••-08-12 to Apr 30, 2025
- Assets in custody · $381M to $368M2•••-08-12 to Apr 30, 2025
- Employees · 43 to 342•••-08-12 to Apr 30, 2025
- Financial planning clients · unset to 2•••-08-12 to Apr 30, 2025
- Private funds · 3 to 22•••-08-12 to Apr 30, 2025
- Discretionary RAUM · $381M to $368M2•••-08-12 to Apr 30, 2025
- Pooled vehicle RAUM · $25.0M to $31.8M2•••-08-12 to Apr 30, 2025
- RAUM · $381M to $368M2•••-08-12 to Apr 30, 2025
- Accounts · 56 to 50Jun 7, 2023 to 2•••-03-25
- Advisory employees · 15 to 14Jun 7, 2023 to 2•••-03-25
- Assets in custody · $294M to $381MJun 7, 2023 to 2•••-03-25
- Employees · 42 to 43Jun 7, 2023 to 2•••-03-25
- Discretionary RAUM · $294M to $381MJun 7, 2023 to 2•••-03-25
- Pooled vehicle RAUM · $29.0M to $25.0MJun 7, 2023 to 2•••-03-25
- RAUM · $294M to $381MJun 7, 2023 to 2•••-03-25
- Accounts · 69 to 56Oct 13, 2022 to Mar 23, 2023
- Advisory employees · 24 to 15Oct 13, 2022 to Mar 23, 2023
- BD registered reps · 0 to 2Oct 13, 2022 to Mar 23, 2023
- Corporate clients · 4 to 6Oct 13, 2022 to Mar 23, 2023
- Pooled vehicle clients · 6 to 3Oct 13, 2022 to Mar 23, 2023
- Assets in custody · $417M to $294MOct 13, 2022 to Mar 23, 2023
- Employees · 45 to 42Oct 13, 2022 to Mar 23, 2023
- Private funds · 6 to 3Oct 13, 2022 to Mar 23, 2023
- Discretionary RAUM · $417M to $294MOct 13, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $61.7M to $29.0MOct 13, 2022 to Mar 23, 2023
- RAUM · $417M to $294MOct 13, 2022 to Mar 23, 2023
- Accounts · 65 to 69Mar 26, 2021 to Mar 24, 2022
- Advisory employees · 22 to 24Mar 26, 2021 to Mar 24, 2022
- Assets in custody · $364M to $417MMar 26, 2021 to Mar 24, 2022
- Employees · 41 to 45Mar 26, 2021 to Mar 24, 2022
Signals
8 dated events
- Scott William O'Neil (Trustee) no longer on Schedule A of O••••• G••••• A•••••••• I••• (listed 2•••-04-30, absent 2•••-08-07)2•••-08-07 · Control person left · inference
- Joseph William Oneil (Shareholder) no longer on Schedule A of O••••• G••••• A•••••••• I••• (listed 2023-04-27, absent 2023-05-19)May 19, 2023 · Control person left · inference
- O••••• G••••• A•••••••• I••• reported RAUM $294.0M, down 30% from $417.4M (2022-10-13 to 2023-03-23)Mar 23, 2023 · RAUM change · derived
- Bogumila Joanna Lee (Chief Financial Officer) no longer on Schedule A of O••••• G••••• A•••••••• I••• (listed 2022-10-13, absent 2023-03-23)Mar 23, 2023 · Control person left · inference
- Pan-Yun (Ben) Lee (Chief Financial Officer) appeared on Schedule A of O••••• G••••• A•••••••• I•••Mar 23, 2023 · Control person joined · fact
- Randall Bruce Watts (Chief Investment Officer) no longer on Schedule A of O••••• G••••• A•••••••• I••• (listed 2021-03-26, absent 2022-03-24)Mar 24, 2022 · Control person left · inference
- O••••• G••••• A•••••••• I••• reported RAUM $364.5M, up 363% from $78.7M (2020-12-17 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- O••••• G••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Nov 13, 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
- Firm profile
- linkedin.com/company/o-neil-global-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- oneilglobaladvisors.com/about-usreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-448-6800reportedpublic record, Form ADV, May 4, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026