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.

Former SEC-registered adviser

Alpha & Omega

Former SEC-registered adviserLa Mesa, CaliforniaCRD 105548SEC 801-45517IAPD
Legal name Alpha & Omega Financial Management Consultants, Inc.
Latest filing Jun 16, 2023
First filing on the tape Jan 31, 2012 · 25 filings
RAUM
$29.5M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$29.5M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$9.8M
derived; firm RAUM over IAPD count
Employees
10
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$29.5M as of Jan 31, 2023
Jan 31, 2012$257M then
HNW client RAUM$1.3M as of Jan 31, 2023
Jan 4, 2018$10.5M then
State-registered IARs (5.B.3)1 as of Jan 31, 2023
Jan 31, 20120 then
Employees (5.A)10 as of Jan 31, 2023
Jan 11, 20135 then
Private funds: no history
RAUM +53% over the last fiscal year-58% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 16, 2023; every figure names its basis
RAUM per advisor
$9.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
83derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$673,579derivedHNW RAUM over HNW clients
Average account
$119,721derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+53%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
  • 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
  • Individuals$28.1M95%
  • High-net-worth individuals$1.3M4.6%
Individual clients
246reported
HNW clients
2reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
246reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Athanasios K PreovolosLa Mesa, CaJul 10, 202333 y0
Fiel Armando BarrowLa Mesa, CaJul 10, 202310 y2
Wesley Alan ScheversLa Mesa, CaJan 1, 202611 y1
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Stella Litsa Preovolos · Co-Founder And Executive Vice Presidentcontrol
      since 06/1975 · owns less than 5%
    • Emanuel Peter Preovolos · Stockholdercontrol
      since 06/1979 · owns 25% to 50%
    • K Athanasios Preovolos · Beneficiarycontrol
      since 10/1979 · owns 25% to 50% of Preovolos Family Trust 1979
    • John Nicholas Preovolos · Beneficiarycontrol
      since 10/1979 · owns 25% to 50% of Preovolos Family Trust 1979
    • George Spiro Preovolos · Beneficiarycontrol
      since 10/1979 · owns 25% to 50% of Preovolos Family Trust 1979
    • K Athanasios Preovolos · Chief Compliance Officer & Clo
      since 10/2004 · owns 25% to 50%
    • George Spiro Preovolos · Chief Operating Officer
      since 01/2007 · owns less than 5%
    Entity owners
    • Preovolos Family Trust 1979 · Stockholder
      direct · owns 10% to 25%
    Related persons
    Schedule D 7.A
    • Peter Prevolos
      y
    • Spiro G. Preovolos
      y
    • Thanasi K. Preovolos
      n
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    La Mesa, Ca · principal310
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Discretionary RAUM · $93,676 to $0
      May 9, 2023 to Jun 5, 2023
    • Non-discretionary RAUM · $29.4M to $29.5M
      May 9, 2023 to Jun 5, 2023
    • Accounts · 227 to 246
      Oct 5, 2022 to Jan 31, 2023
    • Individual clients · 225 to 246
      Oct 5, 2022 to Jan 31, 2023
    • Discretionary RAUM · $0 to $93,676
      Oct 5, 2022 to Jan 31, 2023
    • HNW RAUM · $4.1M to $1.3M
      Oct 5, 2022 to Jan 31, 2023
    • Individual RAUM · $15.2M to $28.1M
      Oct 5, 2022 to Jan 31, 2023
    • Non-discretionary RAUM · $19.2M to $29.4M
      Oct 5, 2022 to Jan 31, 2023
    • RAUM · $19.2M to $29.5M
      Oct 5, 2022 to Jan 31, 2023
    • Insurance-licensed employees · 1 to 0
      Mar 4, 2022 to May 25, 2022
    • Related insurance company · true to false
      Mar 4, 2022 to May 25, 2022
    • Accounts · 138,083 to 227
      Jan 19, 2022 to Feb 3, 2022
    • HNW clients · 6 to 2
      Jan 19, 2022 to Feb 3, 2022
    • Individual clients · 138,029 to 225
      Jan 19, 2022 to Feb 3, 2022
    • Pension plan clients · 48 to 0
      Jan 19, 2022 to Feb 3, 2022
    • Financial planning clients · 1-10 to 0
      Jan 19, 2022 to Feb 3, 2022
    • HNW RAUM · $2.8M to $4.1M
      Jan 19, 2022 to Feb 3, 2022
    • Individual RAUM · $410M to $15.2M
      Jan 19, 2022 to Feb 3, 2022
    • Non-discretionary RAUM · $479M to $19.2M
      Jan 19, 2022 to Feb 3, 2022
    • Pension RAUM · $66.4M to $0
      Jan 19, 2022 to Feb 3, 2022
    • RAUM · $479M to $19.2M
      Jan 19, 2022 to Feb 3, 2022
    • Accounts · 111,945 to 138,083
      Jan 30, 2020 to Jan 29, 2021
    • Advisory employees · 5 to 1
      Jan 30, 2020 to Jan 29, 2021
    • HNW clients · 195 to 6
      Jan 30, 2020 to Jan 29, 2021
    • Individual clients · 111,699 to 138,029
      Jan 30, 2020 to Jan 29, 2021
    • Pension plan clients · 51 to 48
      Jan 30, 2020 to Jan 29, 2021
    • Financial planning clients · 101-250 to 1-10
      Jan 30, 2020 to Jan 29, 2021
    • Discretionary RAUM · $396M to $0
      Jan 30, 2020 to Jan 29, 2021
    • HNW RAUM · $15.4M to $2.8M
      Jan 30, 2020 to Jan 29, 2021
    • Individual RAUM · $327M to $410M
      Jan 30, 2020 to Jan 29, 2021
    • Non-discretionary RAUM · $15.4M to $479M
      Jan 30, 2020 to Jan 29, 2021
    • Pension RAUM · $69.0M to $66.4M
      Jan 30, 2020 to Jan 29, 2021
    • RAUM · $411M to $479M
      Jan 30, 2020 to Jan 29, 2021
    • Accounts · 101,379 to 111,945
      Jan 15, 2019 to Jan 30, 2020
    • HNW clients · 151 to 195
      Jan 15, 2019 to Jan 30, 2020
    • Individual clients · 101,167 to 111,699
      Jan 15, 2019 to Jan 30, 2020
    • Pension plan clients · 60 to 51
      Jan 15, 2019 to Jan 30, 2020
    • Insurance-licensed employees · 0 to 1
      Jan 15, 2019 to Jan 30, 2020
    • Discretionary RAUM · $495M to $396M
      Jan 15, 2019 to Jan 30, 2020
    • HNW RAUM · $12.3M to $15.4M
      Jan 15, 2019 to Jan 30, 2020
    Signals
    5 dated events
    • Stella Litsa Preovolos (Co-Founder And Executive Vice President) appeared on Schedule A of Alpha & Omega
      Jun 16, 2023 · Control person joined · fact
    • John Nicholas Preovolos (Beneficiary) appeared on Schedule A of Alpha & Omega
      Jun 16, 2023 · Control person joined · fact
    • Stella Litsa Preovolos (Stockholder) no longer on Schedule A of Alpha & Omega (listed 2023-01-31, absent 2023-03-31)
      Mar 31, 2023 · Control person left · inference
    • Alpha & Omega reported RAUM $19.2M, down 96% from $479.2M (2022-01-19 to 2022-02-03)
      Feb 3, 2022 · RAUM change · derived
    • Alpha & Omega reported RAUM $507.4M, up 51% from $336.9M (2018-01-04 to 2019-01-15)
      Jan 15, 2019 · RAUM change · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    How to reach
    public business contact points only, each with its source
    Website
    aobenefits.comreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $9.8Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026