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••••• A••••••• L••
Latest filing May 15, 2026
First filing on the tape Jan 31, 2024 · 7 filings
SEC status approved since Feb 29, 2024
RAUM
$418M
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
70
34 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$418M as of May 15, 2026
Feb 12, 2025$551M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 15, 2026
Feb 12, 20250 then
Employees (5.A)70 as of May 15, 2026
Feb 12, 202596 then
Private funds: no history
RAUM -26% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 15, 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
- $418MderivedRAUM 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
- -26%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 investment companiesreportedItem 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- 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=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• Z••••••• S•••••• · Chief Compliance Officer And Deputy General Counselcontrolsince 01/2024 · owns less than 5%
- G•••••• E•••••• U•••• · Directorcontrolsince 01/2024 · owns less than 5%
- G•••••• S•••••• F•••• · Directorcontrolsince 01/2024 · owns less than 5%
- J••••• R•••••• H•••• · Head Of O••• Credit And Directorcontrolsince 01/2024 · owns less than 5%
- S•••••••• G•••••• W•••••• · Shareholdercontrolsince 03/2013 · owns 75% or more of N•• O•••• C••••••• H••••••• L•••
Entity owners
- O••• U• H••••••• L•• · Ownerdirect · owns 75% or more
- 1•••••• O•••••• I••• · Shareholderindirect · owns 75% or more of N•• P•• I• I••••••••• L•••
- A••• C•••••• L••• · Shareholderindirect · owns 75% or more of 1•••••• O•••••• I•••
- N•• O•••• C••••••• H••••••• L••• · Shareholderindirect · owns 75% or more of O•••• C••••••• H••••••• L•••
- N•• P•• I• I••••••••• L••• · Shareholderindirect · owns 75% or more of O••• H••••••• L•••
- O••• H••••••• L••• · Shareholderindirect · owns 50% to 75% of O••• C•••••••••
- O•••• C••••••• H••••••• L••• · Shareholderindirect · owns 75% or more of A••• C•••••• L•••
- O••• C••••••••• · Shareholderindirect · owns 75% or more of O••• U• H••••••• L••
Related persons
Schedule D 7.A
- O•••• M••••••••• P••••••• L•••investment adviserbanknRAUM $3.7B
- O••• C••••• A•••• M••••••••• I•••investment adviserbanknRAUM $2.2B
- O••• C••••• P•••••••• L••investment adviserbanknRAUM $30B
- F••••• Investment A••••••S, LLCinvestment adviserbanknRAUM $3.3B
- O••• P••••••• M•••••• L•investment adviserbanknRAUM $22B
Advisers that list O••• C••••• A••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY18 employees
- Boston, MA16 employees
- Toronto, Canada5 employees
What changed
consecutive filings, newest first
- Advisory employees · 32 to 34Mar 28, 2025 to Mar 26, 2026
- Discretionary RAUM · $561M to $418MMar 28, 2025 to Mar 26, 2026
- RAUM · $561M to $418MMar 28, 2025 to Mar 26, 2026
- Advisory employees · 55 to 32Feb 12, 2025 to Mar 28, 2025
- Employees · 96 to 70Feb 12, 2025 to Mar 28, 2025
- Financial planning clients · unset to Feb 12, 2025 to Mar 28, 2025
- Other offices · 3 to 2Feb 12, 2025 to Mar 28, 2025
- Discretionary RAUM · $551M to $561MFeb 12, 2025 to Mar 28, 2025
- RAUM · $551M to $561MFeb 12, 2025 to Mar 28, 2025
- Accounts · unset to 1.0Feb 5, 2024 to Mar 28, 2024
- Discretionary RAUM · unset to 550962086.0Feb 5, 2024 to Mar 28, 2024
- Non-discretionary RAUM · unset to 0.0Feb 5, 2024 to Mar 28, 2024
- RAUM · unset to 550962086.0Feb 5, 2024 to Mar 28, 2024
Signals
2 dated events
- O••• C••••• A••••••• L•• reported RAUM $417.8M, down 26% from $561.3M (2025-03-28 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- O••• C••••• A••••••• L•• filed its initial SEC registration (Form ADV)Jan 31, 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
- Principal office phone
- (201) 541-2121reportedpublic record, Form ADV, May 15, 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