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 Aug 25, 2026
First filing on the tape Aug 23, 2023 · 14 filings
SEC status approved since Sep 22, 2023
RAUM
$214M
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
$214M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
13
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$214M as of Aug 25, 2026
Mar 29, 2024$175M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 25, 2026
Mar 29, 20241 then
Employees (5.A)6 as of Aug 25, 2026
Mar 29, 20246 then
Private funds13 as of Aug 25, 2026
Mar 29, 202410 then
RAUM +9.5% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Aug 25, 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
- $214MderivedRAUM 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
- $17.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.5%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
- fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $185M, 12 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$214M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $185M for 12 clientsreported
- Compensation
- fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••• W•••• T•••••••• | Florham Park, Nj | Oct 2, 2023 | 12 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
none on the tape
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•• C•••••• F••• I• L• | Private Equity Fund | $52.7M | 82 | Aug 23, 2023 |
| O•• C•••••• F••• I•• L• | Private Equity Fund | $51.2M | 96 | Aug 23, 2023 |
| O•• C•••••• F••• 1• L• | Private Equity Fund | $27.9M | 55 | Aug 23, 2023 |
| O•• T••• B••• C••••••• L•• | Private Equity Fund | $13.5M | 62 | Aug 23, 2023 |
| O•• G•• F••• I• C••••••• L•• | Private Equity Fund | $4.9M | 61 | Aug 23, 2023 |
| F•••• V••••••• L•• | Private Equity Fund | $3.6M | 16 | Aug 23, 2023 |
| O•• P••• C••••••• I• L•• | Private Equity Fund | $2.8M | 35 | Aug 23, 2023 |
| O•• W•• C••••••• L•• | Private Equity Fund | $1.5M | 28 | Aug 23, 2023 |
| O•• M•• C••••••• L•• | Private Equity Fund | $752,000 | 23 | Aug 23, 2023 |
| O•• P••• C••••••• L•• | Private Equity Fund | $623,573 | 35 | Aug 23, 2023 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• M••••••• W•••••• · Managing Member/Partner & Chief Executive Officercontrolsince 12/2018 · owns 75% or more
- L•••••• A••• B••• · Vice President Of Finance/Chief Compliance Officersince 05/2023 · owns less than 5%
- T••••••••• L•••••• W•••• · Partner/Chief Operating Officersince 01/2020 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $207M to $185MMar 11, 2026 to Apr 30, 2026
- Discretionary RAUM · $214M to $214MMar 11, 2026 to Apr 30, 2026
- Pooled vehicle RAUM · $214M to $214MMar 11, 2026 to Apr 30, 2026
- RAUM · $214M to $214MMar 11, 2026 to Apr 30, 2026
- Advisory employees · 4 to 5Jan 9, 2026 to Mar 11, 2026
- BD registered reps · 0 to 1Jan 9, 2026 to Mar 11, 2026
- Assets in custody · $167M to $207MJan 9, 2026 to Mar 11, 2026
- Employees · 5 to 6Jan 9, 2026 to Mar 11, 2026
- Private funds · 12 to 13Jan 9, 2026 to Mar 11, 2026
- Discretionary RAUM · $195M to $214MJan 9, 2026 to Mar 11, 2026
- Pooled vehicle RAUM · $195M to $214MJan 9, 2026 to Mar 11, 2026
- RAUM · $195M to $214MJan 9, 2026 to Mar 11, 2026
- Financial planning clients · unset to May 28, 2025 to Jul 16, 2025
- Accounts · 10 to 12Dec 9, 2024 to Mar 27, 2025
- Advisory employees · 3 to 4Dec 9, 2024 to Mar 27, 2025
- Pooled vehicle clients · 10 to 12Dec 9, 2024 to Mar 27, 2025
- Assets in custody · $163M to $167MDec 9, 2024 to Mar 27, 2025
- Employees · 6 to 5Dec 9, 2024 to Mar 27, 2025
- Private funds · 10 to 12Dec 9, 2024 to Mar 27, 2025
- Discretionary RAUM · $171M to $195MDec 9, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $171M to $195MDec 9, 2024 to Mar 27, 2025
- RAUM · $171M to $195MDec 9, 2024 to Mar 27, 2025
- Accounts · 493 to 10Mar 29, 2024 to Aug 28, 2024
- Assets in custody · $40.5M to $163MMar 29, 2024 to Aug 28, 2024
- Discretionary RAUM · $175M to $171MMar 29, 2024 to Aug 28, 2024
- Pooled vehicle RAUM · $175M to $171MMar 29, 2024 to Aug 28, 2024
- RAUM · $175M to $171MMar 29, 2024 to Aug 28, 2024
- Assets in custody · $35.2M to $40.5MDec 14, 2023 to Mar 29, 2024
- Employees · 5 to 6Dec 14, 2023 to Mar 29, 2024
- State-registered IARs · 0 to 1Dec 14, 2023 to Mar 29, 2024
- Discretionary RAUM · $139M to $175MDec 14, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $139M to $175MDec 14, 2023 to Mar 29, 2024
- RAUM · $139M to $175MDec 14, 2023 to Mar 29, 2024
Signals
1 dated events
- O•• C•••••• L•• filed its initial SEC registration (Form ADV)Aug 23, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O•• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
- O•• C•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- o•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 973-446-6876reportedpublic record, Form ADV, Aug 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
- $214Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026