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.

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Former SEC-registered adviser

O•• N•••• S•••• T••••• L••

Former SEC-registered adviserGreensboro, North CarolinaCRD 106155SEC 801-50303IAPD
Latest filing Mar 31, 2017
First filing on the tape Apr 3, 2012 · 6 filings
RAUM
$236M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$236M as of Mar 31, 2017
Apr 3, 2012$207M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2017
Apr 1, 20130 then
Employees (5.A)16 as of Mar 31, 2017
Apr 1, 201317 then
Private funds: no history
RAUM +17% over the last fiscal year+3.7% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Mar 31, 2017; every figure names its basis
RAUM per advisor
$236MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$637,705derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
16.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$476M, 538 clientsreportedItem 9.A
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
  • is a trust company (6.A.8)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
370reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$476M for 538 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D• S• A••••• D••••• R••••• · Managing Member/Ceo Owning Preferred And Common Units Of Onstcontrol
    since 11/1994 · owns 25% to 50%
  • D• S• A••••• O••••• E••••• · Member Owning Preferred And Common Units Of Onst/T•••••• Of Trust 2control
    since 06/1996 · owns less than 5%
  • D• S• A••••• O••••• T•• · Secretarycontrol
    since 11/1997 · owns less than 5%
  • H•••• A•••••• L••••••••• · Board Membercontrol
    since 11/2003 · owns less than 5%
  • H••••••• J•• D•• B••••• J•• · Board Membercontrol
    since 11/2003 · owns 5% to 10%
  • R•••••••• R••••••• M•••••• · Board Membercontrol
    since 11/2003 · owns less than 5%
  • S••••• M••••••• T••• · President/Chief Financial Officercontrol
    since 01/2004 · owns less than 5%
  • S•••••••• C••••••• G••••• · Board Membercontrol
    since 11/2003 · owns less than 5%
  • D• S• A••••• D••••• R• · Beneficiarycontrol
    since 03/2000 · owns 25% to 50% of M••••••• B•••••••• I••••••••• T••••
  • F•••••• S••••• D•••• F••••••• · Beneficiarycontrol
    since 03/2000 · owns 25% to 50% of M••••••• B•••••••• I••••••••• T••••
  • F•••••• W••••••• W••• · Beneficiarycontrol
    since 03/2000 · owns 25% to 50% of M••••••• B•••••••• I••••••••• T••••
  • A••••••••• K••••••••• S••• · Chief Compliance Officer
    since 12/2016 · owns less than 5%
  • W••••• S•••• M•••• · Board Member
    since 11/2003 · owns less than 5%
Entity owners
  • M••••••• B•••••••• I••••••••• T•••• · Member Owning Preferred And Common Units Of Onst
    direct · owns 10% to 25%
  • P•••••••• I•••••••• I•• · Member Owning Preferred And Common Units Of Onst
    direct · owns 10% to 25%
  • T•••• 2• • O•••• E• D• S• A••••• T•••••• U•• O•••• D• S• A••••• J•• T•••• 2• · Member Owning Preferred And Common Units Of Onst
    direct · owns 10% to 25%
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 · 257 to 370
    Mar 28, 2016 to Mar 31, 2017
  • Advisory activities · 5 to 3
    Mar 28, 2016 to Mar 31, 2017
  • Assets in custody · $9.8M to $476M
    Mar 28, 2016 to Mar 31, 2017
  • Custody of client assets · false to true
    Mar 28, 2016 to Mar 31, 2017
  • Financial planning clients · 1-10 to 0
    Mar 28, 2016 to Mar 31, 2017
  • State-registered IARs · 0 to 1
    Mar 28, 2016 to Mar 31, 2017
  • Discretionary RAUM · $128M to $236M
    Mar 28, 2016 to Mar 31, 2017
  • Non-discretionary RAUM · $73.3M to $0
    Mar 28, 2016 to Mar 31, 2017
  • RAUM · $202M to $236M
    Mar 28, 2016 to Mar 31, 2017
  • Accounts · 303 to 257
    Mar 31, 2015 to Mar 28, 2016
  • Assets in custody · $1.2M to $9.8M
    Mar 31, 2015 to Mar 28, 2016
  • Discretionary RAUM · $122M to $128M
    Mar 31, 2015 to Mar 28, 2016
  • Non-discretionary RAUM · $108M to $73.3M
    Mar 31, 2015 to Mar 28, 2016
  • RAUM · $230M to $202M
    Mar 31, 2015 to Mar 28, 2016
  • Accounts · 312 to 303
    Mar 31, 2014 to Mar 31, 2015
  • Advisory employees · 1 to 2
    Mar 31, 2014 to Mar 31, 2015
  • Advisory activities · 6 to 5
    Mar 31, 2014 to Mar 31, 2015
  • Assets in custody · $846,447 to $1.2M
    Mar 31, 2014 to Mar 31, 2015
  • Employees · 15 to 16
    Mar 31, 2014 to Mar 31, 2015
  • HQ city · SILER CITY to GREENSBORO
    Mar 31, 2014 to Mar 31, 2015
  • Discretionary RAUM · $124M to $122M
    Mar 31, 2014 to Mar 31, 2015
  • Non-discretionary RAUM · $87.3M to $108M
    Mar 31, 2014 to Mar 31, 2015
  • RAUM · $212M to $230M
    Mar 31, 2014 to Mar 31, 2015
  • Accounts · 623 to 312
    Apr 1, 2013 to Mar 31, 2014
  • Advisory employees · 3 to 1
    Apr 1, 2013 to Mar 31, 2014
  • Assets in custody · $1.4M to $846,447
    Apr 1, 2013 to Mar 31, 2014
  • Employees · 17 to 15
    Apr 1, 2013 to Mar 31, 2014
  • Discretionary RAUM · $191M to $124M
    Apr 1, 2013 to Mar 31, 2014
  • Non-discretionary RAUM · $56.6M to $87.3M
    Apr 1, 2013 to Mar 31, 2014
  • RAUM · $247M to $212M
    Apr 1, 2013 to Mar 31, 2014
  • Accounts · 556 to 623
    Apr 3, 2012 to Apr 1, 2013
  • Advisory employees · unset to 3.0
    Apr 3, 2012 to Apr 1, 2013
  • Assets in custody · unset to 1408456.0
    Apr 3, 2012 to Apr 1, 2013
  • Employees · unset to 17.0
    Apr 3, 2012 to Apr 1, 2013
  • State-registered IARs · unset to 0.0
    Apr 3, 2012 to Apr 1, 2013
  • Discretionary RAUM · $191M to $191M
    Apr 3, 2012 to Apr 1, 2013
  • Non-discretionary RAUM · $15.5M to $56.6M
    Apr 3, 2012 to Apr 1, 2013
  • RAUM · $207M to $247M
    Apr 3, 2012 to Apr 1, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026