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.
SEC-registered adviser
Opus Capital Management
Legal name Opus Capital Group, LLC
Latest filing Mar 27, 2026
First filing on the tape Mar 28, 2012 · 22 filings
SEC status approved since Mar 18, 1996
RAUM
$1.5B
reported, Item 5.F
Discretionary
68%
of RAUM
Private clients
60%
$907M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$378M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.5B as of Mar 27, 2026
Mar 28, 2012$1.7B then
HNW client RAUM$855M as of Mar 27, 2026
Mar 23, 2018$349M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
Mar 26, 20134 then
Employees (5.A)7 as of Mar 27, 2026
Mar 26, 201316 then
Private funds: no history
RAUM +23% over the last fiscal year+19% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $378MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 104derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $3.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 68%derivedof RAUM
- Institutional
- 39%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publicationsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$855M57%
- Pension and profit-sharing plans$357M24%
- Charitable organizations$233M15%
- Individuals$51.5M3.4%
- Corporations and businesses$16.3M1.1%
- Individual clients
- 156reported
- HNW clients
- 259reported
- Pension plan clients
- 7reported
- Charitable clients
- 6reported
- Accounts
- 430reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.6 fund_share=0.0 institutional_share=0.39 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kevin Patrick WhelanChartered Financial Analyst | Cincinnati, Oh | Jan 26, 2006 | 27 y | 1 |
| Nathan Andrew BishopChartered Financial Analyst | Cincinnati, Oh | Nov 17, 2015 | 17 y | 1 |
| Nathan Michael BaileyCertified Financial Planner, Chartered Financial Analyst | Cincinnati, Oh | Jun 8, 2017 | 13 y | 0 |
| John Thomas GislasonCertified Financial Planner | Cincinnati, Oh | Jun 5, 2026 | 12 y | 0 |
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 headcount1 left over 36 months
Left, latest
- Julie M. Kist to LPL Financial LLCFeb 16, 2024 · RIA to affiliated broker-dealer or bank
- Adam Thomas Eagleston to Formidable Asset Management, LLCAug 12, 2019 · RIA to RIA
- Nathanael Albert Stewart to N.A.S. Capital LLCMar 27, 2019 · RIA to a state-registered adviser
Joined, latest
- Adam Thomas Eagleston from Ncf Financial Services, Inc.Nov 17, 2015 · Other
- Nathan Andrew Bishop from Haberer Registered Investment Advisor IncNov 17, 2015 · Other
- Nathanael Albert Stewart from N.A. Stewart Capital Management LLCNov 17, 2015 · Other
- Kevin Patrick Whelan from Opus Capital Management LLCJan 26, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Andrew Nathan Bishop · Principal And Portfolio Managercontrolsince 01/2016 · owns less than 5%
- Patrick Joseph Condren · Principal, Chief Operating Officer And Chief Compliance Officercontrolsince 02/2005 · owns less than 5%
- Patrick Kevin Whelan · Principal And Portfolio Managercontrolsince 01/1999 · owns less than 5%
- Andrew Nathan Bishop · Shareholdercontrolsince 01/2016 · owns 25% to 50% of Opus Capital Management, Inc.
- Patrick Joseph Condren · Shareholdercontrolsince 01/2016 · owns F of Opus Capital Management, Inc.
- Patrick Kevin Whelan · Shareholdercontrolsince 01/1999 · owns 25% to 50% of Opus Capital Management, Inc.
- Michael Nathan Bailey · Principal And Portfolio Managersince 01/2016 · owns less than 5%
- Michael Nathan Bailey · Shareholdersince 01/2016 · owns F of Opus Capital Management, Inc.
Entity owners
- Opus Capital Management, Inc. · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 414 to 430Mar 27, 2025 to Mar 27, 2026
- Charity clients · 2 to 6Mar 27, 2025 to Mar 27, 2026
- Corporate clients · 1 to 2Mar 27, 2025 to Mar 27, 2026
- HNW clients · 240 to 259Mar 27, 2025 to Mar 27, 2026
- Individual clients · 164 to 156Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $897M to $1.0BMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $782M to $855MMar 27, 2025 to Mar 27, 2026
- Individual RAUM · $54.7M to $51.5MMar 27, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $329M to $491MMar 27, 2025 to Mar 27, 2026
- Pension RAUM · $219M to $357MMar 27, 2025 to Mar 27, 2026
- RAUM · $1.2B to $1.5BMar 27, 2025 to Mar 27, 2026
- Accounts · 387 to 414Mar 27, 2024 to Mar 27, 2025
- HNW clients · 213 to 240Mar 27, 2024 to Mar 27, 2025
- Employees · 8 to 7Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · 251-500 to 251-500Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $771M to $897MMar 27, 2024 to Mar 27, 2025
- HNW RAUM · $664M to $782MMar 27, 2024 to Mar 27, 2025
- Individual RAUM · $53.8M to $54.7MMar 27, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $287M to $329MMar 27, 2024 to Mar 27, 2025
- Pension RAUM · $182M to $219MMar 27, 2024 to Mar 27, 2025
- RAUM · $1.1B to $1.2BMar 27, 2024 to Mar 27, 2025
- Accounts · 373 to 387Mar 29, 2023 to Mar 27, 2024
- Advisory employees · 4 to 3Mar 29, 2023 to Mar 27, 2024
- HNW clients · 199 to 213Mar 29, 2023 to Mar 27, 2024
- State-registered IARs · 4 to 3Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $655M to $771MMar 29, 2023 to Mar 27, 2024
- HNW RAUM · $560M to $664MMar 29, 2023 to Mar 27, 2024
- Individual RAUM · $51.4M to $53.8MMar 29, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $239M to $287MMar 29, 2023 to Mar 27, 2024
- Pension RAUM · $143M to $182MMar 29, 2023 to Mar 27, 2024
- RAUM · $894M to $1.1BMar 29, 2023 to Mar 27, 2024
- Accounts · 351 to 373Mar 29, 2022 to Mar 29, 2023
- Advisory employees · 3 to 4Mar 29, 2022 to Mar 29, 2023
- HNW clients · 195 to 199Mar 29, 2022 to Mar 29, 2023
- Individual clients · 146 to 164Mar 29, 2022 to Mar 29, 2023
- State-registered IARs · 3 to 4Mar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $623M to $655MMar 29, 2022 to Mar 29, 2023
- HNW RAUM · $528M to $560MMar 29, 2022 to Mar 29, 2023
- Individual RAUM · $48.3M to $51.4MMar 29, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $260M to $239MMar 29, 2022 to Mar 29, 2023
Signals
4 dated events
- Lynn Jakki Haussler (Shareholder) no longer on Schedule A of Opus Capital Management (listed 2023-03-29, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Julie M. Kist left Opus Capital Management for Lpl Financial Llc (registered 2024-02-05)Feb 16, 2024 · Advisor changed firm · fact
- Anthony Leonard Haussler (Founder And Portfolio Manager) no longer on Schedule A of Opus Capital Management (listed 2019-03-27, absent 2019-09-10)Sep 10, 2019 · Control person left · inference
- Thomas Adam Eagleston (Principal And Portfolio Manager) no longer on Schedule A of Opus Capital Management (listed 2019-03-27, absent 2019-09-10)Sep 10, 2019 · Control person left · inference
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
- Business phone
- 513-621-6787reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/OPUS-CAPITAL-MANAGEMENTreportedpublic record, Form ADV, Sep 17, 2026
- Website
- OPUSINC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 513-621-6787reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- opusinc.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- opusinc.com/about/teamreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $378Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026