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•• M••••••••• I•• L••
Latest filing Mar 31, 2026
First filing on the tape Oct 14, 2022 · 10 filings
SEC status approved since Nov 14, 2022
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
47
23 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
5
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.3B as of Mar 31, 2026
Mar 31, 2023$298M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20230 then
Employees (5.A)47 as of Mar 31, 2026
Mar 31, 202350 then
Private funds5 as of Mar 31, 2026
Mar 31, 20231 then
RAUM +20% over the last fiscal year+64% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- $218MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%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
- $41.1M, 1 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
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
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $41.1M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=1.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O••• B•• X•• C••• L••• | Securitized Asset Fund | $301M | 0 | Mar 31, 2023 |
| O••• B•• X••• C••• L•• | Securitized Asset Fund | $0 | 0 | May 3, 2024 |
Owners and control persons
Schedule A and B, latest filing
- C••••• J••••••• A••• · Senior Managing Directorcontrolsince 09/2022 · owns less than 5%
- P•••••• M••••• S•• D••••• · Chief Compliance Officercontrolsince 09/2022 · owns less than 5%
- R•••••• B••••• •••• · President & Senior Managing Directorcontrolsince 09/2022 · owns less than 5%
- R•••••••• T••• K•••• · Managing Director, General Counsel, Chief Administrative Officer & Secretarycontrolsince 09/2022 · owns less than 5%
- R••••••• R••••••• S•••• · Trusteecontrolsince 09/2021 · owns F of T•• O•• 2••• T••••
Entity owners
- O•• F•••••• I• L•• · Managing Memberdirect · owns 75% or more
- O••• L•• · Ownerindirect · owns 75% or more of O•••••• I••••••••• L••
- O•••••• F•••• S••••• A•••• M••••••••• H•••••••• L•• · Member/Managerindirect · owns 75% or more of O•••••• F•••• S••••• A•••• M••••••••• L••
- O•••••• F•••• S••••• A•••• M••••••••• L•• · Member/Managerindirect · owns 75% or more of O•• F•••••• I• L••
- O•••••• F•••• S••••• C••••••• I••• · Managerindirect · owns F of O•••••• F•••• S••••• A•••• M••••••••• L••
- O•••••• I••••••••• I•• L•• · Memberindirect · owns 50% to 75% of O•••••• F•••• S••••• A•••• M••••••••• H•••••••• L••
- O•••••• I••••••••• L•• · Ownerindirect · owns 75% or more of O•••••• I••••••••• I•• L••
- T•• O•• 2••• T•••• · Ownerindirect · owns 75% or more of O••• L••
Related persons
Schedule D 7.A
- 4•• P••• M••••••••• L••investment companyn
- 4••• C••••••••• L••n
- C••• S•• I• O•••••••• L••n
- C•• C••••••• L••broker-dealern
- C•• G••••• L••n
- C•• C•••••• C••••••••• C•••••• M••••••••• L••investment advisern
- C•• C•••••• I• M••••••••• L••investment adviserbanknRAUM $1.1B
- C•• C•••••• R• D••• M••••••••• L••investment advisern
- C•• C•••••• R••• P••••••• M••••••••• L••investment advisern
- C•• C•••••• S• M••••••••• L••investment advisernRAUM $134M
- C•• C•••••• S••••••••• M••••••••• L••investment advisern
- C•• C••••••• L••investment advisernRAUM $2.7B
- C•• C••••••••• C•••••• M••••••••• L••n
- C•• G•••• ••••••••• P•• L••broker-dealern
- C•• G•••• M••••••••• L••n
- C•• G••••• L•n
- C•• I• M••••••••• L••investment companyn
- C•• I••••••••• F••• I••• G•• L••pooled vehicle sponsorn
- C•• I••••••••• F••• I•• G• ••••• S•••••••pooled vehicle sponsorn
- C•• I••••••••• F••• I•• G•• L••pooled vehicle sponsorn
- C•• I••••••••• I• G•• L••pooled vehicle sponsorn
- C•• J••••• L••broker-dealern
- C•• M••••••••• I•••investment companyn
- C•• M• M••••••••• L••investment companyn
- C•• N• M••••••••• L••investment companyn
- C•• R• D••• M••••••••• L••n
- C•• R••• E••••• F•••••• M••••••••• L••bankn
- C•• R••• E••••• S•••••••• L••investment companyn
- C•• T• M••••••••• L••investment companyn
- C•• V• M••••••••• L••investment companyn
Advisers that list O•• C•• M••••••••• I•• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY11 employees
- Los Angeles, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-05-16, yes on the filing of 2026-03-31peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Accounts · 5 to 6May 16, 2025 to Mar 31, 2026
- Pooled vehicle clients · 5 to 6May 16, 2025 to Mar 31, 2026
- Assets in custody · unset to 41108173.0May 16, 2025 to Mar 31, 2026
- Custody of client assets · false to trueMay 16, 2025 to Mar 31, 2026
- Employees · 50 to 47May 16, 2025 to Mar 31, 2026
- Private funds · 4 to 5May 16, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.1B to $1.3BMay 16, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.1B to $1.3BMay 16, 2025 to Mar 31, 2026
- RAUM · $1.1B to $1.3BMay 16, 2025 to Mar 31, 2026
- Financial planning clients · unset to Apr 8, 2025 to May 16, 2025
- Accounts · 2 to 5May 22, 2024 to Apr 8, 2025
- Advisory employees · 25 to 23May 22, 2024 to Apr 8, 2025
- Pooled vehicle clients · 2 to 5May 22, 2024 to Apr 8, 2025
- Employees · 53 to 50May 22, 2024 to Apr 8, 2025
- Private funds · 2 to 4May 22, 2024 to Apr 8, 2025
- Discretionary RAUM · $304M to $1.1BMay 22, 2024 to Apr 8, 2025
- Pooled vehicle RAUM · $304M to $1.1BMay 22, 2024 to Apr 8, 2025
- RAUM · $304M to $1.1BMay 22, 2024 to Apr 8, 2025
- Private funds · 1 to 2Mar 29, 2024 to May 3, 2024
- Accounts · 1 to 2Jun 15, 2023 to Mar 29, 2024
- Advisory employees · 24 to 25Jun 15, 2023 to Mar 29, 2024
- Pooled vehicle clients · 1 to 2Jun 15, 2023 to Mar 29, 2024
- Employees · 50 to 53Jun 15, 2023 to Mar 29, 2024
- Discretionary RAUM · $298M to $304MJun 15, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $298M to $304MJun 15, 2023 to Mar 29, 2024
- RAUM · $298M to $304MJun 15, 2023 to Mar 29, 2024
- Accounts · unset to 1.0Oct 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · unset to 1.0Oct 31, 2022 to Mar 31, 2023
- Private funds · unset to 1Oct 31, 2022 to Mar 31, 2023
- Discretionary RAUM · unset to 298094535.0Oct 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · unset to 0.0Oct 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · unset to 298094535.0Oct 31, 2022 to Mar 31, 2023
- RAUM · unset to 298094535.0Oct 31, 2022 to Mar 31, 2023
Signals
2 dated events
- O•• C•• M••••••••• I•• L•• reported RAUM $1.1B, up 258% from $303.5M (2024-05-22 to 2025-04-08)Apr 8, 2025 · RAUM change · derived
- O•• C•• M••••••••• I•• L•• filed its initial SEC registration (Form ADV)Oct 14, 2022 · ria f•••• adv filing · 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
- H•••S://WWW.LINKEDIN.COM/COMPANY/OFS-CAPITAL-CORPORATIONreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847.734.2000reportedpublic record, Form ADV, Mar 31, 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