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•• T•• C•••• C••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Feb 11, 2021 · 16 filings
SEC status approved since Mar 15, 2021
RAUM
$321M
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
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$321M as of Mar 17, 2026
Mar 29, 2022$454M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Mar 29, 20221 then
Employees (5.A)5 as of Mar 17, 2026
Mar 29, 20228 then
Private funds2 as of Mar 17, 2026
Mar 29, 20221 then
RAUM -38% over the last fiscal year+42% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 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
- $160MderivedRAUM 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
- -38%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 pooled vehiclesreportedItem 5.G
- Custody
- $321M, 2 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$321M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $321M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•• T•• C••••• L• | Hedge Fund | $204M | 219 | Feb 11, 2021 |
Owners and control persons
Schedule A and B, latest filing
- D••••• B••••• M•••••• · Chief Executive Officercontrolsince 01/2024 · owns 10% to 25%
- E••••• B••••• L•• · Chief Investment Officer, Managing Membercontrolsince 06/2019 · owns 10% to 25%
- S•••••• T••• W•••• · Chief Financial Officercontrolsince 04/2021 · owns 5% to 10%
- F•••••• A••••••• K••••••• · Chief Compliance Officersince 04/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 17, 2026RAUM (Item 5.F) moved from $517,182,305 to $320,992,423 (-38.0%) between the annual amendments of 2025-03-11 and 2026-03-17; the peer median change was +4.0% (1147 comparable advisers, 7.0th percentile of changes)peers: asset managers, $100M to $500M (1,147) · 6.5% percentile
What changed
consecutive filings, newest first
- Accounts · 1 to 2Mar 11, 2025 to Mar 17, 2026
- Pooled vehicle clients · 1 to 2Mar 11, 2025 to Mar 17, 2026
- Assets in custody · $517M to $321MMar 11, 2025 to Mar 17, 2026
- Private funds · 1 to 2Mar 11, 2025 to Mar 17, 2026
- Discretionary RAUM · $517M to $321MMar 11, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $517M to $321MMar 11, 2025 to Mar 17, 2026
- RAUM · $517M to $321MMar 11, 2025 to Mar 17, 2026
- Advisory employees · 4 to 5Oct 21, 2024 to Mar 11, 2025
- Assets in custody · $204M to $517MOct 21, 2024 to Mar 11, 2025
- Employees · 4 to 5Oct 21, 2024 to Mar 11, 2025
- Financial planning clients · unset to Oct 21, 2024 to Mar 11, 2025
- HQ city · unset to Oct 21, 2024 to Mar 11, 2025
- HQ state · unset to Oct 21, 2024 to Mar 11, 2025
- Discretionary RAUM · $204M to $517MOct 21, 2024 to Mar 11, 2025
- Pooled vehicle RAUM · $204M to $517MOct 21, 2024 to Mar 11, 2025
- RAUM · $204M to $517MOct 21, 2024 to Mar 11, 2025
- Assets in custody · $113M to $204MFeb 27, 2024 to Mar 7, 2024
- Discretionary RAUM · $113M to $204MFeb 27, 2024 to Mar 7, 2024
- Pooled vehicle RAUM · $113M to $204MFeb 27, 2024 to Mar 7, 2024
- RAUM · $113M to $204MFeb 27, 2024 to Mar 7, 2024
- Accounts · 8 to 1Jan 17, 2023 to Mar 24, 2023
- Advisory employees · 6 to 4Jan 17, 2023 to Mar 24, 2023
- Assets in custody · $454M to $113MJan 17, 2023 to Mar 24, 2023
- Employees · 8 to 4Jan 17, 2023 to Mar 24, 2023
- State-registered IARs · 1 to 0Jan 17, 2023 to Mar 24, 2023
- Discretionary RAUM · $454M to $113MJan 17, 2023 to Mar 24, 2023
- Pooled vehicle RAUM · $454M to $113MJan 17, 2023 to Mar 24, 2023
- RAUM · $454M to $113MJan 17, 2023 to Mar 24, 2023
- Advisory employees · 4 to 6Aug 25, 2021 to Mar 29, 2022
- Assets in custody · $200M to $454MAug 25, 2021 to Mar 29, 2022
- Employees · 4 to 8Aug 25, 2021 to Mar 29, 2022
- Discretionary RAUM · $350M to $454MAug 25, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $350M to $454MAug 25, 2021 to Mar 29, 2022
- RAUM · $350M to $454MAug 25, 2021 to Mar 29, 2022
- Discretionary RAUM · $200M to $350MApr 29, 2021 to Aug 25, 2021
- Pooled vehicle RAUM · $200M to $350MApr 29, 2021 to Aug 25, 2021
- RAUM · $200M to $350MApr 29, 2021 to Aug 25, 2021
Signals
8 dated events
- O•• T•• C•••• C••••••• L•• reported RAUM $321.0M, down 38% from $517.2M (2025-03-11 to 2026-03-17)Mar 17, 2026 · RAUM change · derived
- O•• T•• C•••• C••••••• L•• reported RAUM $517.2M, up 153% from $204.3M (2024-10-21 to 2025-03-11)Mar 11, 2025 · RAUM change · derived
- O•• T•• C•••• C••••••• L•• reported RAUM $112.9M, down 75% from $454.1M (2023-01-17 to 2023-03-24)Mar 24, 2023 · RAUM change · derived
- H••••• W•••••• P•••••• (Chief Operating Officer) no longer on Schedule A of O•• T•• C•••• C••••••• L•• (listed 2022-05-25, absent 2023-01-17)Jan 17, 2023 · Control person left · inference
- O•• T•• C•••• C••••••• L•• reported RAUM $454.1M, up 30% from $350.0M (2021-08-25 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- O•• T•• C•••• C••••••• L•• reported RAUM $350.0M, up 75% from $199.9M (2021-04-29 to 2021-08-25)Aug 25, 2021 · RAUM change · derived
- W•••• Tom S••••• (Chief Financial Officer) appeared on Schedule A of O•• T•• C•••• C••••••• L••Apr 29, 2021 · Control person joined · fact
- O•• T•• C•••• C••••••• L•• filed its initial SEC registration (Form ADV)Feb 11, 2021 · 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/off-the-chain-capital21/aboutreportedpublic record, Form ADV, Sep 19, 2026
- Website
- o•••••••••.capitalreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 618-910-3560reportedpublic record, Form ADV, Mar 17, 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