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••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Feb 15, 2024 · 7 filings
SEC status approved since Mar 14, 2024
RAUM
$129M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$129M as of Mar 31, 2026
Mar 31, 2025$101M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20250 then
Employees (5.A)4 as of Mar 31, 2026
Mar 31, 20254 then
Private funds1 as of Mar 31, 2026
Mar 31, 20251 then
RAUM +28% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $32.3MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $68.8M, 3 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$68.8M100%
- 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
- $68.8M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.53 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•••• C•••••• M••••• F••• L• | Hedge Fund | $48.4M | 20 | Jul 12, 2024 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• G•••••• N•• · Chief Compliance Officer, Chief Financial Officercontrolsince 02/2024 · owns less than 5%
- H••••• J••••• D•••• · Limited Partner, Ciocontrolsince 05/2023 · owns 75% or more
- W•••••• K••••• R•••• · Limited Partner, Presidentcontrolsince 08/2023 · owns 10% to 25%
- H••••• J••••• D•••• · Membercontrolsince 04/2023 · owns 75% or more of O•••• C•••••• G• L••
Entity owners
- O•••• C•••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- O•••• C•••••• F••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $49.8M to $68.8MJun 2, 2025 to Mar 31, 2026
- Discretionary RAUM · $101M to $129MJun 2, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $49.8M to $68.8MJun 2, 2025 to Mar 31, 2026
- RAUM · $101M to $129MJun 2, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jun 2, 2025
- Assets in custody · $48.4M to $49.8MJul 19, 2024 to Mar 31, 2025
- Discretionary RAUM · $98.3M to $101MJul 19, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $48.4M to $49.8MJul 19, 2024 to Mar 31, 2025
- RAUM · $98.3M to $101MJul 19, 2024 to Mar 31, 2025
- HNW RAUM · 49896680.0 to unsetJul 12, 2024 to Jul 19, 2024
- Accounts · unset to 4.0Feb 20, 2024 to Jul 12, 2024
- Advisory activities · 1 to 2Feb 20, 2024 to Jul 12, 2024
- Pooled vehicle clients · 0 to 3Feb 20, 2024 to Jul 12, 2024
- Assets in custody · $0 to $48.4MFeb 20, 2024 to Jul 12, 2024
- Custody of client assets · false to trueFeb 20, 2024 to Jul 12, 2024
- Private funds · unset to 1Feb 20, 2024 to Jul 12, 2024
- Discretionary RAUM · unset to 98283628.0Feb 20, 2024 to Jul 12, 2024
- HNW RAUM · unset to 49896680.0Feb 20, 2024 to Jul 12, 2024
- Non-discretionary RAUM · unset to 0.0Feb 20, 2024 to Jul 12, 2024
- Pooled vehicle RAUM · $0 to $48.4MFeb 20, 2024 to Jul 12, 2024
- RAUM · unset to 98283628.0Feb 20, 2024 to Jul 12, 2024
Signals
1 dated events
- O•••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Feb 15, 2024 · 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
- Website
- o•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 305-317-5100reportedpublic 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
- Other adviserderiveda 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