DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

OAK RIDGE INVESTMENTS, LLC

CRD 107066

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:206f3ff0-26cc-77cb-e8b8-c557b91da563

Data as of May 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 13
On other graphs: 0
Observed: Mar 30, 2012 to May 4, 2026
34 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.84 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.7BItem 5.F on the latest filing (2026-05-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.7B
Private client RAUM: $1.4BderivedItem 5.D individuals plus high net worth individuals
Private client share: 84%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $852Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 13
Advisory employees: 11
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 3,920
Individual clients: 3,626
High net worth clients: 197
SEC number: 801-35529
CIK: 1054554
CRD: 107066
Filings on the tape: 34
First filed: Mar 30, 2012
Latest filed: May 4, 2026
Organised: Limited Liability Company, DE

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
DAVID MICHAEL KLASKIN	n/a	CHICAGO, IL	28	43	n/a	no
ROBERT GREGG MCVICKER	n/a	CHICAGO, IL	24	35	n/a	no

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
OAK RIDGE SGS HEALTHCARE FUND LLC	Other Private Fund	$8.4M	Mar 30, 2017	20	Mar 31, 2014	dropped	021-205625

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BRINCKERHOFF, JOHN, KANE	Coo	B	yes	12/2018	May 4, 2026	May 4, 2026
KLASKIN, DAVID, MICHAEL	MANAGER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER, MEMBER	Na	yes	01/1990	May 4, 2026	May 4, 2026
MCVICKER, ROBERT, GREGG	MANAGER, MEMBER	B	yes	03/2019	May 4, 2026	May 4, 2026
GOODWIN, MARK, DAVID	Manager	Na	yes	09/2015	Mar 30, 2012	Oct 11, 2024
SCAVETTI, JOSEPH, JULIAN	CHIEF COMPLIANCE OFFICER	Na	no	10/2024	May 4, 2026	May 4, 2026
CUMMINS, NEIL, ANTHONY	Member	B	no	10/2014	Mar 31, 2014	Oct 11, 2024
NSI HOLDCO LLC	Member	B	no	07/2018	Jun 29, 2021	Oct 11, 2024
PETERS, JOHN, EDWARD	Member	A	no	07/2002	Mar 30, 2012	Oct 11, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CSM ADVISORS, LLC	n/a	Institutional manager	$12B	N	yes	n/a
NORTH SQUARE INVESTMENTS, LLC	n/a	Asset manager	$3.2B	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 16, 2026	$1.7B	$1.7B	13	11	0	n/a	n/a
2024	Mar 28, 2025	$1.3B	$1.3B	13	9	0	n/a	n/a
2023	Mar 13, 2024	$900M	$900M	11	8	0	n/a	n/a
2022	Mar 9, 2023	$708M	$708M	11	11	0	n/a	n/a
2021	Mar 24, 2022	$1.2B	$1.2B	11	11	0	n/a	n/a
2020	Mar 31, 2021	$1.1B	$1.1B	11	11	0	n/a	n/a
2019	Apr 1, 2020	$1.1B	$1.1B	11	11	0	n/a	n/a
2018	Mar 29, 2019	$1.3B	$1.3B	11	11	0	n/a	n/a
2017	Mar 30, 2018	$2.0B	$2.0B	37	30	0	n/a	n/a
2016	Mar 30, 2017	$3.3B	$3.3B	37	30	n/a	1	$8.4M
2015	Mar 9, 2016	$4.4B	$4.4B	39	31	n/a	1	$11.5M
2014	Mar 16, 2015	$4.2B	$4.2B	36	27	n/a	1	$10.4M
2013	Mar 31, 2014	$4.0B	$4.0B	30	29	n/a	1	$9.8M
2012	Mar 28, 2013	$2.9B	$2.9B	30	29	n/a	n/a	n/a
2011	Mar 30, 2012	$2.7B	$2.7B	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.7B	$1.3B	30.5%	$708M	34.0%	13	13	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
NORTH SQUARE INVESTMENTS, LLC	3	Aug 15, 2018	May 11, 2019	CHICAGO, IL	Firm absorbed	RIA to new firm	60.0%

Relationships

Affiliated with (2)

→ NORTH SQUARE INVESTMENTS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CS MCKEERegistered adviserother investment adviser, common control
factForm ADV

Registered with (11)

← ROBERT GREGG MCVICKERAdvisorregistration: current employment
Jul 22, 2002 to presentfactForm ADV
← DAVID MICHAEL KLASKINAdvisorregistration: current employment
Jan 2, 1998 to presentfactForm ADV
← PHILIP JAMES CALLAHANAdvisorregistration: previous registration
Mar 24, 2015 to Aug 15, 2018factForm ADV
← James Joseph BarclayAdvisorregistration: previous registration
Jul 8, 2015 to Aug 15, 2018factForm ADV
← Kierstin Renee GreenAdvisorregistration: previous registration
Aug 30, 2017 to Aug 15, 2018factForm ADV
← MALCOLM JOSEPH LUNNAdvisorregistration: previous registration
Oct 17, 2014 to Aug 8, 2016factForm ADV
← Christopher L. WilliamsAdvisorregistration: previous registration
Jul 27, 2012 to Oct 3, 2014factForm ADV
← JAMES WESLEY BABSONAdvisorregistration: previous registration
Jun 19, 2006 to Mar 17, 2014factForm ADV
← DANIEL PHILIP DELANYAdvisorregistration: previous registration
Jun 9, 2006 to Jan 31, 2012factForm ADV
← MICHAEL HENRY SANDOWAdvisorregistration: previous registration
Aug 14, 2009 to Jan 24, 2011factForm ADV
← CHRISTOPHER J COLLINSAdvisorregistration: previous registration
Jul 19, 2002 to Aug 4, 2010factForm ADV

Controls (4)

← KLASKIN, DAVID, MICHAELOwnerMANAGER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER, MEMBER, ownership code C, individual
Mar 30, 2012 to Oct 11, 2024factForm ADV
← MCVICKER, ROBERT, GREGGOwnerMANAGER, MEMBER, ownership code NA, individual
Mar 29, 2019 to Oct 11, 2024factForm ADV
← GOODWIN, MARK, DAVIDOwnerMANAGER, ownership code NA, individual
Mar 30, 2012 to Oct 11, 2024factForm ADV
← BRINCKERHOFF, JOHN, KANEOwnerCOO, ownership code NA, individual
Jun 29, 2021 to Oct 11, 2024factForm ADV

Owns (4)

← CUMMINS, NEIL, ANTHONYOwnerMEMBER, ownership code B, individual
Mar 31, 2014 to Oct 11, 2024factForm ADV
← SCAVETTI, JOSEPH, JULIANOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 11, 2024 to Oct 11, 2024factForm ADV
← PETERS, JOHN, EDWARDOwnerMEMBER, ownership code A, individual
Mar 30, 2012 to Oct 11, 2024factForm ADV
← NSI HOLDCO LLCOwnerMEMBER, ownership code B, domestic entity
Jun 29, 2021 to Oct 11, 2024factForm ADV

Moved with (1)

→ NORTH SQUARE INVESTMENTS, LLCRegistered adviser3 advisors, firm absorbed, same day
Aug 15, 2018 to May 11, 2019factForm ADV

Advises (1)

→ OAK RIDGE SGS HEALTHCARE FUND LLCPrivate fundOther Private Fund, IA, no longer reported
Mar 31, 2014 to Mar 30, 2017factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 16, 2026
Regulatory AUM changed
Oak Ridge Investments, Llc reported RAUM $1.7B, up 31% from $1.3B (2025-12-02 to 2026-03-16)
Form ADVobserved 4 days ago
$399M
Occurred
Mar 28, 2025
Regulatory AUM changed
Oak Ridge Investments, Llc reported RAUM $1.3B, up 45% from $899.9M (2024-10-11 to 2025-03-28)
Form ADVobserved 4 days ago
$406M
Occurred
Mar 13, 2024
Regulatory AUM changed
Oak Ridge Investments, Llc reported RAUM $899.9M, up 27% from $708.4M (2023-11-10 to 2024-03-13)
Form ADVobserved 4 days ago
$191M
Occurred
Mar 9, 2023
Regulatory AUM changed
Oak Ridge Investments, Llc reported RAUM $708.4M, down 42% from $1.2B (2022-08-17 to 2023-03-09)
Form ADVobserved 4 days ago
$-513M
Occurred
Jun 29, 2021
Control person left
Scott Kenneth Kailin (Chief Compliance Officer, Executive Vice President, Member) no longer on Schedule A of Oak Ridge Investments, Llc (listed 2021-03-31, absent 2021-06-29)
Form ADVobserved 4 days ago
Occurred
Jun 29, 2021
Control person joined
Kane John Brinckerhoff (Coo) appeared on Schedule A of Oak Ridge Investments, Llc
Form ADVobserved 4 days ago
Occurred
Mar 29, 2019
Regulatory AUM changed
Oak Ridge Investments, Llc reported RAUM $1.3B, down 37% from $2.0B (2018-03-30 to 2019-03-29)
Form ADVobserved 4 days ago
$-731M
Occurred
Mar 29, 2019
Control person joined
Scott Kenneth Kailin (Chief Compliance Officer, Executive Vice President, Member) appeared on Schedule A of Oak Ridge Investments, Llc
Form ADVobserved 4 days ago
Occurred
Mar 29, 2019
Control person joined
Gregg Robert Mcvicker (Manager, Member) appeared on Schedule A of Oak Ridge Investments, Llc
Form ADVobserved 4 days ago
Occurred
Mar 29, 2019
Control person left
Eugene Alan Molotsky (Manager, Chief Financial Officer, Chief Compliance Officer, Executive V.P.) no longer on Schedule A of Oak Ridge Investments, Llc (listed 2018-03-30, absent 2019-03-29)
Form ADVobserved 4 days ago
Occurred
Mar 29, 2019
Control person left
John David Gaspar (Chief Operations & Information Officer, Executive V.P.) no longer on Schedule A of Oak Ridge Investments, Llc (listed 2018-03-30, absent 2019-03-29)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2018
Regulatory AUM changed
Oak Ridge Investments, Llc reported RAUM $2.0B, down 39% from $3.3B (2017-03-30 to 2018-03-30)
Form ADVobserved 4 days ago
$-1.3B

Show 1 bookkeeping events

Occurred
Mar 29, 2019
Oak Ridge Investments, Llc reported 3 state-registered advisory representatives, down from 13 (2018-03-30 to 2019-03-29)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:206f3ff0-26cc-77cb-e8b8-c557b91da563
First observed: Mar 30, 2012
Last observed: May 4, 2026 4 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

OAK RIDGE INVESTMENTS, LLC

CRD 107066

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:206f3ff0-26cc-77cb-e8b8-c557b91da563

Data as of May 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:51 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DAVID MICHAEL KLASKIN

n/a

CHICAGO, IL

n/a

ROBERT GREGG MCVICKER

n/a

CHICAGO, IL

n/a

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

OAK RIDGE SGS HEALTHCARE FUND LLC

Other Private Fund

$8.4M

Mar 30, 2017

Mar 31, 2014

dropped

021-205625

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BRINCKERHOFF, JOHN, KANE

Coo

yes

12/2018

May 4, 2026

KLASKIN, DAVID, MICHAEL

MANAGER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER, MEMBER

yes

01/1990

May 4, 2026

MCVICKER, ROBERT, GREGG

MANAGER, MEMBER

yes

03/2019

May 4, 2026

GOODWIN, MARK, DAVID

Manager

yes

09/2015

Mar 30, 2012

Oct 11, 2024

SCAVETTI, JOSEPH, JULIAN

CHIEF COMPLIANCE OFFICER

10/2024

May 4, 2026

CUMMINS, NEIL, ANTHONY

Member

10/2014

Mar 31, 2014

Oct 11, 2024

NSI HOLDCO LLC

Member

07/2018

Jun 29, 2021

Oct 11, 2024

PETERS, JOHN, EDWARD

Member

07/2002

Mar 30, 2012

Oct 11, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CSM ADVISORS, LLC

n/a

Institutional manager

$12B

yes

n/a

NORTH SQUARE INVESTMENTS, LLC

n/a

Asset manager

$3.2B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 16, 2026

$1.7B

n/a

2024

Mar 28, 2025

$1.3B

n/a

2023

Mar 13, 2024

$900M

n/a

2022

Mar 9, 2023

$708M

n/a

2021

Mar 24, 2022

$1.2B

n/a

2020

Mar 31, 2021

$1.1B

n/a

2019

Apr 1, 2020

$1.1B

n/a

2018

Mar 29, 2019

$1.3B

n/a

2017

Mar 30, 2018

$2.0B

n/a

2016

Mar 30, 2017

$3.3B

n/a

$8.4M

2015

Mar 9, 2016

$4.4B

n/a

$11.5M

2014

Mar 16, 2015

$4.2B

n/a

$10.4M

2013

Mar 31, 2014

$4.0B

n/a

$9.8M

2012

Mar 28, 2013

$2.9B

n/a

2011

Mar 30, 2012

$2.7B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.7B

$1.3B

30.5%

$708M

34.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

NORTH SQUARE INVESTMENTS, LLC

Aug 15, 2018

May 11, 2019

CHICAGO, IL

Firm absorbed

RIA to new firm

60.0%