DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
O••••••• A•••• M••••••••• I••
Latest filing Sep 8, 2026
First filing on the tape Mar 30, 2012 · 30 filings
SEC status approved since Jan 4, 1990
RAUM
$5.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.3%
$64.6M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$723M
derived; firm RAUM over IAPD count
Employees
31
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$5.1B as of Mar 31, 2026
Mar 30, 2012$586M then
HNW client RAUM$49.9M as of Mar 31, 2026
Mar 29, 2018$59.6M then
State-registered IARs (5.B.3)7 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)31 as of Mar 31, 2026
Apr 1, 201323 then
Private funds1 as of Mar 31, 2026
Mar 31, 20211 then
RAUM +28% over the last fiscal year+25% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Sep 8, 2026; every figure names its basis
- RAUM per advisor
- $723MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 9derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $46.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.9%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$3.2B64%
- State and municipal entities$1.4B28%
- Corporations and businesses$278M5.5%
- High-net-worth individuals$49.9M1.0%
- Pooled investment vehicles$48.8M1.0%
- Charitable organizations$33.3M0.7%
- Individuals$14.7M0.3%
- Individual clients
- 30reported
- HNW clients
- 36reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 110reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.01 fund_share=0.65 institutional_share=0.28 related_bd=true related_bank=false bd_reps=18.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• W••••• O••••••• | Lisle, Il | Oct 14, 1997 | 30 y | 0 |
| D•••• I••••••• C••••Certified Financial Planner | Lisle, Il | Oct 12, 2001 | 29 y | 0 |
| S•••• V•••• B••••• | Lisle, Il | Jun 3, 2017 | 18 y | 0 |
| J••• C•••• T••••• | Lisle, Il | Jun 15, 2017 | 31 y | 1 |
| B•••• A•••• P•••••• | Lisle, Il | May 3, 2021 | 14 y | 2 |
| T••••• R•••••• L•••••• | Lisle, Il | May 4, 2022 | 11 y | 0 |
| B••••••• A•••• K•••••• | Lisle, Il | Oct 4, 2024 | 22 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J••• P•••••• C•••••• to V••••••• A•••••••• I•••Dec 15, 2020 · Other
- M••••• L•••• Y••••••• to L•••••• S••••••••• I•••Aug 7, 2009 · Other
Joined, latest
- B••••••• A•••• K•••••• from N••••• A•••• M••••••••• L••Oct 4, 2024 · Other
- B•••• A•••• P•••••• from N••••• A•••• M••••••••• L••May 3, 2021 · Other
- J••• C•••• T••••• from G•••• L•••• A•••••••• L••Jun 15, 2017 · Other
- J••• P•••••• C•••••• from P•••••••• C•••••• M••••••••• L•Jul 7, 2011 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O••••••• I••••••••• S••••• F•••• L•• | Other Private Fund | $36.8M | 17 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- O•••••••• J••••• W••••• · Chairman, President, Shareholder And Directorcontrolsince 11/1994 · owns 50% to 75%
- H••••••••• E•••• V••••• · Chief Financial Officer, Treasurersince 09/2022 · owns less than 5%
- J••••• T•••••• P•••••• · Chief Compliance Officer, Secretarysince 09/2022 · owns less than 5%
- O•••••••• J••••• D••••• · Shareholdersince 09/1994 · owns 10% to 25%
Related persons
Schedule D 7.A
- O••••••• A•••• M••••••••• •••• K•••• L••••••investment adviseryRAUM $51.8M
- O••••••• A•••• M••••••••• U• L••••••investment advisery
- O••••••• S••••••••• I•••broker-dealern
Advisers that list O••••••• A•••• M••••••••• I•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lisle, Il · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 31, 2026 to Sep 8, 2026
- Private funds · 1 to unsetMar 31, 2026 to Sep 8, 2026
- Succession · false to unsetMar 31, 2026 to Sep 8, 2026
- Advisory employees · 16 to 17Jan 22, 2026 to Mar 31, 2026
- BD registered reps · 17 to 18Jan 22, 2026 to Mar 31, 2026
- Corporate clients · 10 to 12Jan 22, 2026 to Mar 31, 2026
- Individual clients · 32 to 30Jan 22, 2026 to Mar 31, 2026
- Employees · 30 to 31Jan 22, 2026 to Mar 31, 2026
- Discretionary RAUM · $3.9B to $5.1BJan 22, 2026 to Mar 31, 2026
- HNW RAUM · $43.5M to $49.9MJan 22, 2026 to Mar 31, 2026
- Individual RAUM · $11.4M to $14.7MJan 22, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $654,666 to $841,646Jan 22, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $37.7M to $48.8MJan 22, 2026 to Mar 31, 2026
- RAUM · $3.9B to $5.1BJan 22, 2026 to Mar 31, 2026
- Accounts · 121 to 110Oct 18, 2024 to Mar 31, 2025
- BD registered reps · 15 to 17Oct 18, 2024 to Mar 31, 2025
- HNW clients · 44 to 36Oct 18, 2024 to Mar 31, 2025
- Pension plan clients · unset to 0.0Oct 18, 2024 to Mar 31, 2025
- Employees · 32 to 30Oct 18, 2024 to Mar 31, 2025
- Financial planning clients · unset to Oct 18, 2024 to Mar 31, 2025
- State-registered IARs · 6 to 7Oct 18, 2024 to Mar 31, 2025
- Discretionary RAUM · $3.0B to $3.9BOct 18, 2024 to Mar 31, 2025
- HNW RAUM · $64.4M to $43.5MOct 18, 2024 to Mar 31, 2025
- Individual RAUM · $10.6M to $11.4MOct 18, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $526,955 to $654,666Oct 18, 2024 to Mar 31, 2025
- Pension RAUM · $182M to $0Oct 18, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $36.8M to $37.7MOct 18, 2024 to Mar 31, 2025
- RAUM · $3.0B to $3.9BOct 18, 2024 to Mar 31, 2025
- Accounts · 124 to 121Nov 7, 2023 to Mar 28, 2024
- BD registered reps · 14 to 15Nov 7, 2023 to Mar 28, 2024
- HNW clients · 43 to 44Nov 7, 2023 to Mar 28, 2024
- Individual clients · 34 to 32Nov 7, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.6B to $3.0BNov 7, 2023 to Mar 28, 2024
- HNW RAUM · $60.5M to $64.4MNov 7, 2023 to Mar 28, 2024
- Individual RAUM · $11.4M to $10.6MNov 7, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $444,361 to $526,955Nov 7, 2023 to Mar 28, 2024
- Pension RAUM · $158M to $182MNov 7, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $59.0M to $36.8MNov 7, 2023 to Mar 28, 2024
- RAUM · $2.6B to $3.0BNov 7, 2023 to Mar 28, 2024
- Accounts · 123 to 124Jan 10, 2023 to Mar 31, 2023
Signals
6 dated events
- O••••••• A•••• M••••••••• I•• reported RAUM $5.1B, up 28% from $3.9B (2026-01-22 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- O••••••• A•••• M••••••••• I•• reported RAUM $3.9B, up 30% from $3.0B (2024-10-18 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- O••••••• A•••• M••••••••• I•• reported RAUM $2.6B, down 31% from $3.8B (2023-01-10 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Brian P•••••• Joyce (Director, Exec. V.P.) no longer on Schedule A of O••••••• A•••• M••••••••• I•• (listed 2022-11-03, absent 2023-01-10)Jan 10, 2023 · Control person left · inference
- O••••••• A•••• M••••••••• I•• reported RAUM $2.8B, down 30% from $4.0B (2018-03-29 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- O••••••• A•••• M••••••••• I•• reported RAUM $4.0B, up 44% from $2.8B (2017-09-29 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- O••••••• A•••• M••••••••• I•• · Family Officesshared crd · office
- O••••••• A•••• M••••••••• I•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/oberweis-asset-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 630-577-2300reportedpublic record, Form ADV, Sep 8, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $723Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026