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••• C•••••• L••
Latest filing Jul 17, 2026
First filing on the tape Jul 15, 2022 · 26 filings
SEC status approved since Aug 23, 2022
RAUM
$348M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.6%
$2.1M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$58.1M
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$348M as of Jul 17, 2026
Mar 28, 2023$85.0M then
HNW client RAUM$2.1M as of Jul 17, 2026
Mar 27, 2026$2.1M then
State-registered IARs (5.B.3)3 as of Jul 17, 2026
Mar 28, 20232 then
Employees (5.A)11 as of Jul 17, 2026
Mar 28, 20232 then
Private funds: no history
RAUM +158% over the last fiscal year+60% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 17, 2026; every figure names its basis
- RAUM per advisor
- $58.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $58.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +158%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
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$346M99%
- High-net-worth individuals$2.1M0.6%
- Individual clients
- n/areported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.01 fund_share=0.99 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• G•••• | Waukee, Ia | Mar 17, 2023 | 13 y | 2 |
| M•••• J••••••••• S•••Chartered Financial Analyst | Boca Raton, Fl | Nov 11, 2024 | 12 y | 0 |
| A••••• M•••• G••••Chartered Financial Analyst | Boca Raton, Fl | Jan 1, 2025 | 20 y | 4 |
| L••••• M• H•••••Chartered Financial Analyst | Boca Raton, Fl | Mar 31, 2026 | 10 y | 0 |
| Y••• L••Chartered Financial Analyst | Boca Raton, Fl | May 8, 2026 | 13 y | 0 |
| W•••• A•••••• W•••••Chartered Financial Analyst | Mclean, Va | May 21, 2026 | 36 y | 0 |
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
- A••••• M•••• G•••• from T••••••• A•••• M••••••••• L••Jan 1, 2025 · Other
- A••• G•••• from T••••••• A•••• M••••••••• L••Mar 17, 2023 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from T••••••• A•••• M••••••••• L••Jan 2, 2025 · San Antonio, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• A•••••• M•••• · Founder/Ciocontrolsince 07/2022 · owns less than 5%
- S••••••••• G•••• J••••• · Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
- F•••••• B••••• L••••• · Managing Partnercontrolsince 08/2022 · owns 50% to 75% of T••••••• A•••• M••••••••• L••
- G••••• A•••••• M•••• · Managing Membercontrolsince 07/2022 · owns 75% or more of G•••• C••••••
- O•••••••• J•••••• · Managing Partnercontrolsince 08/2022 · owns 25% to 50% of T••••••• A•••• M••••••••• L••
Entity owners
- G•••• C•••••• · Memberdirect · owns 75% or more
- T••••••• A•••• M••••••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- S•••••••• C••••••• L•investment advisery
- T••••••• A•••• M••••••••• L••investment advisernRAUM $2.7B
- T••••••• C••••••• L••broker-dealerinvestment advisery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boca Raton, Fl · principal | 6 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $135,027,899 to $348,345,200 (+158.0%) between the annual amendments of 2025-03-26 and 2026-03-27; the peer median change was +4.0% (1148 comparable advisers, 98.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 3 to 6Feb 27, 2026 to Mar 27, 2026
- Advisory employees · 4 to 6Feb 27, 2026 to Mar 27, 2026
- BD registered reps · 0 to 1Feb 27, 2026 to Mar 27, 2026
- HNW clients · unset to 2.0Feb 27, 2026 to Mar 27, 2026
- Individual clients · 1.0 to unsetFeb 27, 2026 to Mar 27, 2026
- Employees · 6 to 11Feb 27, 2026 to Mar 27, 2026
- Insurance-licensed employees · 2 to 0Feb 27, 2026 to Mar 27, 2026
- Discretionary RAUM · $135M to $348MFeb 27, 2026 to Mar 27, 2026
- HNW RAUM · unset to 2100000.0Feb 27, 2026 to Mar 27, 2026
- Individual RAUM · 412899.0 to unsetFeb 27, 2026 to Mar 27, 2026
- RAUM · $135M to $348MFeb 27, 2026 to Mar 27, 2026
- Related adviser · false to trueJul 16, 2025 to Feb 27, 2026
- Financial planning clients · unset to May 29, 2025 to Jul 16, 2025
- Accounts · 19 to 3Nov 20, 2024 to Mar 26, 2025
- Advisory employees · 2 to 4Nov 20, 2024 to Mar 26, 2025
- Advisory activities · 4 to 3Nov 20, 2024 to Mar 26, 2025
- Individual clients · unset to 1.0Nov 20, 2024 to Mar 26, 2025
- Employees · 4 to 6Nov 20, 2024 to Mar 26, 2025
- State-registered IARs · 2 to 3Nov 20, 2024 to Mar 26, 2025
- Discretionary RAUM · $76.8M to $135MNov 20, 2024 to Mar 26, 2025
- Individual RAUM · unset to 412899.0Nov 20, 2024 to Mar 26, 2025
- RAUM · $76.8M to $135MNov 20, 2024 to Mar 26, 2025
- Related adviser · true to falseNov 20, 2024 to Mar 26, 2025
- Related broker-dealer · true to falseNov 20, 2024 to Mar 26, 2025
- Advisory activities · 2 to 4Apr 23, 2024 to Jul 2, 2024
- Accounts · 1 to 19Aug 18, 2023 to Mar 13, 2024
- Advisory activities · 1 to 2Aug 18, 2023 to Mar 13, 2024
- Employees · 2 to 4Aug 18, 2023 to Mar 13, 2024
- Discretionary RAUM · $78.8M to $76.8MAug 18, 2023 to Mar 13, 2024
- RAUM · $78.8M to $76.8MAug 18, 2023 to Mar 13, 2024
- Accounts · 16 to 1Mar 28, 2023 to Apr 4, 2023
- Discretionary RAUM · $85.0M to $78.8MMar 28, 2023 to Apr 4, 2023
- RAUM · $85.0M to $78.8MMar 28, 2023 to Apr 4, 2023
- Accounts · 1 to 16Mar 17, 2023 to Mar 28, 2023
- Advisory employees · 1 to 2Mar 17, 2023 to Mar 28, 2023
- Employees · 1 to 2Mar 17, 2023 to Mar 28, 2023
- Insurance-licensed employees · 1 to 2Mar 17, 2023 to Mar 28, 2023
- State-registered IARs · 1 to 2Mar 17, 2023 to Mar 28, 2023
- Discretionary RAUM · $68.4M to $85.0MMar 17, 2023 to Mar 28, 2023
- RAUM · $68.4M to $85.0MMar 17, 2023 to Mar 28, 2023
Signals
3 dated events
- O••• C•••••• L•• reported RAUM $348.3M, up 158% from $135.0M (2026-02-27 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- 2 advisors left T••••••• A•••• M••••••••• L•• (San Antonio, TX) for O••• C•••••• L•• on the same dayJan 2, 2025 · Team lift-out · derived
- O••• C•••••• L•• filed its initial SEC registration (Form ADV)Jul 15, 2022 · 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/opaldividendsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- opalinvest.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 917-716-6257reportedpublic record, Form ADV, Jul 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
- $58.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026