DFX Intelligence

RIA Intelligence

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SEC-registered adviser

O•••••••• C•••••• A••••••• L••

No RAUM reportedNew York, New YorkCRD 341636SEC 801-136329IAPD
Latest filing May 29, 2026
First filing on the tape May 29, 2026 · 1 filings
SEC status 120-day approval since Jun 2, 2026
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $0
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 4
Private funds: no history
Practice profile
derived from the filing of May 29, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• A••••••• P••••• · Chief Executive Officer/Chief Compliance Officercontrol
        since 02/2026 · owns 50% to 75%
      • M•••••• A••••••• V• · Chief Investment Officercontrol
        since 02/2026 · owns less than 5%
      • Z••••• G••••• L•••• · Ownercontrol
        since 02/2026 · owns 25% to 50%
      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
      One filing, no change to show.
      Signals
      2 dated events
      • Anthony V Manory, registered through E••••• F•••••••• M••••••••• C••••••• L•• (Bluffton, SC), is a direct owner of O•••••••• C•••••• A••••••• L••, an adviser first registered 2026-05-29; in 2023-2025, 164 of 330 such owners registered at this class of firm moved to the new adviser within a year, median 92 days after the filing
        May 29, 2026 · Owner of a newly registered adviser · fact
      • Gregg Lance Zeoli, registered through E••••• F•••••••• M••••••••• C••••••• L•• (Holmdel, NJ), is a direct owner of O•••••••• C•••••• A••••••• L••, an adviser first registered 2026-05-29; in 2023-2025, 164 of 330 such owners registered at this class of firm moved to the new adviser within a year, median 92 days after the filing
        May 29, 2026 · Owner of a newly registered adviser · 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
      212-632-0400reportedpublic record, Form ADV, May 29, 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
      No RAUM reportedderiveda 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