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
Ophir Asset Management US LLC
Latest filing Mar 25, 2026
First filing on the tape Feb 12, 2021 · 13 filings
SEC status approved since Mar 25, 2021
RAUM
$1.3B
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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$1.3B as of Mar 25, 2026
Mar 29, 2022$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 29, 20220 then
Employees (5.A)5 as of Mar 25, 2026
Mar 29, 20224 then
Private funds: no history
RAUM +31% over the last fiscal year+19% 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
- $634MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.3B100%
- 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
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Sandra Donnarumma · Chief Compliance Officer And Chief Operating Officercontrolsince 07/2023 · owns less than 5%
- James Andrew Mitchell · Shareholdercontrolsince 03/2012 · owns 50% to 75% of Hawkeye Unit Trust
- Tze Wan Steven Ng · Shareholdercontrolsince 03/2012 · owns 50% to 75% of Hawkeye Unit Trust
Entity owners
- Hawkeye Unit Trust · Memberdirect · owns 75% or more
- Ophir Asset Management Pty Limited · Trusteedirect · owns less than 5%
Related persons
Schedule D 7.A
- Ophir Asset Management Pty Ltdinvestment adviserpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Sydney, Australia6 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 25, 2026bank affiliate (Item 7.A.6): no on the filing of 2025-03-21, yes on the filing of 2026-03-25peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Mar 21, 2025 to Mar 25, 2026
- Employees · 4 to 5Mar 21, 2025 to Mar 25, 2026
- Discretionary RAUM · $965M to $1.3BMar 21, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $965M to $1.3BMar 21, 2025 to Mar 25, 2026
- RAUM · $965M to $1.3BMar 21, 2025 to Mar 25, 2026
- Related bank · false to trueMar 21, 2025 to Mar 25, 2026
- Advisory employees · 5 to 4Mar 3, 2025 to Mar 21, 2025
- Employees · 5 to 4Mar 3, 2025 to Mar 21, 2025
- Financial planning clients · unset to Mar 3, 2025 to Mar 21, 2025
- Discretionary RAUM · $775M to $965MMar 3, 2025 to Mar 21, 2025
- Pooled vehicle RAUM · $775M to $965MMar 3, 2025 to Mar 21, 2025
- RAUM · $775M to $965MMar 3, 2025 to Mar 21, 2025
- Discretionary RAUM · $762M to $775MJul 24, 2023 to Mar 4, 2024
- Pooled vehicle RAUM · $762M to $775MJul 24, 2023 to Mar 4, 2024
- RAUM · $762M to $775MJul 24, 2023 to Mar 4, 2024
- Advisory employees · 4 to 5Sep 20, 2022 to Feb 15, 2023
- Employees · 4 to 5Sep 20, 2022 to Feb 15, 2023
- Discretionary RAUM · $860M to $762MSep 20, 2022 to Feb 15, 2023
- Pooled vehicle RAUM · $860M to $762MSep 20, 2022 to Feb 15, 2023
- RAUM · $860M to $762MSep 20, 2022 to Feb 15, 2023
- Other offices · 0 to 1Mar 29, 2022 to Sep 20, 2022
- Discretionary RAUM · $1.8B to $860MMar 29, 2022 to Sep 20, 2022
- Pooled vehicle RAUM · $1.8B to $860MMar 29, 2022 to Sep 20, 2022
- RAUM · $1.8B to $860MMar 29, 2022 to Sep 20, 2022
- Advisory employees · 3 to 4Oct 25, 2021 to Mar 29, 2022
- Employees · 3 to 4Oct 25, 2021 to Mar 29, 2022
- Discretionary RAUM · $1.2B to $1.8BOct 25, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $1.2B to $1.8BOct 25, 2021 to Mar 29, 2022
- RAUM · $1.2B to $1.8BOct 25, 2021 to Mar 29, 2022
- Accounts · unset to 2.0Mar 25, 2021 to Jul 22, 2021
- Advisory employees · 2 to 3Mar 25, 2021 to Jul 22, 2021
- Pooled vehicle clients · unset to 2.0Mar 25, 2021 to Jul 22, 2021
- Discretionary RAUM · unset to 1163482249.0Mar 25, 2021 to Jul 22, 2021
- Non-discretionary RAUM · unset to 0.0Mar 25, 2021 to Jul 22, 2021
- Pooled vehicle RAUM · unset to 1163482249.0Mar 25, 2021 to Jul 22, 2021
- RAUM · unset to 1163482249.0Mar 25, 2021 to Jul 22, 2021
Signals
8 dated events
- Ophir Asset Management Us Llc reported RAUM $1.3B, up 31% from $964.9M (2025-03-21 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- John George Chirakis (Chief Executive Officer) no longer on Schedule A of Ophir Asset Management Us Llc (listed 2024-03-04, absent 2024-10-31)Oct 31, 2024 · Control person left · inference
- Sandra Donnarumma (Chief Compliance Officer And Chief Operating Officer) appeared on Schedule A of Ophir Asset Management Us LlcJul 24, 2023 · Control person joined · fact
- Miu-Ling Melanie-Ann Harris (Chief Compliance Officer) no longer on Schedule A of Ophir Asset Management Us Llc (listed 2023-02-15, absent 2023-07-24)Jul 24, 2023 · Control person left · inference
- Ophir Asset Management Us Llc reported RAUM $859.7M, down 52% from $1.8B (2022-03-29 to 2022-09-20)Sep 20, 2022 · RAUM change · derived
- Ophir Asset Management Us Llc reported RAUM $1.8B, up 53% from $1.2B (2021-10-25 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Miu-Ling Melanie-Ann Harris (Chief Compliance Officer) appeared on Schedule A of Ophir Asset Management Us LlcOct 25, 2021 · Control person joined · fact
- Ophir Asset Management Us Llc filed its initial SEC registration (Form ADV)Feb 12, 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
- +1(720) 615-1165reportedpublic 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