DFX Intelligence

RIA Intelligence

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SEC-registered adviser

O•• T••• A••••••• S••••••• I••

Independent wealth managerCRD 105883SEC 801-25846websiteIAPD
Latest filing Mar 7, 2023
First filing on the tape Jun 4, 2012 · 12 filings
SEC status approved since Dec 31, 1985
RAUM
$25.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$25.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$25.0M as of Mar 7, 2023
Jun 4, 2012$26.0M then
HNW client RAUM$15.0M as of Mar 7, 2023
Jan 15, 2018$36.9M then
State-registered IARs (5.B.3)0 as of Mar 7, 2023
Jun 4, 20120 then
Employees (5.A)2 as of Mar 7, 2023
Jul 15, 20132 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 7, 2023; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$714,286derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, otherreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$15.0M60%
  • Individuals$10.0M40%
Individual clients
30reported
HNW clients
10reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
35reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• A•••••• E••••• · Coocontrol
        since 10/1985 · owns 50% to 75%
      • D••••• R•••••• M••••••••• · Chief Compliance Officer
        since 10/1985 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 20 to 35
        Jul 22, 2022 to Mar 7, 2023
      • Advisory employees · 1 to 2
        Jul 22, 2022 to Mar 7, 2023
      • Accounts · 50 to 20
        Jan 15, 2018 to Oct 7, 2019
      • Individual clients · 40 to 30
        Jan 15, 2018 to Oct 7, 2019
      • Discretionary RAUM · $0 to $25.0M
        Jan 15, 2018 to Oct 7, 2019
      • HNW RAUM · $36.9M to $15.0M
        Jan 15, 2018 to Oct 7, 2019
      • Individual RAUM · $27.8M to $10.0M
        Jan 15, 2018 to Oct 7, 2019
      • Non-discretionary RAUM · $285M to $0
        Jan 15, 2018 to Oct 7, 2019
      • Pension RAUM · 220000000.0 to unset
        Jan 15, 2018 to Oct 7, 2019
      • RAUM · $285M to $25.0M
        Jan 15, 2018 to Oct 7, 2019
      • Accounts · 75 to 50
        Apr 1, 2016 to Jan 15, 2018
      • HNW clients · unset to 10.0
        Apr 1, 2016 to Jan 15, 2018
      • Individual clients · unset to 40.0
        Apr 1, 2016 to Jan 15, 2018
      • Other offices · unset to 0.0
        Apr 1, 2016 to Jan 15, 2018
      • Discretionary RAUM · $25.0M to $0
        Apr 1, 2016 to Jan 15, 2018
      • HNW RAUM · unset to 36900023.0
        Apr 1, 2016 to Jan 15, 2018
      • Individual RAUM · unset to 27836860.0
        Apr 1, 2016 to Jan 15, 2018
      • Non-discretionary RAUM · $0 to $285M
        Apr 1, 2016 to Jan 15, 2018
      • Pension RAUM · unset to 220000000.0
        Apr 1, 2016 to Jan 15, 2018
      • RAUM · $25.0M to $285M
        Apr 1, 2016 to Jan 15, 2018
      • Accounts · 30 to 75
        Jun 8, 2015 to Apr 1, 2016
      • Accounts · 50 to 30
        Mar 11, 2014 to Jun 8, 2015
      • Discretionary RAUM · $0 to $25.0M
        Mar 11, 2014 to Jun 8, 2015
      • Non-discretionary RAUM · $25.0M to $0
        Mar 11, 2014 to Jun 8, 2015
      • Accounts · 157 to 50
        Oct 10, 2013 to Mar 11, 2014
      • Non-discretionary RAUM · $34.1M to $25.0M
        Oct 10, 2013 to Mar 11, 2014
      • RAUM · $34.1M to $25.0M
        Oct 10, 2013 to Mar 11, 2014
      • Accounts · 35 to 157
        Jul 26, 2013 to Oct 10, 2013
      • HQ city · CARLSBAD to unset
        Jul 26, 2013 to Oct 10, 2013
      • HQ state · CA to unset
        Jul 26, 2013 to Oct 10, 2013
      • Discretionary RAUM · $90.0M to $0
        Jul 26, 2013 to Oct 10, 2013
      • Non-discretionary RAUM · $0 to $34.1M
        Jul 26, 2013 to Oct 10, 2013
      • RAUM · $90.0M to $34.1M
        Jul 26, 2013 to Oct 10, 2013
      • Accounts · 50 to 35
        Mar 12, 2013 to Jul 15, 2013
      • Discretionary RAUM · $26.0M to $90.0M
        Mar 12, 2013 to Jul 15, 2013
      • RAUM · $26.0M to $90.0M
        Mar 12, 2013 to Jul 15, 2013
      • Advisory employees · unset to 1.0
        Jun 4, 2012 to Mar 12, 2013
      • Employees · unset to 2.0
        Jun 4, 2012 to Mar 12, 2013
      Signals
      1 dated events
      • O•• T••• A••••••• S••••••• I•• reported RAUM $25.0M, down 91% from $284.7M (2018-01-15 to 2019-10-07)
        Oct 7, 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
      OAKT•••ADVISORY.COMreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      760-518-5616reportedpublic record, Form ADV, Mar 7, 2023
      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
      Independent wealth managerderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026