Overview
A. Describe your advisory firm, including how long you have been in business. Identify your
principal owner(s).
a. O’Neil Global Advisors Incorporated (“OGA”) is a Delaware corporation that was
founded in 2019. OGA is a wholly owned subsidiary of O’Neil Capital Management Inc.
(“OCM”), a California corporation that was formed in 2010 to manage the investments
of the O’Neil family office. As of February 4, 2020, management responsibilities for
quantitative strategies were transferred from OCM to OGA. As of January 1, 2021,
management responsibilities for all non-quantitative investments were transferred from
OCM to OGA.
b. OCM is a wholly owned subsidiary of Data Analysis Inc. (“DAI”), a California corporation.
DAI was founded in 1984 as a holding company whose primary mission is to provide
shared services for its operating subsidiaries. The beneficial owners of DAI are a series
of legal trust instruments created for the benefit of the O’Neil family.
B. Describe the types of advisory services you offer.
a. OGA is a global investment advisor that implements strategies which include both
technical analysis strategies that are implemented by portfolio managers and
quantitative systematic strategies that are developed by OGA’s quantitative strategies
team. Both strategies utilize the O’Neil Methodology, which is based on technical
analysis and unique stock picking process. OGA focuses primarily
on equity investments
in the US and other developed and emerging markets. Individual strategies may use
proprietary ratings, quantitative factors, machine learning models, historical precedent
analysis, and rules-based portfolio construction techniques.
C. Explain whether (and, if so, how) you tailor your advisory services to the individual needs of
clients.
a. OGA serves as the investment advisor, with discretionary trading authority, to pooled
investment vehicles, the securities of which are offered to investors on a private
placement basis (each, a “Fund” and collectively, the “Funds”), as well as investment
advisor, with discretionary trading authority, to separately managed accounts (each, a
“SMA” and collectively, the “SMAs”). Any use of the term “Client” in this Brochure
refers to the Funds or SMAs.
b. OGA’s services are tailored to the investment objectives and guidelines of Clients
through a process that is described in Item 8.
D. If you participate in wrap fee programs .
a. OGA does not participate in wrap-fee programs.
E. If you manage client assets, disclose the amount of client assets you manage on a
discretionary basis and the amount of client assets you manage on a non-discretionary basis.
a. As of February 28, 2023, OGA had $294 million USD in assets under management. OGA
does not manage any Client assets on a non-discretionary basis.