DFX Intelligence

RIA Intelligence

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SEC-registered adviser

O• A••••••• L•

Asset manager (funds and pooled vehicles)Summit, New JerseyCRD 309024SEC 801-119039IAPD

Latest filing Mar 25, 2026

First filing on the tape Jun 11, 2020 · 11 filings

SEC status approved since Jul 13, 2020

RAUM

$189M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM$189M as of Mar 25, 2026

Mar 29, 2021$35.8M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 25, 2026

Mar 29, 20210 then

Employees (5.A)1 as of Mar 25, 2026

Mar 29, 20211 then

Private funds1 as of Mar 25, 2026

Mar 29, 20211 then

RAUM +3.1% over the last fiscal year+5.2% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 25, 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: $63.2MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +3.1%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 assetsreportedItem 5.E
Advisory activities: 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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

Pooled investment vehicles$189M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

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

Every departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
O•••• M••••• F••• L•	Hedge Fund	$180M	304	Jun 11, 2020

Owners and control persons

Schedule A and B, latest filing

S•••••• A•••• G• · Limited Partner, Portfolio Manager, Chief Compliance Officercontrol
since 10/2019 · owns 75% or more
S•••••• A•••• G• · Sole Managing Membercontrol
since 10/2019 · owns 75% or more of O• A••••••• G• L••

Entity owners

O• A••••••• G• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

O•••• F••• G• L•
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $184M to $189M
Oct 10, 2025 to Mar 25, 2026
Pooled vehicle RAUM · $184M to $189M
Oct 10, 2025 to Mar 25, 2026
RAUM · $184M to $189M
Oct 10, 2025 to Mar 25, 2026
Financial planning clients · unset to
Mar 26, 2024 to Mar 26, 2025
Discretionary RAUM · $180M to $184M
Mar 26, 2024 to Mar 26, 2025
Pooled vehicle RAUM · $180M to $184M
Mar 26, 2024 to Mar 26, 2025
RAUM · $180M to $184M
Mar 26, 2024 to Mar 26, 2025
Discretionary RAUM · $163M to $180M
Mar 30, 2023 to Mar 26, 2024
Pooled vehicle RAUM · $163M to $180M
Mar 30, 2023 to Mar 26, 2024
RAUM · $163M to $180M
Mar 30, 2023 to Mar 26, 2024
Discretionary RAUM · $102M to $163M
Nov 17, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $102M to $163M
Nov 17, 2022 to Mar 30, 2023
RAUM · $102M to $163M
Nov 17, 2022 to Mar 30, 2023
Discretionary RAUM · $35.8M to $102M
Aug 10, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $35.8M to $102M
Aug 10, 2021 to Mar 31, 2022
RAUM · $35.8M to $102M
Aug 10, 2021 to Mar 31, 2022
Pooled vehicle clients · 2 to 3
Jun 30, 2020 to Mar 29, 2021
Discretionary RAUM · $5.4M to $35.8M
Jun 30, 2020 to Mar 29, 2021
Pooled vehicle RAUM · $5.4M to $35.8M
Jun 30, 2020 to Mar 29, 2021
RAUM · $5.4M to $35.8M
Jun 30, 2020 to Mar 29, 2021

Signals

1 dated events

O• A••••••• L• filed its initial SEC registration (Form ADV)
Jun 11, 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

Principal office phone: 908-373-2520reportedpublic record, Form ADV, Mar 25, 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