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••••••• A•••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Oct 1, 2021 · 9 filings
SEC status approved since Nov 15, 2021
RAUM
$839M
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
15
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$839M as of Mar 25, 2026
Mar 28, 2022$2.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 28, 20220 then
Employees (5.A)15 as of Mar 25, 2026
Mar 28, 202266 then
Private funds9 as of Mar 25, 2026
Mar 28, 202211 then
RAUM -19% over the last fiscal year-30% 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
- $93.2MderivedRAUM 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
- -19%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
- $742M, 9 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$839M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $742M for 9 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
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O••••••• V•••••• P••••••• V••• L• | Venture Capital Fund | $544M | 54 | Mar 28, 2023 |
| O••••••• V•••••• P••••••• V• L• | Venture Capital Fund | $482M | 24 | Mar 28, 2018 |
| O••••••• V•••••• P••••••• V•• L• | Venture Capital Fund | $376M | 28 | Mar 27, 2020 |
| O••••••• V•••••• P••••••• I•• L••• | Venture Capital Fund | $157M | 20 | Mar 27, 2015 |
| O• C••••••••• •••• L•• | Venture Capital Fund | $36.7M | 19 | Oct 1, 2021 |
| O••••••• A••••••••• F••• V••• L• | Venture Capital Fund | $14.8M | 59 | Mar 28, 2023 |
| O••••••• A••••••••• F••• V•• L• | Venture Capital Fund | $11.1M | 62 | Mar 30, 2021 |
| O••••••• A••••••••• F••• V• L• | Venture Capital Fund | $8.0M | 27 | Mar 28, 2018 |
| O••••••• V•••••• P••••••• I•• L••• | Venture Capital Fund | $5.8M | 17 | Mar 30, 2012 |
| O••••••• A••••••••• F••• I•• L••• | Venture Capital Fund | $5.1M | 85 | Mar 27, 2015 |
| O••••••• V•••••• P•••••••• L••• | Venture Capital Fund | $3.7M | 14 | Mar 30, 2012 |
| O••••••• A••••••••• F••• I• L• | Venture Capital Fund | $292,111 | 23 | Mar 30, 2012 |
| O••••••• A••••••••• F••• L• | Venture Capital Fund | $282,760 | 32 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• B••••• C• · Executive Officercontrolsince 07/2017 · owns 25% to 50%
- D•••••• D•••••• W•••••• · Chairman Of The Management Committeecontrolsince 01/2015 · owns 10% to 25%
- K•••• R••••• C• · Chief Legal Officercontrolsince 09/2015 · owns less than 5%
- L••••• B•••••• S•• · Chief Financial Officer; Executive Finance And Audit Chaircontrolsince 01/2019 · owns less than 5%
- M••••••• S••••• M• · Managing Member/Chief Executive Officercontrolsince 10/2006 · owns 25% to 50%
- M••••••••• J•••• J••••• · Chief Compliance Officer And Chief Operating Partnercontrolsince 03/2024 · owns 10% to 25%
Related persons
Schedule D 7.A
- O••••••• G•••••• P•••••• I•• L•••pooled vehicle sponsory
- O••••••• G•••••• P•••••• I•• L•••pooled vehicle sponsory
- O••••••• G•••••• P•••••• V• L•pooled vehicle sponsory
- O••••••• G•••••• P•••••• V•• L•pooled vehicle sponsory
- O••••••• G•••••• P•••••• V••• L•pooled vehicle sponsory
- O••••••• G•••••• P••••••• L•••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- New York, NY
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 25, 2026employees (Item 5.A) moved from 33.0 to 15.0 (-55.0%) between the annual amendments of 2025-03-26 and 2026-03-25; the peer median change was 0.0% (394 comparable advisers, 1.0th percentile of changes)peers: asset managers, $500M to $1B (394) · 1.0% percentile
What changed
consecutive filings, newest first
- Accounts · 13 to 9May 22, 2025 to Mar 25, 2026
- Advisory employees · 10 to 5May 22, 2025 to Mar 25, 2026
- Pooled vehicle clients · 13 to 9May 22, 2025 to Mar 25, 2026
- Assets in custody · $922M to $742MMay 22, 2025 to Mar 25, 2026
- Employees · 33 to 15May 22, 2025 to Mar 25, 2026
- Private funds · 13 to 9May 22, 2025 to Mar 25, 2026
- Discretionary RAUM · $1.0B to $839MMay 22, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $1.0B to $839MMay 22, 2025 to Mar 25, 2026
- RAUM · $1.0B to $839MMay 22, 2025 to Mar 25, 2026
- Financial planning clients · unset to Mar 26, 2025 to May 22, 2025
- Assets in custody · $1.1B to $922MMar 28, 2024 to Mar 26, 2025
- Other offices · 1 to 0Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.6B to $1.0BMar 28, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $1.6B to $1.0BMar 28, 2024 to Mar 26, 2025
- RAUM · $1.6B to $1.0BMar 28, 2024 to Mar 26, 2025
- Advisory employees · 31 to 10May 16, 2023 to Mar 28, 2024
- Assets in custody · $1.8B to $1.1BMay 16, 2023 to Mar 28, 2024
- Employees · 78 to 33May 16, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.4B to $1.6BMay 16, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $2.4B to $1.6BMay 16, 2023 to Mar 28, 2024
- RAUM · $2.4B to $1.6BMay 16, 2023 to Mar 28, 2024
- Accounts · 11 to 13Sep 29, 2022 to Mar 28, 2023
- Advisory employees · 30 to 31Sep 29, 2022 to Mar 28, 2023
- Pooled vehicle clients · 11 to 13Sep 29, 2022 to Mar 28, 2023
- Assets in custody · $2.7B to $1.8BSep 29, 2022 to Mar 28, 2023
- Employees · 66 to 78Sep 29, 2022 to Mar 28, 2023
- Other offices · 0 to 1Sep 29, 2022 to Mar 28, 2023
- Private funds · 11 to 13Sep 29, 2022 to Mar 28, 2023
- Discretionary RAUM · $2.9B to $2.4BSep 29, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $2.9B to $2.4BSep 29, 2022 to Mar 28, 2023
- RAUM · $2.9B to $2.4BSep 29, 2022 to Mar 28, 2023
- Advisory employees · 27 to 30Oct 1, 2021 to Mar 28, 2022
- Assets in custody · $1.6B to $2.7BOct 1, 2021 to Mar 28, 2022
- Employees · 61 to 66Oct 1, 2021 to Mar 28, 2022
- Discretionary RAUM · $2.1B to $2.9BOct 1, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $2.1B to $2.9BOct 1, 2021 to Mar 28, 2022
- RAUM · $2.1B to $2.9BOct 1, 2021 to Mar 28, 2022
Signals
10 dated events
- O••••••• A•••••••• L•• reported RAUM $1.0B, down 37% from $1.6B (2024-03-28 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- M. L. John Craven (Executive Officer) no longer on Schedule A of O••••••• A•••••••• L•• (listed 2023-05-16, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Keith Dana O'Brien (Chief Compliance Officer And General Counsel) no longer on Schedule A of O••••••• A•••••••• L•• (listed 2023-05-16, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- O••••••• A•••••••• L•• reported RAUM $1.6B, down 33% from $2.4B (2023-05-16 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Sanjiv Enrique Kalevar (Executive Officer) no longer on Schedule A of O••••••• A•••••••• L•• (listed 2023-05-16, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- A Richard Pelletier (Executive Officer) no longer on Schedule A of O••••••• A•••••••• L•• (listed 2023-03-28, absent 2023-05-16)May 16, 2023 · Control person left · inference
- E Devon Mcdonald (Executive Officer) no longer on Schedule A of O••••••• A•••••••• L•• (listed 2022-09-29, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- Keith Dana O'Brien (Chief Compliance Officer And General Counsel) appeared on Schedule A of O••••••• A•••••••• L••Sep 29, 2022 · Control person joined · fact
- O••••••• A•••••••• L•• reported RAUM $2.9B, up 39% from $2.1B (2021-10-01 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- O••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Oct 1, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O••••••• A•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/O•••••••-reportedpublic record, Form ADV, Sep 19, 2026
- Website
- e•••••.o•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 617-478-7500reportedpublic 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