AUMdb

Oasis Investment Strategies Llc

SEC-registered Investment Adviser · Mid-sized ($1B–$10B) CRD 152957 · SEC file 801-71417 · Chicago, IL · WWW.RJOASIS.COM
☆ Save with Pro ADV data as of Mar 31, 2026
Regulatory AUM
$5.7B
Discretionary
$5.7B
Clients
4
Avg AUM / client
$1.4B
Accounts
4
Employees
10

AUM over time

$3.5B $7.6B
Dec 2011 Dec 2025

Annual snapshots from Form ADV filings · as of Mar 31, 2026

Who they serve

Client typeClientsAUM% of AUM
Pooled investment vehicles (non-investment companies) 1 $17.7M 0.31%
Corporations and other businesses 3 $5.7B 99.7%

Private funds (1)

Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $37.7M combined gross assets

FundTypeDomicileGross assetsOwners
O'brien Alternative Strategic Investment Solutions, Llc (D/B/A Rj Oasis) Oasis Honte Advisors Series Hedge Fund Delaware $37.7M 24

People (7)

NameRole / titleCredentialsWith firm sinceOwnership
Clements, Mark, Thomas Chief Investment Officer Dec 2018 (8y) Less than 5%
Roberts, Colleen, Marie Chief Operating Officer Dec 2018 (8y) Less than 5%
Gabriele, James, Andrew Manager Board Of Managers Nov 2019 (7y) Less than 5%
Gurdian, Eric, Gregory Chief Financial Officer, Manager Board Of Managers Nov 2019 (7y) Less than 5%
Reyna, David, Christopher Manager, Head Of Funds Division Nov 2019 (7y) Less than 5%
Shah, Amar, U. Manager Board Of Managers Nov 2019 (7y) Less than 5%
Bove, Christopher, Edward Chief Compliance Officer Jan 2024 (3y) Less than 5%

Entity owners (Schedule A/B)

EntityTitle / statusSinceSch.Ownership
Jvmc Holdings Corp Sole Member Jul 2007 A 75% or more
Rts Investor Corp Sole Shareholder Jul 2010 B ≈ 56.25% – 100% via Jvmc Holdings Corp
Westmoor Trail Partners, Llc Shareholder Jan 2021 B ≈ 14.06% – 50% via Rts Investor Corp

Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.

Estimated effective ownership (look-through of filed bands):

  • Rts Investor Corp: 75% – 100% of Jvmc Holdings Corp × 75% – 100% direct ≈ 56.25% – 100% of the firm
  • Westmoor Trail Partners, Llc: 25% – 50% of Rts Investor Corp × 75% – 100% of Jvmc Holdings Corp × 75% – 100% direct ≈ 14.06% – 50% of the firm

Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.

Private funds (1, $37.7M gross assets)

FundTypeGross assetsMin. investmentOwners
O'brien Alternative Strategic Investment Solutions, Llc (D/B/A Rj Oasis) Oasis Honte Advisors Series Hedge Fund $37.7M $50.0K 24

From Form ADV Section 7.B private fund reporting.

Documents (1 archived)

FormPeriodSize
Form ADV (full filing) 03/31/2026 1.57 MB View · PDF · Source ↗

Archived copies of the firm's regulatory filings, versioned by content hash.

Disciplinary disclosures

Regulatory as of Mar 29, 2024

Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, RJO SETTLED A CFTC ACTION ASSERTING THAT RJO VIOLATED CFTC REGULATION 166.3 AND SECTION 6(C)(4) OF THE COMMODITY EXCHANGE ACT. THE CFTC ORDER FOUND THAT BETWEEN JANUARY 2013 AND FEBRUARY 2014, RJO DID NOT DILIGENTLY SUPERVISE ITS EMPLOYEES TO ENSURE THAT THEY PROPERLY PROCESSED BUNCHED ORDERS ALLOCATED POST-EXECUTION AND THAT THEY APPROPRIATELY MONITORED POST-EXECUTION TRADE ALLOCATIONS FOR UNUSUAL ACTIVITY. THESE FAILURES DELAYED THE DETECTION OF A POST-EXECUTION TRADE ALLOCATION SCHEME CARRIED OUT BY A CTA/CPO CLIENT, WHICH THE ORDER FINDS ALLOCATED TRADES TO ITS BENEFIT AND TO THE DETRIMENT OF CERTAIN OF THE CLIENT'S CUSTOMERS. THE ORDER FURTHER FINDS THAT RJO DID NOT MAKE A REASONABLY SUFFICIENT INQUIRY INTO THE CLIENT'S ALLOCATION PRACTICES, DID NOT ADHERE TO ITS INTERNAL PROTOCOLS GOVERNING THE PROCESSING OF BUNCHED ORDERS, AND DID NOT EMPLOY ADEQUATE COMPLIANCE PROCEDURES TO MONITOR, DETECT, AND DETER UNUSUAL ACTIVITY CONCERNING BUNCHED ORDERS ALLOCATED POST-EXECUTION. THE ORDER ALSO FINDS THAT RJO DID NOT PREVENT THE CLIENT, WHO WAS PROHIBITED FROM DOING SO BY REGULATORY ACTIONS, FROM OPENING AND HANDLING CLIENT MANAGED ACCOUNTS AND WITHDRAWING FUNDS. THE ORDER FINDS THAT THESE SUPERVISORY FAILURES VIOLATED A 2013 COMMISSION ORDER, IN WHICH RJO WAS CHARGED WITH FAILURE TO SUPERVISE ITS EMPLOYEES IN THEIR PROCESSING OF CERTAIN BUNCHED ORDERS. THE NFA TOOK ACTION THE SAME DAY ON THE BASIS OF THE SAME EVENTS, FINDING THAT RJO VIOLATED NFA COMPLIANCE RULE 2-9(A). IN CONNECTION WITH THE SETTLEMENT, RJO PAID THE CFTC A CIVIL MONETARY PENALTY OF $600,000 AND AGREED TO CEASE AND DESIST FROM FURTHER VIOLATIONS OF REGULATION 166.3, AND PAID THE NFA A $150,000 FINE AND AGREED, TO THE EXTENT IT HAD NOT ALREADY DONE SO, TO ENHANCE ITS EXISTING PROCEDURES WHERE APPROPRIATE TO ENSURE THE EFFICIENT AND ADEQUATE SUPERVISION OF THE FIRM'S PROCESS FOR HANDLING ALLOCATIONS OF BUNCHED ORDERS AND TO ENSURE COMPLIANCE WITH ITS MEMBER RESPONSIBILITY ACTIONS. THE NFA ACKNOWLEDGED THE SUBSTANTIAL WORK THAT RJO HAS UNDERTAKEN SINCE 2014 TO REVIEW AND ENHANCE ITS SUPERVISORY POLICIES AND PROCEDURES. THE CFTC ALSO ACKNOWLEDGED THE REMEDIAL STEPS RJO HAS TAKEN SINCE 2014, INCLUDING IMPROVING AND ENHANCING ITS POLICIES, PROCEDURES AND PRACTICES. Status: Final Sanction Detail: RJO PAID THE CFTC A CIVIL MONETARY PENALTY OF $600,000 AND AGREED TO CEASE AND DESIST FROM FURTHER VIOLATIONS OF REGULATION 166.3, AND PAID THE NFA A $150,000 FINE Summary: THE NFA ACKNOWLEDGED THE SUBSTANTIAL WORK THAT RJO HAS UNDERTAKEN SINCE 2014 TO REVIEW AND ENHANCE ITS SUPERVISORY POLICIES AND PROCEDURES. THE CFTC ALSO ACKNOWLEDGED THE REMEDIAL STEPS RJO HAS TAKEN SINCE 2014, INCLUDING IMPROVING AND ENHANCING ITS POLICIES, PROCEDURES AND PRACTICES.

Disclosure text reproduced verbatim from the firm's own Form ADV filings.

How they charge

  • • Percentage of assets under management
  • • Fixed fees

Services

  • • Portfolio management for pooled investment vehicles
  • • Portfolio management for businesses/institutional clients

Custody

Reported custodians

Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).

Firm reports having custody of client funds or securities (Item 9.A).

Source

All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.

View current Form ADV (SEC/IAPD) ↗