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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

OBS FINANCIAL

OBS FINANCIAL SERVICES, INC., CRD 138615

PERRYSBURG, OH

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:dc28e83f-d7a0-4929-2678-41a4f1d7598d

Data as of Jun 25, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 5
On other graphs: 1
Observed: Feb 21, 2012 to Jun 25, 2020
26 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

OBS Financial

Investment consultant · shared crd

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: $1.9BItem 5.F on the latest filing (2020-06-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $861M
Private client RAUM: $927MderivedItem 5.D individuals plus high net worth individuals
Private client share: 48%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 29
Advisory employees: 13
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 4,642
Individual clients: 4,181
High net worth clients: 91
Custody, client assets: $702M
SEC number: 801-65110
CRD: 138615
Filings on the tape: 26
First filed: Feb 21, 2012
Latest filed: Jun 25, 2020
Organised: Corporation, Delaware

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
ASSETMARK FINANCIAL HOLDINGS, INC	SOLE SHAREHOLDER - INDIRECT OWNER	E	yes	03/2020	Mar 25, 2020	Jun 25, 2020
ASSETMARK FINANCIAL, INC	DIRECT OWNER	E	yes	03/2020	Mar 25, 2020	Jun 25, 2020
BLUE, CLAIRE, GOLVEO	CHIEF COMPLIANCE OFFICER	Na	yes	03/2020	Mar 25, 2020	Jun 25, 2020
GOLDMAN, CHARLES, GEORGE	CHIEF EXECUTIVE OFFICER	Na	yes	03/2020	Mar 25, 2020	Jun 25, 2020
OBS HOLDINGS, INC.	HOLDING COMPANY	E	yes	01/2006	Nov 7, 2012	Jun 25, 2020
WBI OBS FINANCIAL, LLC	Shareholder	E	yes	12/2011	Feb 21, 2012	Jun 25, 2020
ZYLA, GARY, GEORGE	CHIEF FINANCIAL OFFICER	Na	yes	03/2020	Mar 25, 2020	Jun 25, 2020

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
ASSETMARK, INC.	n/a	Bd affiliated wealth	$92B	N	yes	n/a
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	n/a	Former SEC adviser	$2.3B	N	yes	n/a
ASSETMARK BROKERAGE, LLC	n/a	n/a	n/a	N	yes	n/a
ASSETMARK RETIREMENT SERVICES, INC	n/a	n/a	n/a	N	yes	n/a
ASSETMARK TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
GLOBAL FINANCIAL ADVISORY, LLC	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
Harlingen	TX	United States	2	no
Mcallen	TX	United States	2	no
Lakeway	TX	United States	1	no

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
2019	Mar 25, 2020	$1.9B	$861M	29	13	3	n/a	n/a
2018	Mar 27, 2019	$1.8B	$700M	32	14	2	n/a	n/a
2017	Mar 26, 2018	$1.9B	$748M	32	16	2	n/a	n/a
2016	Mar 6, 2017	$1.5B	$537M	24	19	n/a	n/a	n/a
2015	Mar 24, 2016	$1.5B	$420M	22	18	n/a	n/a	n/a
2014	Mar 27, 2015	$1.8B	$292M	18	14	n/a	n/a	n/a
2013	Mar 28, 2014	$1.5B	$161M	19	14	n/a	n/a	n/a
2012	Mar 28, 2013	$1.1B	$0	19	3	n/a	n/a	n/a
2011	Feb 21, 2012	$901M	$0	n/a	n/a	n/a	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
2019	$1.9B	$1.8B	7.9%	$1.5B	7.7%	29	32	3	2

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
TRB WEALTH MANAGEMENT, LLC	5	Mar 31, 2021	Jul 27, 2020	CONCORD, CA	Firm absorbed	RIA to RIA	100.0%

Relationships

Affiliated with (3)

← GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviserother investment adviser, common control
factForm ADV
→ ASSETMARK, INC.Registered adviserother investment adviser, common control
factForm ADV
→ GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviserother investment adviser, common control
factForm ADV

Controls (6)

← BLUE, CLAIRE, GOLVEOOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 25, 2020 to presentfactForm ADV
← GOLDMAN, CHARLES, GEORGEOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 25, 2020 to presentfactForm ADV
← ZYLA, GARY, GEORGEOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 25, 2020 to presentfactForm ADV
← ASSETMARK FINANCIAL HOLDINGS, INCOwnerSOLE SHAREHOLDER - INDIRECT OWNER, ownership code E, domestic entity
Mar 25, 2020 to presentfactForm ADV
← OBS HOLDINGS, INC.OwnerHOLDING COMPANY, ownership code E, domestic entity
Nov 7, 2012 to presentfactForm ADV
← WBI OBS FINANCIAL, LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Feb 21, 2012 to presentfactForm ADV

Registered with (25)

← LINDA LORRAINE ROBERTSAdvisorregistration: previous registration
Mar 13, 2019 to Mar 31, 2021factForm ADV
← RICARDO GARCIA FUENTESAdvisorregistration: previous registration
May 14, 2018 to Mar 31, 2021factForm ADV
← Kevin WhitworthAdvisorregistration: previous registration
Aug 16, 2019 to Mar 31, 2021factForm ADV
← JOHN LEE TIPPITAdvisorregistration: previous registration
Oct 13, 2016 to Mar 31, 2021factForm ADV
← ROBERT RAIMOND FARRISAdvisorregistration: previous registration
Aug 21, 2015 to Mar 31, 2021factForm ADV
← John HenryAdvisorregistration: previous registration
Aug 1, 2014 to Mar 18, 2020factForm ADV
← CATHERINE ELIZABETH FARLEYAdvisorregistration: previous registration
Jan 14, 2013 to Mar 18, 2020factForm ADV
← Scott Daniel McQuillenAdvisorregistration: previous registration
Dec 19, 2017 to Jul 9, 2019factForm ADV
← MARGARET MARY WHELEHANAdvisorregistration: previous registration
Aug 14, 2008 to Sep 6, 2017factForm ADV
← DANIEL J ASPENLEITERAdvisorregistration: previous registration
Oct 31, 2011 to Apr 18, 2014factForm ADV
← DARRIN CLIFFORD CRITCHETAdvisorregistration: previous registration
Oct 19, 2006 to Jan 27, 2014factForm ADV
← JAMES WINFIELD HUNTINGTONAdvisorregistration: previous registration
May 19, 2008 to Jan 23, 2014factForm ADV
← BORIS MICHAEL NATYSHAKAdvisorregistration: previous registration
Jun 25, 2008 to Jan 21, 2014factForm ADV
← Joseph Patrick ColosimoAdvisorregistration: previous registration
Apr 21, 2011 to Mar 1, 2012factForm ADV
← DREW ADAM ECKLUNDAdvisorregistration: previous registration
Oct 15, 2008 to Nov 1, 2011factForm ADV
← TONI LYNNE PAUPAdvisorregistration: previous registration
Jan 27, 2011 to Nov 1, 2011factForm ADV
← CHARLOTTE BOWMAN SARGEANTAdvisorregistration: previous registration
Jul 12, 2006 to Oct 19, 2010factForm ADV
← SASHA MARIE WRIGHTAdvisorregistration: previous registration
Nov 26, 2007 to Oct 19, 2010factForm ADV
← LAYTON LEON JOHNAdvisorregistration: previous registration
Jul 17, 2007 to Jan 26, 2009factForm ADV
← BRADLEY HEATH OWENSAdvisorregistration: previous registration
Jul 17, 2007 to Jan 26, 2009factForm ADV
← JAMES THOMAS BUTOAdvisorregistration: previous registration
Oct 16, 2008 to Jan 12, 2009factForm ADV
← KENNETH LOWELL COOKAdvisorregistration: previous registration
Jul 11, 2006 to Aug 20, 2008factForm ADV
← KATHLEEN ANN TOLLISONAdvisorregistration: previous registration
Jul 13, 2006 to Aug 15, 2008factForm ADV
← THOMAS KESSEL ROGERSAdvisorregistration: previous registration
Aug 8, 2006 to Apr 22, 2008factForm ADV
← MATTHEW GARRY RINGLERAdvisorregistration: previous registration
Aug 8, 2006 to Jun 7, 2007factForm ADV

Moved with (1)

→ TRB WEALTH MANAGEMENT, LLCRegistered adviser4 advisors, firm absorbed, same day
Mar 31, 2021 to Jul 27, 2020factForm ADV

Dated events

Occurred
Mar 25, 2020
Control person left
Weldon John Henry (Chief Executive Officer) no longer on Schedule A of Obs Financial (listed 2019-03-27, absent 2020-03-25)
Form ADVobserved 5 days ago
Occurred
Mar 25, 2020
Control person left
Elizabeth Catherine Farley (Chief Operating Officer/Chief Compliance Officer) no longer on Schedule A of Obs Financial (listed 2019-03-27, absent 2020-03-25)
Form ADVobserved 5 days ago
Occurred
Mar 25, 2020
Control person joined
George Charles Goldman (Chief Executive Officer) appeared on Schedule A of Obs Financial
Form ADVobserved 5 days ago
Occurred
Mar 25, 2020
Control person joined
George Gary Zyla (Chief Financial Officer) appeared on Schedule A of Obs Financial
Form ADVobserved 5 days ago
Occurred
Mar 25, 2020
Control person joined
Golveo Claire Blue (Chief Compliance Officer) appeared on Schedule A of Obs Financial
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dc28e83f-d7a0-4929-2678-41a4f1d7598d
First observed: Feb 21, 2012
Last observed: Jun 25, 2020 75 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.

OBS FINANCIAL

OBS FINANCIAL SERVICES, INC., CRD 138615

PERRYSBURG, OH

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:dc28e83f-d7a0-4929-2678-41a4f1d7598d

Data as of Jun 25, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:12 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ASSETMARK FINANCIAL HOLDINGS, INC

SOLE SHAREHOLDER - INDIRECT OWNER

yes

03/2020

Mar 25, 2020

Jun 25, 2020

ASSETMARK FINANCIAL, INC

DIRECT OWNER

yes

03/2020

Mar 25, 2020

Jun 25, 2020

BLUE, CLAIRE, GOLVEO

CHIEF COMPLIANCE OFFICER

yes

03/2020

Mar 25, 2020

Jun 25, 2020

GOLDMAN, CHARLES, GEORGE

CHIEF EXECUTIVE OFFICER

yes

03/2020

Mar 25, 2020

Jun 25, 2020

OBS HOLDINGS, INC.

HOLDING COMPANY

yes

01/2006

Nov 7, 2012

Jun 25, 2020

WBI OBS FINANCIAL, LLC

Shareholder

yes

12/2011

Feb 21, 2012

Jun 25, 2020

ZYLA, GARY, GEORGE

CHIEF FINANCIAL OFFICER

yes

03/2020

Mar 25, 2020

Jun 25, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ASSETMARK, INC.

n/a

Bd affiliated wealth

$92B

yes

n/a

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

n/a

Former SEC adviser

$2.3B

yes

n/a

ASSETMARK BROKERAGE, LLC

n/a

yes

n/a

ASSETMARK RETIREMENT SERVICES, INC

n/a

yes

n/a

ASSETMARK TRUST COMPANY

n/a

yes

n/a

GLOBAL FINANCIAL ADVISORY, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Harlingen

United States

Mcallen

United States

Lakeway

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 25, 2020

$1.9B

$861M

n/a

2018

Mar 27, 2019

$1.8B

$700M

n/a

2017

Mar 26, 2018

$1.9B

$748M

n/a

2016

Mar 6, 2017

$1.5B

$537M

n/a

2015

Mar 24, 2016

$1.5B

$420M

n/a

2014

Mar 27, 2015

$1.8B

$292M

n/a

2013

Mar 28, 2014

$1.5B

$161M

n/a

2012

Mar 28, 2013

$1.1B

n/a

2011

Feb 21, 2012

$901M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$1.9B

$1.8B

7.9%

$1.5B

7.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

TRB WEALTH MANAGEMENT, LLC

Mar 31, 2021

Jul 27, 2020

CONCORD, CA

Firm absorbed

RIA to RIA

100.0%