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•••••• M••••••••• L••

Asset manager (funds and pooled vehicles)Alpharetta, GeorgiaCRD 324401SEC 801-136161websiteIAPD
Latest filing Apr 28, 2026
First filing on the tape Apr 28, 2026 · 1 filings
SEC status approved since May 1, 2026
RAUM
$169M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$169M
derived; firm RAUM over IAPD count
Employees
16
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
40
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $169M
HNW client RAUM: $0
State-registered IARs (5.B.3): 1
Employees (5.A): 16
Private funds: 40
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 28, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$169MderivedRAUM 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
$4.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
16.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$169M, 41 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
  • 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)
  • 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$169M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
41reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$169M for 41 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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C•••• M••••• E••••Chartered Financial AnalystAlpharetta, GaMar 31, 202313 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • E••••• C••••• M••••• · Managing Member, Chief Investment Officercontrol
      since 11/2022 · owns less than 5%
    • W•••••• B••••• D••••• · Chief Compliance Officer, Chief Operating Officer, Managercontrol
      since 06/2023 · owns less than 5%
    Entity owners
    • O•••••• G••••• L•• · 100% Owner Of O•••••• Management LLC
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • many private funds relative to firm sizeStatic outlier · filing Apr 28, 2026
      private funds per $1B of RAUM of 237.2 against a peer median of 20.7 (710 comparable advisers, 100.0th percentile, 16.5 robust deviations)
      peers: asset managers, $100M to $500M (710) · 100% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    How to reach
    public business contact points only, each with its source
    Website
    o•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
    Principal office phone
    770-415-0596reportedpublic record, Form ADV, Apr 28, 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
    $169Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026