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.
SEC-registered adviser
Occudo Quantitative Strategies LP
Latest filing Mar 31, 2026
First filing on the tape Jun 24, 2021 · 11 filings
SEC status approved since Jul 23, 2021
RAUM
$2.2B
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
1
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$2.2B as of Mar 31, 2026
Feb 24, 2022$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Feb 24, 20220 then
Employees (5.A)5 as of Mar 31, 2026
Feb 24, 20224 then
Private funds1 as of Mar 31, 2026
Feb 24, 20221 then
RAUM +211% over the last fiscal year+31% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $443MderivedRAUM 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
- +211%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
- 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 securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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 |
|---|---|---|---|---|
| Occudo Spv, LP | Other Private Fund | $2.7M | 4 | Feb 24, 2022 |
Owners and control persons
Schedule A and B, latest filing
- Xiaoxiao Ricky Shi · Limited Partner / Chief Compliance Officercontrolsince 04/2020 · owns 75% or more
- Xiaoxiao Ricky Shi · Membercontrolsince 04/2020 · owns 75% or more of Occudo LLC
Entity owners
- Occudo LLC · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- Occudo LLCpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $712,057,043 to $2,216,992,038 (+211.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 98.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 2 to 5Jun 30, 2025 to Mar 31, 2026
- Pooled vehicle clients · 2 to 5Jun 30, 2025 to Mar 31, 2026
- Assets in custody · unset to 1128474476.0Jun 30, 2025 to Mar 31, 2026
- Private funds · unset to 1Jun 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $712M to $2.2BJun 30, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $712M to $2.2BJun 30, 2025 to Mar 31, 2026
- RAUM · $712M to $2.2BJun 30, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jun 30, 2025
- Accounts · 3 to 2Aug 1, 2024 to Mar 31, 2025
- Pooled vehicle clients · 3 to 2Aug 1, 2024 to Mar 31, 2025
- Private funds · 1 to unsetAug 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $851M to $712MAug 1, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $851M to $712MAug 1, 2024 to Mar 31, 2025
- RAUM · $851M to $712MAug 1, 2024 to Mar 31, 2025
- Accounts · 2 to 3Jun 29, 2023 to Mar 27, 2024
- Pooled vehicle clients · 2 to 3Jun 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $989M to $851MJun 29, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $989M to $851MJun 29, 2023 to Mar 27, 2024
- RAUM · $989M to $851MJun 29, 2023 to Mar 27, 2024
- Advisory employees · 4 to 5Jul 12, 2022 to Mar 6, 2023
- Employees · 4 to 5Jul 12, 2022 to Mar 6, 2023
- Discretionary RAUM · $1.3B to $989MJul 12, 2022 to Mar 6, 2023
- Pooled vehicle RAUM · $1.3B to $989MJul 12, 2022 to Mar 6, 2023
- RAUM · $1.3B to $989MJul 12, 2022 to Mar 6, 2023
- HQ city · WHITE PLAINS to FORT LAUDERDALEFeb 24, 2022 to Jul 12, 2022
- HQ state · NY to FLFeb 24, 2022 to Jul 12, 2022
- Accounts · 1 to 2Jun 29, 2021 to Feb 24, 2022
- Pooled vehicle clients · 1 to 2Jun 29, 2021 to Feb 24, 2022
- Private funds · unset to 1Jun 29, 2021 to Feb 24, 2022
- Discretionary RAUM · $514M to $1.3BJun 29, 2021 to Feb 24, 2022
- Pooled vehicle RAUM · $514M to $1.3BJun 29, 2021 to Feb 24, 2022
- RAUM · $514M to $1.3BJun 29, 2021 to Feb 24, 2022
Signals
3 dated events
- Occudo Quantitative Strategies Lp reported RAUM $2.2B, up 211% from $712.1M (2025-06-30 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Occudo Quantitative Strategies Lp reported RAUM $1.3B, up 145% from $514.2M (2021-06-29 to 2022-02-24)Feb 24, 2022 · RAUM change · derived
- Occudo Quantitative Strategies Lp filed its initial SEC registration (Form ADV)Jun 24, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Occudo Quantitative Strategies LP · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- occudo.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 917-853-3286reportedpublic record, Form ADV, Mar 31, 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