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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Former SEC-registered adviser
O•••••• C•••••• M••••••••• L•••
Latest filing Mar 30, 2026
First filing on the tape Mar 27, 2012 · 20 filings
SEC status approved since Jun 5, 1995
RAUM
$564M
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
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$564M as of Mar 30, 2026
Mar 27, 2012$540M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 27, 20120 then
Employees (5.A)11 as of Mar 30, 2026
Mar 21, 201313 then
Private funds: no history
RAUM -13% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $282MderivedRAUM 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
- -13%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$564M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
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
- H•••••• E•••• R••••• · President/Lead Portfolio Manager/Director Of Researchcontrolsince 02/2022 · owns less than 5%
- O••••••• R••••• A••• · Chairman/Ceo/Cio/Secretarycontrolsince 06/1994 · owns less than 5%
- O••••••• R••••• A••• · President, Sole Director And Shareholdercontrolsince 06/1994 · owns 75% or more of O••••••• I•••
- K•••••• J•••• B• · Senior Vice President, Chief Compliance Officer & General Counselsince 06/2004 · owns less than 5%
Entity owners
- O•••••• A•••••••• L•• · General Partner/Limited Partnerdirect · owns 75% or more
- O••••••• I••• · Limited Partnerdirect · owns 10% to 25%
- O••••••• I••• · Managing Memberindirect · owns 75% or more of O•••••• Advisers,LLC
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
- BD registered reps · 3 to 2Mar 27, 2025 to Mar 30, 2026
- Employees · 12 to 11Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $649M to $564MMar 27, 2025 to Mar 30, 2026
- RAUM · $649M to $564MMar 27, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $728M to $649MMar 27, 2024 to Mar 27, 2025
- RAUM · $728M to $649MMar 27, 2024 to Mar 27, 2025
- Advisory employees · 7 to 6Mar 29, 2023 to Mar 27, 2024
- BD registered reps · 5 to 3Mar 29, 2023 to Mar 27, 2024
- Employees · 13 to 12Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $790M to $728MMar 29, 2023 to Mar 27, 2024
- RAUM · $790M to $728MMar 29, 2023 to Mar 27, 2024
- BD registered reps · 6 to 5Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $978M to $790MMar 30, 2022 to Mar 29, 2023
- RAUM · $978M to $790MMar 30, 2022 to Mar 29, 2023
- Advisory employees · 8 to 7Mar 31, 2021 to Mar 30, 2022
- BD registered reps · 9 to 6Mar 31, 2021 to Mar 30, 2022
- Employees · 12 to 13Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $791M to $978MMar 31, 2021 to Mar 30, 2022
- RAUM · $791M to $978MMar 31, 2021 to Mar 30, 2022
- BD registered reps · 10 to 9Mar 30, 2020 to Mar 31, 2021
- Employees · 13 to 12Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $810M to $791MMar 30, 2020 to Mar 31, 2021
- RAUM · $810M to $791MMar 30, 2020 to Mar 31, 2021
- Accounts · 3 to 2Mar 15, 2019 to Mar 30, 2020
- Discretionary RAUM · $720M to $810MMar 15, 2019 to Mar 30, 2020
- RAUM · $720M to $810MMar 15, 2019 to Mar 30, 2020
- Discretionary RAUM · $799M to $720MSep 20, 2018 to Mar 15, 2019
- RAUM · $799M to $720MSep 20, 2018 to Mar 15, 2019
- Discretionary RAUM · $855M to $799MMar 28, 2018 to Sep 20, 2018
- RAUM · $855M to $799MMar 28, 2018 to Sep 20, 2018
- Other offices · unset to 0.0Mar 29, 2017 to Mar 28, 2018
- Discretionary RAUM · $834M to $855MMar 29, 2017 to Mar 28, 2018
- RAUM · $834M to $855MMar 29, 2017 to Mar 28, 2018
- Accounts · 2 to 3Mar 30, 2016 to Mar 29, 2017
- BD registered reps · 11 to 10Mar 30, 2016 to Mar 29, 2017
- Employees · 14 to 13Mar 30, 2016 to Mar 29, 2017
- Discretionary RAUM · $816M to $834MMar 30, 2016 to Mar 29, 2017
- RAUM · $816M to $834MMar 30, 2016 to Mar 29, 2017
- BD registered reps · 10 to 11Apr 20, 2015 to Mar 30, 2016
Signals
3 dated events
- O•••••• C•••••• M••••••••• L••• no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $564.1M)Aug 3, 2026 · Left the SEC roster · derived
- R••••• E••• H••••• (President/Lead Portfolio Manager/Director Of Research) appeared on Schedule A of O•••••• C•••••• M••••••••• L•••Mar 30, 2022 · Control person joined · fact
- M•••••• L•••• (President/Limited Partner) no longer on Schedule A of O•••••• C•••••• M••••••••• L••• (listed 2021-03-31, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered 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