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.
SEC-registered adviser
Arena Private Wealth
Legal name Ocm Private Wealth, LLC
Latest filing Aug 3, 2026
First filing on the tape Aug 14, 2024 · 11 filings
SEC status approved since Sep 13, 2024
RAUM
$405M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$329M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$57.8M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
7
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$405M as of Aug 3, 2026
Jan 16, 2025$147M then
HNW client RAUM$275M as of Aug 3, 2026
Jan 16, 2025$95.8M then
State-registered IARs (5.B.3)5 as of Aug 3, 2026
Jan 16, 20253 then
Employees (5.A)8 as of Aug 3, 2026
Jan 16, 20255 then
Private funds7 as of Aug 3, 2026
Jan 16, 20251 then
RAUM +175% over the last fiscal yearIARs 3 to 5offices 4 to 7
Practice profile
derived from the filing of Aug 3, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $57.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $660,209derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 0.9derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +130%derivedbetween the last two annual amendments
- Advisor growth, one year
- +67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +162%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$275M68%
- Pooled investment vehicles$74.6M18%
- Individuals$53.8M13%
- Corporations and businesses$864,7470.2%
- Individual clients
- 65reported
- HNW clients
- 158reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 613reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.81 fund_share=0.18 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jason A ToshCertified Financial Planner | Chicago, Il | Oct 24, 2024 | 19 y | 2 |
| Mitchell Lawrence Stein | Chicago, Il | Oct 24, 2024 | 21 y | 4 |
| Ryan Steven WattCertified Financial Planner | Upper Arlington, Oh | Oct 25, 2024 | 21 y | 3 |
| Joseph Littman | Shaker Heights, Oh | Jun 19, 2025 | 12 y | 2 |
| Erik Michael KratzChartered Financial Analyst | Chicago, Il | Jan 15, 2026 | 11 y | 1 |
| Edward Bowman Pettegrew | Shaker Heights, Oh | Feb 26, 2026 | 10 y | 3 |
| Christian George FrancavigliaCertified Financial Planner | Chicago, Il | Apr 2, 2026 | 14 y | 3 |
Advisor movement
0 left, 3 joined in 12 months
net +3 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
- Christian George Francaviglia from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 2, 2026 · Wirehouse to independent RIA
- Edward Bowman Pettegrew from Cetera Investment Advisers LLCFeb 26, 2026 · Affiliated broker-dealer or bank to independent RIA
- Erik Michael Kratz from Focus Partners Wealth, LLCJan 15, 2026 · RIA to RIA
- Joseph Littman from J.P. Morgan Securities LLCJun 19, 2025 · Wirehouse to independent RIA
- Ryan Steven Watt from Objective Capital Management, LLCOct 25, 2024 · Other
- Mitchell Lawrence Stein from Objective Capital Management, LLCOct 24, 2024 · Other
- Jason A Tosh from Objective Capital Management, LLCOct 24, 2024 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Objective Capital Management, LLCDec 31, 2025 · Fairlawn, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lawrence Mitchell Stein · Principalcontrolsince 08/2024 · owns 25% to 50%
- A Jason Tosh · Principalcontrolsince 08/2024 · owns 25% to 50%
- Steven Ryan Watt · Principalcontrolsince 08/2024 · owns 25% to 50%
- Daniel Patrick Hayes · Chief Compliance Officersince 08/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 7 | 3 | 0 | ||
| Shaker Heights, Oh | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Naples, FL5 employees
- , 1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- wealth RIA private fund surgeCombination · filing Mar 31, 2026a wealth manager (private-client share at least 50 percent) whose private fund count grew by three or more and 50 percent or more. RAUM $147,069,600 to $338,130,932, advisors 3 to 5, private clients 85 to 223, offices 4 to 6 (2025-02-04 to 2026-03-31)peers: independent wealth managers, $100M to $500M (5,676)
- account count surgeChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 202.0 to 606.0 (+200.0%) between the annual amendments of 2025-02-04 and 2026-03-31; the peer median change was +5.0% (3688 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,688) · 99% percentile
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 65.0% to 84.0% between the annual amendments of 2025-02-04 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
- office count surgeChange between filings · filing Mar 31, 2026offices other than the principal office (Item 1.F.5) moved from 4.0 to 6.0 (+50.0%) between the annual amendments of 2025-02-04 and 2026-03-31; the peer median change was 0.0% (450 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (450) · 96% percentile
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $147,069,600 to $338,130,932 (+130.0%) between the annual amendments of 2025-02-04 and 2026-03-31; the peer median change was +15.0% (4551 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,551) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 606 to 613Mar 31, 2026 to Jul 30, 2026
- Pooled vehicle clients · 1 to 7Mar 31, 2026 to Jul 30, 2026
- Other offices · 6 to 7Mar 31, 2026 to Jul 30, 2026
- Discretionary RAUM · $338M to $405MMar 31, 2026 to Jul 30, 2026
- HNW RAUM · $284M to $275MMar 31, 2026 to Jul 30, 2026
- Pooled vehicle RAUM · $0 to $74.6MMar 31, 2026 to Jul 30, 2026
- RAUM · $338M to $405MMar 31, 2026 to Jul 30, 2026
- Accounts · 202 to 606Jan 8, 2026 to Mar 31, 2026
- Advisory employees · 4 to 8Jan 8, 2026 to Mar 31, 2026
- Corporate clients · unset to 7.0Jan 8, 2026 to Mar 31, 2026
- HNW clients · 38 to 158Jan 8, 2026 to Mar 31, 2026
- Individual clients · 47 to 65Jan 8, 2026 to Mar 31, 2026
- Employees · 5 to 8Jan 8, 2026 to Mar 31, 2026
- Financial planning clients · 51-100 to 101-250Jan 8, 2026 to Mar 31, 2026
- State-registered IARs · 3 to 5Jan 8, 2026 to Mar 31, 2026
- Other offices · 5 to 6Jan 8, 2026 to Mar 31, 2026
- Private funds · unset to 7Jan 8, 2026 to Mar 31, 2026
- Discretionary RAUM · $139M to $338MJan 8, 2026 to Mar 31, 2026
- HNW RAUM · $95.8M to $284MJan 8, 2026 to Mar 31, 2026
- Individual RAUM · $43.3M to $53.8MJan 8, 2026 to Mar 31, 2026
- RAUM · $139M to $338MJan 8, 2026 to Mar 31, 2026
- Business name · OCM PRIVATE WEALTH, LLC to ARENA PRIVATE WEALTHDec 2, 2025 to Jan 8, 2026
- Advisory activities · 3 to 4Aug 26, 2025 to Dec 2, 2025
- Advisory activities · 4 to 3Feb 4, 2025 to Aug 26, 2025
- Other offices · 4 to 5Feb 4, 2025 to Aug 26, 2025
- Private funds · 1 to unsetFeb 4, 2025 to Aug 26, 2025
- Discretionary RAUM · $147M to $139MFeb 4, 2025 to Aug 26, 2025
- Pooled vehicle RAUM · $8.0M to $0Feb 4, 2025 to Aug 26, 2025
- RAUM · $147M to $139MFeb 4, 2025 to Aug 26, 2025
- Financial planning clients · 51-100 to 51-100Jan 16, 2025 to Feb 4, 2025
- Accounts · 0 to 202Nov 4, 2024 to Jan 16, 2025
- Advisory activities · 3 to 4Nov 4, 2024 to Jan 16, 2025
- HNW clients · unset to 38.0Nov 4, 2024 to Jan 16, 2025
- Individual clients · unset to 47.0Nov 4, 2024 to Jan 16, 2025
- Pooled vehicle clients · unset to 1.0Nov 4, 2024 to Jan 16, 2025
- Financial planning clients · 0 to 51-100Nov 4, 2024 to Jan 16, 2025
- Private funds · unset to 1Nov 4, 2024 to Jan 16, 2025
- Discretionary RAUM · $0 to $147MNov 4, 2024 to Jan 16, 2025
- HNW RAUM · unset to 95825138.0Nov 4, 2024 to Jan 16, 2025
- Individual RAUM · unset to 43287112.0Nov 4, 2024 to Jan 16, 2025
Signals
3 dated events
- Arena Private Wealth reported RAUM $338.1M, up 143% from $139.1M (2026-01-08 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- 2 advisors left Objective Capital Management, LLC (Fairlawn, OH) for Arena Private Wealth on the same dayDec 31, 2025 · Team lift-out · derived
- Ocm Private Wealth, Llc filed its initial SEC registration (Form ADV)Aug 14, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Arena Private Wealth · Independent Sponsorsshared crd · capital_provider
- Arena Private Wealth · Private Equityshared crd · organization
- Arena Private Wealth · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 312-798-9045reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/arena-pwreportedpublic record, Form ADV, Sep 17, 2026
- Website
- arenapw.ioreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 312-798-9045reportedpublic record, Form ADV, Aug 3, 2026
- Contact form
- arenapw.io/contactreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $57.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026