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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

OAK TREE FINANCIAL SERVICES, LLC

GPS PLANNING SOLUTIONS, LLC, CRD 175281

HUNTSVILLE, AL

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:5139df70-b89a-fe78-5f76-8cc7e70b0fa4

Data as of Oct 12, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 7
On other graphs: 0
Observed: Feb 28, 2022 to Oct 12, 2023
6 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $112MItem 5.F on the latest filing (2023-10-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $112M
Private client RAUM: $110MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 349
Individual clients: 236
High net worth clients: 108
Custody, client assets: $73.6M
SEC number: 801-123562
CRD: 175281
Filings on the tape: 6
First filed: Feb 28, 2022
Latest filed: Oct 12, 2023
Organised: Limited Liability Company, Alabama

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
MOODY, RONNIE, PAUL	PRESIDENT / MANAGING PRINCIPAL	E	yes	05/2009	Feb 28, 2022	Oct 12, 2023

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
BRIAN MOODY	n/a	n/a	n/a	Y	no	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
2022	Mar 15, 2023	$112M	$112M	4	4	0	n/a	n/a

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
2022	$112M	n/a	n/a	n/a	n/a	2	n/a	0	n/a

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
IFG ADVISORY, LLC	2	Dec 31, 2023	Dec 11, 2023	HUNTSVILLE, AL	Team lift out	RIA to RIA	100.0%

Relationships

Controls (1)

← MOODY, RONNIE, PAULOwnerPRESIDENT / MANAGING PRINCIPAL, ownership code E, individual
Feb 28, 2022 to presentfactForm ADV

Registered with (5)

← RONNIE PAUL MOODYAdvisorregistration: previous registration
Apr 17, 2015 to Dec 31, 2023factForm ADV
← Brian Andrew MoodyAdvisorregistration: previous registration
Jan 20, 2022 to Dec 31, 2023factForm ADV
← RICHARD DANIEL GREGORYAdvisorregistration: previous registration
Jan 26, 2018 to Oct 2, 2023factForm ADV
← JONATHAN SCOTT HORNSBYAdvisorregistration: previous registration
May 2, 2019 to Sep 6, 2023factForm ADV
← Miranda YountAdvisorregistration: previous registration
Sep 4, 2015 to Aug 21, 2018factForm ADV

Moved with (1)

→ IFG ADVISORY, LLCRegistered adviser2 advisors, team lift out, same day
Dec 31, 2023 to Dec 11, 2023factForm ADV

Dated events

Occurred
Dec 31, 2023
Team lift-out
2 advisors left Oak Tree Financial Services, LLC (Huntsville, AL) for Ifg Advisory, LLC on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Dec 31, 2023
Advisor changed firm
Brian Andrew Moody left Oak Tree Financial Services, Llc for Ifg Advisory, Llc (registered 2023-12-11)
Form ADVobserved 5 days ago
Occurred
Dec 31, 2023
Advisor changed firm
Ronnie Paul Moody left Oak Tree Financial Services, Llc for Ifg Advisory, Llc (registered 2023-12-11)
Form ADVobserved 5 days ago
Occurred
Oct 12, 2023
Control person left
Daniel Richard Gregory (Chief Compliance Officer) no longer on Schedule A of Oak Tree Financial Services, Llc (listed 2023-03-15, absent 2023-10-12)
Form ADVobserved 5 days ago
Occurred
Oct 2, 2023
Advisor changed firm
Richard Daniel Gregory left Oak Tree Financial Services, Llc for Cambridge Investment Research Advisors, Inc. (registered 2023-10-04)
Form ADVobserved 5 days ago
Occurred
Sep 6, 2023
Advisor changed firm
Jonathan Scott Hornsby left Oak Tree Financial Services, Llc for Cambridge Investment Research Advisors, Inc. (registered 2023-08-01)
Form ADVobserved 5 days ago
Occurred
Feb 28, 2022
First Form ADV filing
Oak Tree Financial Services, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5139df70-b89a-fe78-5f76-8cc7e70b0fa4
First observed: Feb 28, 2022
Last observed: Oct 12, 2023 35 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 TREE FINANCIAL SERVICES, LLC

GPS PLANNING SOLUTIONS, LLC, CRD 175281

HUNTSVILLE, AL

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:5139df70-b89a-fe78-5f76-8cc7e70b0fa4

Data as of Oct 12, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:56 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MOODY, RONNIE, PAUL

PRESIDENT / MANAGING PRINCIPAL

yes

05/2009

Feb 28, 2022

Oct 12, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BRIAN MOODY

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 15, 2023

$112M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$112M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

IFG ADVISORY, LLC

Dec 31, 2023

Dec 11, 2023

HUNTSVILLE, AL

Team lift out

RIA to RIA

100.0%