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•••• P•••••• W•••••
Legal name O•••• P•••••• W••••• L••
Latest filing Mar 16, 2026
First filing on the tape Jul 10, 2020 · 12 filings
SEC status approved since Aug 10, 2020
RAUM
$578M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
93%
$536M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$145M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$578M as of Mar 16, 2026
Mar 15, 2021$417M then
HNW client RAUM$503M as of Mar 16, 2026
Mar 15, 2021$372M then
State-registered IARs (5.B.3)4 as of Mar 16, 2026
Mar 15, 20213 then
Employees (5.A)4 as of Mar 16, 2026
Mar 15, 20214 then
Private funds: no history
RAUM +7.1% over the last fiscal year+14% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- uhnw p•••••• wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $145MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.9MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Custody
- $393M, 60 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$503M92%
- Individuals$33.1M6.0%
- Pension and profit-sharing plans$7.6M1.4%
- Charitable organizations$4.5M0.8%
- Corporations and businesses$7270.0%
- Individual clients
- 65reported
- HNW clients
- 46reported
- Pension plan clients
- 7reported
- Charitable clients
- 3reported
- Accounts
- 291reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $393M for 60 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••• A•••••• Y••••••• | Rye Brook, Ny | Aug 14, 2020 | 12 y | 1 |
| J•••••• M••••••• D•••••Certified Financial Planner | New York, Ny | Aug 14, 2020 | 14 y | 0 |
| J••••••• M••• N••••• | Rye Brook, Ny | Aug 14, 2020 | 46 y | 1 |
| M••••• L• R••••••••• | Rye Brook, Ny | May 30, 2021 | 29 y | 2 |
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
- M••••• L• R••••••••• from O••••••••• • C•• I•••May 30, 2021 · Affiliated broker-dealer or bank to independent RIA
- J••••••• M••• N••••• from O••••••••• • C•• I•••Aug 14, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- M••••••• A•••••• Y••••••• from O••••••••• • C•• I•••Aug 14, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from O••••••••• • C•• I•••Aug 24, 2020 · New York, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• J••••••• M••••••• · Principalcontrolsince 06/2020 · owns 50% to 75%
- Y•••••••• M•••••••• A•••••• · Principal, Chief Compliance Officercontrolsince 06/2020 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny | 4 | 0 | 0 | ||
| Rye Brook, Ny · principal | 4 | 0 | 0 | ||
| Miami Beach, Fl | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 16, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-27, yes on the filing of 2026-03-16peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 289 to 291Mar 27, 2025 to Mar 16, 2026
- HNW clients · 47 to 46Mar 27, 2025 to Mar 16, 2026
- Individual clients · 62 to 65Mar 27, 2025 to Mar 16, 2026
- Pension plan clients · 8 to 7Mar 27, 2025 to Mar 16, 2026
- Assets in custody · unset to 392576050.0Mar 27, 2025 to Mar 16, 2026
- Custody of client assets · false to trueMar 27, 2025 to Mar 16, 2026
- Financial planning clients · 1-10 to 0Mar 27, 2025 to Mar 16, 2026
- Discretionary RAUM · $536M to $575MMar 27, 2025 to Mar 16, 2026
- HNW RAUM · $470M to $503MMar 27, 2025 to Mar 16, 2026
- Individual RAUM · $27.7M to $33.1MMar 27, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $3.4M to $3.3MMar 27, 2025 to Mar 16, 2026
- Pension RAUM · $10.4M to $7.6MMar 27, 2025 to Mar 16, 2026
- RAUM · $540M to $578MMar 27, 2025 to Mar 16, 2026
- Accounts · 258 to 289Mar 13, 2024 to Mar 27, 2025
- Charity clients · 4 to 3Mar 13, 2024 to Mar 27, 2025
- HNW clients · 45 to 47Mar 13, 2024 to Mar 27, 2025
- Individual clients · 55 to 62Mar 13, 2024 to Mar 27, 2025
- Pension plan clients · 7 to 8Mar 13, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Mar 13, 2024 to Mar 27, 2025
- Other offices · 2 to 4Mar 13, 2024 to Mar 27, 2025
- Discretionary RAUM · $438M to $536MMar 13, 2024 to Mar 27, 2025
- HNW RAUM · $391M to $470MMar 13, 2024 to Mar 27, 2025
- Individual RAUM · $18.5M to $27.7MMar 13, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $2.8M to $3.4MMar 13, 2024 to Mar 27, 2025
- Pension RAUM · $7.8M to $10.4MMar 13, 2024 to Mar 27, 2025
- RAUM · $441M to $540MMar 13, 2024 to Mar 27, 2025
- Accounts · 253 to 258Mar 27, 2023 to Mar 13, 2024
- Corporate clients · unset to 1.0Mar 27, 2023 to Mar 13, 2024
- HNW clients · 50 to 45Mar 27, 2023 to Mar 13, 2024
- Individual clients · 60 to 55Mar 27, 2023 to Mar 13, 2024
- Other offices · 3 to 2Mar 27, 2023 to Mar 13, 2024
- Discretionary RAUM · $385M to $438MMar 27, 2023 to Mar 13, 2024
- HNW RAUM · $349M to $391MMar 27, 2023 to Mar 13, 2024
- Individual RAUM · $12.7M to $18.5MMar 27, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $2.8M to $2.8MMar 27, 2023 to Mar 13, 2024
- Pension RAUM · $6.3M to $7.8MMar 27, 2023 to Mar 13, 2024
- RAUM · $388M to $441MMar 27, 2023 to Mar 13, 2024
- Accounts · 262 to 253Oct 26, 2022 to Mar 27, 2023
- Charity clients · unset to 4.0Oct 26, 2022 to Mar 27, 2023
- Individual clients · 54 to 60Oct 26, 2022 to Mar 27, 2023
Signals
1 dated events
- O•••• P•••••• W••••• L•• filed its initial SEC registration (Form ADV)Jul 10, 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
- Business email
- i•••@o••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-785-2865reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-785-2860reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/oxlerpwreportedpublic record, Form ADV, Sep 18, 2026
- Website
- O••••PW.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-785-2860reportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- o••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- o••••••.comreportedpublished by the firm, firm site, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $145Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026