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•••••• D••••• S••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jan 5, 2021 · 14 filings
SEC status approved since Feb 5, 2021
RAUM
$360M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$120M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$360M as of Mar 27, 2026
Mar 29, 2023$139M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 29, 20235 then
Employees (5.A)10 as of Mar 27, 2026
Mar 29, 202310 then
Private funds: no history
RAUM +53% over the last fiscal year+37% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $120MderivedRAUM 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
- $564,059derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +53%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- otherreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$360M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 639reported
- 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=true related_bank=true bd_reps=4.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• T•••••• N•••••• · Membercontrolsince 12/2001 · owns less than 5%
- T••••• C••••••••• W••••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- B•••••••• T•••••• N•••••• · Partnercontrolsince 12/2001 · owns 50% to 75% of C••••••••• A••••••• G••••• L••
- H••••• D•••••• S•••••• · Partnercontrolsince 12/2001 · owns 50% to 75% of C••••••••• A••••••• G••••• L••
- J••••••• E•••• D••••• · Partnercontrolsince 10/1997 · owns 75% or more of P•••••• F••• A•••••••• I•••
Entity owners
- A••• A••••••• L•• · Memberdirect · owns 50% to 75%
- C••••••••• A••••••• · Memberdirect · owns 50% to 75%
- C••••••••• A••••••• G••••• L•• · Ownerindirect · owns 50% to 75% of C••••••••• A•••••••
- I••••••• I••• · Sole Shareholder Of I••••••••• C•••••• N••••••• I•••indirect · owns 75% or more of I••••••••• C•••••• N••••••• I•••
- P•••••• F••• A•••••••• I••• · Ownerindirect · owns 25% to 50% of C••••••••• A•••••••
- I••••••••• C•••••• N••••••• I••• · Sole Member Of A••• A••••••• L••indirect · owns 75% or more of A••• A••••••• L••
Related persons
Schedule D 7.A
- A•••• C••••••• L••investment advisern
- UBS Fund A••••••, L.L.C.investment adviserbanknRAUM $7.0B
- A•••••••• S••••••••• L•••••pooled vehicle sponsorn
- C••••••••• A•••••••investment advisernRAUM $2.2B
- G•••••••• A••••• S•••••••• O••• G• L••pooled vehicle sponsorn
- I••••••• A•••••••• L••investment adviserbankpooled vehicle sponsornRAUM $150B
- I••••••• A• G•• L••bankpooled vehicle sponsorn
- I••••••• A• M•••••• L••bankpooled vehicle sponsorn
- I••••••• A••••••••• I••••••••• L••pooled vehicle sponsorn
- I••••••• A•••••••• A•• I•••••••• S••••••• L••real estaten
- I••••••• D••••• G• L••pooled vehicle sponsorn
- I••••••• H• G•• L••pooled vehicle sponsorn
- I••••••• H••• K••• L••investment advisern
- I••••••• I• G• L••pooled vehicle sponsorn
- I••••••• L••••••••• S••••••••• G•• S•••pooled vehicle sponsorn
- I••••••• M•••••• L••broker-dealern
- I••••••• M•• F••• G•• L••bankpooled vehicle sponsorn
- I••••••• N•••••• C••••• G• L•••pooled vehicle sponsorn
- I••••••• N•••••• C••••• L•••broker-dealern
- I••••••• N•••••• T••••••••• S••••••••• L••pooled vehicle sponsorn
- I••••••• P• G•• L••pooled vehicle sponsorn
- I••••••• P•••••• E••••• O••••••• L•••pooled vehicle sponsorn
- I••••••• R••••••••• F••• A•••••• L••investment adviserbanknRAUM $1.2B
- I••••••• S• P•• L•••investment advisern
- I••••••• S••••••••• I• L••pooled vehicle sponsorn
- I••••••• S••••••••• L••pooled vehicle sponsorn
- I••••••• S••••••••• M•••••• L••pooled vehicle sponsorn
- I••••••••• I• G•• L••bankpooled vehicle sponsorn
- I•• O•• M••••••••• L••pooled vehicle sponsorn
- I••••••• M••••••••• L••pooled vehicle sponsorn
Advisers that list O•••••• D••••• S••••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hunt Valley, Md · principal | 3 | 0 | 0 | ||
| Arnold, Md | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY
- Severna Park, MD
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $235,213,405 to $360,433,390 (+53.0%) between the annual amendments of 2025-03-26 and 2026-03-27; the peer median change was +4.0% (1148 comparable advisers, 91.0th percentile of changes)peers: ASSET_M••••••, $100M to $500M (1,148) · 91% percentile
- account count surgeChange between filings · filing Mar 27, 2026accounts (Item 5.F.2.f) moved from 334.0 to 639.0 (+91.0%) between the annual amendments of 2025-03-26 and 2026-03-27; the peer median change was +4.0% (21 comparable advisers, 100.0th percentile of changes)peers: ASSET_M••••••, $100M to $500M (21) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 334 to 639Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $235M to $360MMar 26, 2025 to Mar 27, 2026
- RAUM · $235M to $360MMar 26, 2025 to Mar 27, 2026
- Accounts · 217 to 334Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $196M to $235MMar 28, 2024 to Mar 26, 2025
- RAUM · $196M to $235MMar 28, 2024 to Mar 26, 2025
- Accounts · 149 to 217Feb 1, 2024 to Mar 28, 2024
- Advisory employees · 4 to 6Feb 1, 2024 to Mar 28, 2024
- Insurance-licensed employees · 5 to 2Feb 1, 2024 to Mar 28, 2024
- State-registered IARs · 5 to 2Feb 1, 2024 to Mar 28, 2024
- Discretionary RAUM · $139M to $196MFeb 1, 2024 to Mar 28, 2024
- RAUM · $139M to $196MFeb 1, 2024 to Mar 28, 2024
- Accounts · 0 to 149Jan 31, 2023 to Mar 29, 2023
- Advisory employees · 6 to 4Jan 31, 2023 to Mar 29, 2023
- BD registered reps · 5 to 4Jan 31, 2023 to Mar 29, 2023
- Employees · 13 to 10Jan 31, 2023 to Mar 29, 2023
- Insurance-licensed employees · 4 to 5Jan 31, 2023 to Mar 29, 2023
- State-registered IARs · 6 to 5Jan 31, 2023 to Mar 29, 2023
- Discretionary RAUM · $0 to $139MJan 31, 2023 to Mar 29, 2023
- RAUM · $0 to $139MJan 31, 2023 to Mar 29, 2023
- Related bank · false to trueJan 31, 2023 to Mar 29, 2023
- HQ city · NEW YORK to HUNT VALLEYJan 5, 2021 to Jan 11, 2021
- HQ state · NY to MDJan 5, 2021 to Jan 11, 2021
Signals
7 dated events
- O•••••• D••••• S••••••••• L•• reported RAUM $360.4M, up 53% from $235.2M (2025-03-26 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- S••• Ian S••••••••• (Chief Compliance Officer) no longer on Schedule A of O•••••• D••••• S••••••••• L•• (listed 2023-01-26, absent 2023-01-31)Jan 31, 2023 · Control person left · inference
- Wesley Christopher Thome (Chief Compliance Officer) appeared on Schedule A of O•••••• D••••• S••••••••• L••Jan 31, 2023 · Control person joined · fact
- Stephen Donald Huber (Partner) appeared on Schedule A of O•••••• D••••• S••••••••• L••Jan 11, 2021 · Control person joined · fact
- Nichols Thomas Biddison (Partner) appeared on Schedule A of O•••••• D••••• S••••••••• L••Jan 11, 2021 · Control person joined · fact
- Dorsey Erik Johnson (Partner) appeared on Schedule A of O•••••• D••••• S••••••••• L••Jan 11, 2021 · Control person joined · fact
- O•••••• D••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Jan 5, 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
- Principal office phone
- 410-468-1695reportedpublic record, Form ADV, Mar 27, 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
- $120Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026