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
C•••••• I•••••••••
Legal name O••• C•••••• I••••••••• M••••••••• C•••••• ••••• L••
Latest filing May 26, 2026
First filing on the tape Feb 22, 2023 · 11 filings
SEC status approved since Mar 24, 2023
RAUM
$831M
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
35
25 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$831M as of May 26, 2026
Mar 22, 2024$396M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 26, 2026
Mar 22, 20240 then
Employees (5.A)35 as of May 26, 2026
Mar 22, 202446 then
Private funds4 as of May 26, 2026
Mar 22, 20243 then
RAUM +77% over the last fiscal yearIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of May 26, 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
- $208MderivedRAUM 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
- +77%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
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$831M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O••• C•••••• I••••••••• D••••••••• F••• ••••••••• S••• | Private Equity Fund | $786,323 | 4 | Jul 21, 2023 |
| O••• C•••••• I••••••••• D••••••••• A••••••••• F••• •••••••• 1• L••• | Private Equity Fund | $320,480 | 2 | Feb 22, 2023 |
| O••• C•••••• I••••••••• D••••••••• A••••••••• F••• •••••••• 2• L••• | Private Equity Fund | $0 | 0 | Feb 22, 2023 |
Owners and control persons
Schedule A and B, latest filing
- S••••• H••••••• N••••• · Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
Entity owners
- O••• C•••••• I••••••••• •••• I••• · Parent Company Of O••• C•••••• I•••••••••S Management Company (USA) LLCdirect · owns 75% or more
- O••• C•••••• I••••••••• L•• · Parent Companyindirect · owns 75% or more of O••• C•••••• I••••••••• •••• I•••
Related persons
Schedule D 7.A
- O••• C•••••• I••••••••• G• ••••••••• S•••••••pooled vehicle sponsorn
- O••• C•••••• I••••••••• G• ••••• L••pooled vehicle sponsorn
- O••• C•••••• I••••••••• L••investment adviserpooled vehicle sponsory
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 Apr 29, 2026RAUM (Item 5.F) moved from $469,866,406 to $831,381,391 (+77.0%) between the annual amendments of 2025-04-29 and 2026-04-29; the peer median change was +8.0% (672 comparable advisers, 92.0th percentile of changes)peers: asset managers, $500M to $1B (672) · 92% percentile
What changed
consecutive filings, newest first
- Business name · O••• C•••••• I••••••••• M••••••••• C•••••• ••••• L•• to C•••••• I•••••••••Mar 25, 2026 to Apr 29, 2026
- Accounts · 3 to 4May 29, 2025 to Mar 25, 2026
- Advisory employees · 26 to 25May 29, 2025 to Mar 25, 2026
- Pooled vehicle clients · 3 to 4May 29, 2025 to Mar 25, 2026
- Employees · 39 to 35May 29, 2025 to Mar 25, 2026
- Other offices · 2 to 1May 29, 2025 to Mar 25, 2026
- Private funds · 3 to 4May 29, 2025 to Mar 25, 2026
- Discretionary RAUM · $470M to $831MMay 29, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $470M to $831MMay 29, 2025 to Mar 25, 2026
- RAUM · $470M to $831MMay 29, 2025 to Mar 25, 2026
- Financial planning clients · unset to Apr 29, 2025 to May 29, 2025
- Advisory employees · 28 to 26Jul 3, 2024 to Apr 29, 2025
- Employees · 46 to 39Jul 3, 2024 to Apr 29, 2025
- Other offices · 0 to 2Jul 3, 2024 to Apr 29, 2025
- Discretionary RAUM · $396M to $470MJul 3, 2024 to Apr 29, 2025
- Pooled vehicle RAUM · $396M to $470MJul 3, 2024 to Apr 29, 2025
- RAUM · $396M to $470MJul 3, 2024 to Apr 29, 2025
- Other offices · 1 to 0Mar 22, 2024 to Jul 3, 2024
- Advisory employees · 29 to 28Oct 25, 2023 to Mar 22, 2024
- Employees · 53 to 46Oct 25, 2023 to Mar 22, 2024
- Discretionary RAUM · $350M to $396MOct 25, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $350M to $396MOct 25, 2023 to Mar 22, 2024
- RAUM · $350M to $396MOct 25, 2023 to Mar 22, 2024
- Accounts · 0 to 3Feb 22, 2023 to Jul 21, 2023
- Business name · C•••••• I••••••••• M••••••••• C•••••• •••• I••• to O••• C•••••• I••••••••• M••••••••• C•••••• ••••• L••Feb 22, 2023 to Jul 21, 2023
- Pooled vehicle clients · 0 to 3Feb 22, 2023 to Jul 21, 2023
- Legal name · C•••••• I••••••••• M••••••••• C•••••• •••• I••• to O••• C•••••• I••••••••• M••••••••• C•••••• ••••• L••Feb 22, 2023 to Jul 21, 2023
- Private funds · 2 to 3Feb 22, 2023 to Jul 21, 2023
- Discretionary RAUM · $0 to $350MFeb 22, 2023 to Jul 21, 2023
- Pooled vehicle RAUM · $0 to $350MFeb 22, 2023 to Jul 21, 2023
- RAUM · $0 to $350MFeb 22, 2023 to Jul 21, 2023
Signals
4 dated events
- C•••••• I••••••••• reported RAUM $831.4M, up 77% from $469.9M (2025-05-29 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- Nicole Heather Slate (Chief Compliance Officer) appeared on Schedule A of C•••••• I•••••••••Oct 23, 2023 · Control person joined · fact
- John Juneau Lee (Chief Compliance Officer) no longer on Schedule A of C•••••• I••••••••• (listed 2023-07-21, absent 2023-10-23)Oct 23, 2023 · Control person left · inference
- C•••••• I••••••••• M••••••••• C•••••• •••• I••• filed its initial SEC registration (Form ADV)Feb 22, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••• I••••••••• · Independent Sponsorsshared crd · capital_provider
- O••• C•••••• I••••••••• M••••••••• C•••••• ••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- climateinvestment.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 1-713-402-8266reportedpublic record, Form ADV, May 26, 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