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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

OAKWOOD CAPITAL, INC.

CRD 112399

ST. LOUIS PARK, MN

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:47a7f9c4-df0f-3e44-61c8-6955e67decd4

Data as of May 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 50
Dated events: 12
On other graphs: 0
Observed: Mar 28, 2012 to May 12, 2026
24 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=0.86 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=18.0
Regulatory AUM: $304MItem 5.F on the latest filing (2026-05-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $86.7M
Private client RAUM: $263MderivedItem 5.D individuals plus high net worth individuals
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 21
RAUM per advisor: $14.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 20
Advisory employees: 18
Offices: 14Schedule D 1.F, beyond the principal office
Accounts: 1,051
Individual clients: 427
High net worth clients: 181
SEC number: 801-120259
CRD: 112399
Filings on the tape: 24
First filed: Mar 28, 2012
Latest filed: May 12, 2026
Organised: Corporation, MN
Website: oakwoodcapital.com

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
WENDY WAALEN	n/a	Fargo, ND \| ST. LOUIS PARK, MN	15	18	2	yes
DAVID BOWER STEVENSON	n/a	ST. LOUIS PARK, MN \| Edina, MN	14	43	2	yes
RICHARD KENNETH SUNDERLAND	n/a	Golden Valley, MN \| ST. LOUIS PARK, MN	13	60	3	yes
ROBERT ALAN STROMMEN	n/a	ST. LOUIS PARK, MN \| Naples, FL	12	48	1	yes
DANIEL JOSEPH COLICH	n/a	CHANHASSEN, MN \| ST. LOUIS PARK, MN	12	41	2	yes
JEFFREY ROY SCHUUR	n/a	ST. LOUIS PARK, MN \| St Louis Park, MN	12	32	1	yes
JOHN F DEVEREAUX	n/a	ST. LOUIS PARK, MN \| EDINA, MN	12	22	4	yes
JONATHAN DREW LONDON	n/a	ST. LOUIS PARK, MN \| New Hope, MN	12	20	2	yes
COREY DAVID PEDERSON	Certified Financial Planner\|Chartered Financial Consultant	St Paul, MN \| ST. LOUIS PARK, MN	10	29	3	yes
DARRELL ALVE MCCROSKEY	n/a	Fargo, ND \| ST. LOUIS PARK, MN	10	44	2	no
JON DANIEL BREIMHORST	Certified Financial Planner	ST. LOUIS PARK, MN \| Prescott, WI	8	15	3	yes
DOUGLAS STEPHAN KING	Certified Financial Planner	Fort Myers, FL \| ST. LOUIS PARK, MN	6	41	4	yes
JASON THOMAS KING	Certified Financial Planner	ST. LOUIS PARK, MN	6	10	4	yes
Brandon Douglas King	n/a	ST. LOUIS PARK, MN	5	10	n/a	yes
PAUL C SELSOR	n/a	ST. LOUIS PARK, MN \| Pasadena, CA	3	13	1	yes
MICHAEL WILLIAM MULLINS	n/a	Bermuda Dunes, CA \| ST. LOUIS PARK, MN	3	39	5	no
Ryan Michael Weiss	n/a	ST. LOUIS PARK, MN \| Richfield, MN	0	11	n/a	yes
Carol Ann Goetsch	n/a	Maple Grove, MN \| ST. LOUIS PARK, MN	0	26	4	yes
Steven Michael Fromm	n/a	ST. LOUIS PARK, MN \| Saint Augustine, FL	0	16	n/a	yes
Brian Scott Schaefer	n/a	Maitland, FL \| ST. LOUIS PARK, MN	0	36	2	yes
JOSEPH LOY MACK	n/a	Maitland, FL \| ST. LOUIS PARK, MN	0	20	1	yes

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
King, Brandon, Douglas	Owner	B	yes	01/2024	Mar 27, 2024	Mar 27, 2024
KING, DOUGLAS, STEPHAN	PRESIDENT & CCO	Na	yes	05/2020	Jan 4, 2021	Mar 27, 2024
KING, DOUGLAS, STEPHAN	Trustee	F	yes	05/2020	Jan 4, 2021	Mar 27, 2024
KING, JASON, THOMAS	Trustee	F	yes	01/2024	Mar 27, 2024	Mar 27, 2024
KING, KATHRYN, W	Trustee	F	yes	05/2020	Jan 22, 2021	Mar 27, 2024
THE DOUGLAS S KING AND KATHRYN W KING LIVING TRUST	Owner	E	yes	05/2020	Mar 27, 2024	Mar 27, 2024
THE JASON & KELSEY KING REVOCABLE LIVING TRUST	Owner	B	yes	01/2024	Mar 27, 2024	Mar 27, 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
OAKWOOD CAPITAL SECURITIES, INC.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
FORT MYERS	FL	United States	4	yes
Fargo	Nd	United States	2	yes
Fargo	Nd	United States	2	yes
Minneapolis	Mn	United States	1	yes
ST. PAUL	Mn	United States	1	yes
Prescott	Wi	United States	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes

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; showing 7 of 8

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$304M	$86.7M	20	18	14	n/a	n/a
2024	Feb 26, 2025	$260M	$87.1M	20	18	14	n/a	n/a
2023	Mar 27, 2024	$221M	$21.8M	20	18	14	n/a	n/a
2022	Mar 31, 2023	$196M	$17.8M	20	18	14	n/a	n/a
2021	Mar 31, 2022	$198M	$764,910	20	19	15	n/a	n/a
2020	Mar 30, 2021	$159M	$0	20	16	14	n/a	n/a
2011	Mar 28, 2012	$70.9M	$0	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
3	1	2	4.8%	2	0	0	4	2

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	$304M	$260M	16.9%	$196M	15.8%	20	20	14	14

Relationships

Registered with (28)

← Brian Scott SchaeferAdvisorregistration: current employment
Sep 4, 2026 to presentfactForm ADV
← Steven Michael FrommAdvisorregistration: current employment
May 13, 2026 to presentfactForm ADV
← Carol Ann GoetschAdvisorregistration: current employment
Apr 14, 2026 to presentfactForm ADV
← Ryan Michael WeissAdvisorregistration: current employment
Jan 7, 2026 to presentfactForm ADV
← MICHAEL WILLIAM MULLINSAdvisorregistration: previous registration
Sep 27, 2019 to Dec 31, 2020factForm ADV
← PAUL C SELSORAdvisorregistration: current employment
Mar 1, 2023 to presentfactForm ADV
← JASON WILLIAM ROESKEAdvisorregistration: current employment
Apr 7, 2022 to presentfactForm ADV
← Brandon Douglas KingAdvisorregistration: current employment
Mar 11, 2021 to presentfactForm ADV
← JASON THOMAS KINGAdvisorregistration: previous registration
Jul 2, 2020 to Dec 31, 2020factForm ADV
← DOUGLAS STEPHAN KINGAdvisorregistration: previous registration
Apr 30, 2020 to Dec 31, 2020factForm ADV
← JON DANIEL BREIMHORSTAdvisorregistration: previous registration
Jul 26, 2018 to Dec 31, 2020factForm ADV
← DARRELL ALVE MCCROSKEYAdvisorregistration: previous registration
Jun 14, 2016 to Dec 31, 2020factForm ADV
← COREY DAVID PEDERSONAdvisorregistration: previous registration
Dec 8, 2015 to Dec 31, 2020factForm ADV
← DANIEL JOSEPH COLICHAdvisorregistration: previous registration
Jan 17, 2014 to Dec 31, 2020factForm ADV
← JEFFREY ROY SCHUURAdvisorregistration: previous registration
Jan 17, 2014 to Dec 31, 2020factForm ADV
← JOHN F DEVEREAUXAdvisorregistration: previous registration
Jan 17, 2014 to Dec 31, 2020factForm ADV
← JONATHAN DREW LONDONAdvisorregistration: previous registration
Jan 17, 2014 to Dec 31, 2020factForm ADV
← ROBERT ALAN STROMMENAdvisorregistration: previous registration
Oct 25, 2013 to Dec 31, 2020factForm ADV
← RICHARD KENNETH SUNDERLANDAdvisorregistration: previous registration
Mar 20, 2013 to Dec 31, 2020factForm ADV
← DAVID BOWER STEVENSONAdvisorregistration: previous registration
Jul 24, 2012 to Dec 31, 2020factForm ADV
← WENDY WAALENAdvisorregistration: previous registration
Aug 15, 2011 to Dec 31, 2020factForm ADV
← Justin Lee PierceAdvisorregistration: previous registration
Mar 5, 2025 to Jan 14, 2026factForm ADV
← Brandon Douglas VincentAdvisorregistration: previous registration
Dec 19, 2022 to Jun 17, 2024factForm ADV
← WILLIAM DAVID RICHARDSONAdvisorregistration: previous registration
May 27, 2020 to Mar 10, 2023factForm ADV
← JILL ANNE VEENSTRAAdvisorregistration: previous registration
Mar 22, 2022 to May 2, 2022factForm ADV
← DOUGLAS EUGENE HENKEAdvisorregistration: previous registration
Nov 30, 2017 to Jul 15, 2019factForm ADV
← DAVID MICHAEL MANNAdvisorregistration: previous registration
Mar 29, 2010 to Nov 13, 2015factForm ADV
← RYAN MICHAEL CARLSONAdvisorregistration: previous registration
Jan 12, 2009 to Jan 28, 2013factForm ADV

Controls (6)

← KING, DOUGLAS, STEPHANOwnerTRUSTEE, ownership code F, individual
Jan 4, 2021 to Mar 27, 2024factForm ADV
← KING, JASON, THOMASOwnerTRUSTEE, ownership code F, individual
Mar 27, 2024 to Mar 27, 2024factForm ADV
← King, Brandon, DouglasOwnerOWNER, ownership code B, individual
Mar 27, 2024 to Mar 27, 2024factForm ADV
← KING, KATHRYN, WOwnerTRUSTEE, ownership code F, individual
Jan 22, 2021 to Mar 27, 2024factForm ADV
← THE DOUGLAS S KING AND KATHRYN W KING LIVING TRUSTOwnerOWNER, ownership code E, domestic entity
Mar 27, 2024 to Mar 27, 2024factForm ADV
← THE JASON & KELSEY KING REVOCABLE LIVING TRUSTOwnerOWNER, ownership code B, domestic entity
Mar 27, 2024 to Mar 27, 2024factForm ADV

Dated events

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

Occurred
Jan 14, 2026
Advisor changed firm
Justin Lee Pierce left Oakwood Capital, Inc. for Alphastar Capital Management (registered 2025-12-23)
Form ADVobserved 4 days ago
Occurred
Jun 17, 2024
Advisor changed firm
Brandon Douglas Vincent left Oakwood Capital, Inc. for Good Life Advisors, Llc (registered 2024-06-26)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2024
Control person joined
Douglas Brandon King (Owner) appeared on Schedule A of Oakwood Capital, Inc.
Form ADVobserved 4 days ago
Occurred
Mar 27, 2024
Control person joined
Thomas Jason King (Trustee) appeared on Schedule A of Oakwood Capital, Inc.
Form ADVobserved 4 days ago
Occurred
Mar 10, 2023
Advisor changed firm
William David Richardson left Oakwood Capital, Inc. for Sound Income Strategies, Llc (registered 2023-03-16)
Form ADVobserved 4 days ago
Occurred
May 2, 2022
Advisor changed firm
Jill Anne Veenstra left Oakwood Capital, Inc. for Regal Investment Advisors Llc (registered 2024-12-09)
Form ADVobserved 4 days ago
Occurred
Jan 22, 2021
Control person joined
W Kathryn King (Trustee) appeared on Schedule A of Oakwood Capital, Inc.
Form ADVobserved 4 days ago
Occurred
Jan 4, 2021
Control person joined
Stephan Douglas King (President & Cco) appeared on Schedule A of Oakwood Capital, Inc.
Form ADVobserved 4 days ago
Occurred
Jan 4, 2021
First Form ADV filing
Gardner Advisors Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago
Occurred
Jan 4, 2021
Control person left
Owen Larry Bumgardner (President/Chief Compliance Officer) no longer on Schedule A of Oakwood Capital, Inc. (listed 2012-05-04, absent 2021-01-04)
Form ADVobserved 4 days ago

Show 2 bookkeeping events

Occurred
Sep 17, 2026
Joseph Loy Mack registered as an investment adviser representative at Oakwood Capital, Inc.
Occurred
Jan 4, 2021
Oakwood Capital, Inc. reported 16 state-registered advisory representatives, up from 0 (2012-05-04 to 2021-01-04)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:47a7f9c4-df0f-3e44-61c8-6955e67decd4
First observed: Mar 28, 2012
Last observed: May 12, 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.

OAKWOOD CAPITAL, INC.

CRD 112399

ST. LOUIS PARK, MN

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:47a7f9c4-df0f-3e44-61c8-6955e67decd4

Data as of May 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:55 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

WENDY WAALEN

n/a

Fargo, ND | ST. LOUIS PARK, MN

yes

DAVID BOWER STEVENSON

n/a

ST. LOUIS PARK, MN | Edina, MN

yes

RICHARD KENNETH SUNDERLAND

n/a

Golden Valley, MN | ST. LOUIS PARK, MN

yes

ROBERT ALAN STROMMEN

n/a

ST. LOUIS PARK, MN | Naples, FL

yes

DANIEL JOSEPH COLICH

n/a

CHANHASSEN, MN | ST. LOUIS PARK, MN

yes

JEFFREY ROY SCHUUR

n/a

ST. LOUIS PARK, MN | St Louis Park, MN

yes

JOHN F DEVEREAUX

n/a

ST. LOUIS PARK, MN | EDINA, MN

yes

JONATHAN DREW LONDON

n/a

ST. LOUIS PARK, MN | New Hope, MN

yes

COREY DAVID PEDERSON

Certified Financial Planner|Chartered Financial Consultant

St Paul, MN | ST. LOUIS PARK, MN

yes

DARRELL ALVE MCCROSKEY

n/a

Fargo, ND | ST. LOUIS PARK, MN

JON DANIEL BREIMHORST

Certified Financial Planner

ST. LOUIS PARK, MN | Prescott, WI

yes

DOUGLAS STEPHAN KING

Certified Financial Planner

Fort Myers, FL | ST. LOUIS PARK, MN

yes

JASON THOMAS KING

Certified Financial Planner

ST. LOUIS PARK, MN

yes

Brandon Douglas King

n/a

ST. LOUIS PARK, MN

n/a

yes

PAUL C SELSOR

n/a

ST. LOUIS PARK, MN | Pasadena, CA

yes

MICHAEL WILLIAM MULLINS

n/a

Bermuda Dunes, CA | ST. LOUIS PARK, MN

Ryan Michael Weiss

n/a

ST. LOUIS PARK, MN | Richfield, MN

n/a

yes

Carol Ann Goetsch

n/a

Maple Grove, MN | ST. LOUIS PARK, MN

yes

Steven Michael Fromm

n/a

ST. LOUIS PARK, MN | Saint Augustine, FL

n/a

yes

Brian Scott Schaefer

n/a

Maitland, FL | ST. LOUIS PARK, MN

yes

JOSEPH LOY MACK

n/a

Maitland, FL | ST. LOUIS PARK, MN

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

King, Brandon, Douglas

Owner

yes

01/2024

Mar 27, 2024

KING, DOUGLAS, STEPHAN

PRESIDENT & CCO

yes

05/2020

Jan 4, 2021

Mar 27, 2024

KING, DOUGLAS, STEPHAN

Trustee

yes

05/2020

Jan 4, 2021

Mar 27, 2024

KING, JASON, THOMAS

Trustee

yes

01/2024

Mar 27, 2024

KING, KATHRYN, W

Trustee

yes

05/2020

Jan 22, 2021

Mar 27, 2024

THE DOUGLAS S KING AND KATHRYN W KING LIVING TRUST

Owner

yes

05/2020

Mar 27, 2024

THE JASON & KELSEY KING REVOCABLE LIVING TRUST

Owner

yes

01/2024

Mar 27, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

OAKWOOD CAPITAL SECURITIES, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

FORT MYERS

United States

yes

Fargo

United States

yes

Fargo

United States

yes

Minneapolis

United States

yes

ST. PAUL

United States

yes

Prescott

United States

yes

n/a

yes

n/a

yes

n/a

yes

n/a

yes

n/a

yes

n/a

yes

n/a

yes

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$304M

$86.7M

n/a

2024

Feb 26, 2025

$260M

$87.1M

n/a

2023

Mar 27, 2024

$221M

$21.8M

n/a

2022

Mar 31, 2023

$196M

$17.8M

n/a

2021

Mar 31, 2022

$198M

$764,910

n/a

2020

Mar 30, 2021

$159M

n/a

2011

Mar 28, 2012

$70.9M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

4.8%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$304M

$260M

16.9%

$196M

15.8%