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

White Oaks Wealth Advisors Inc

Former SEC-registered adviserMinneapolis, MinnesotaCRD 106555SEC 801-51809IAPD
Latest filing Sep 23, 2014
First filing on the tape Apr 2, 2012 · 8 filings
RAUM
$430M
reported, Item 5.F
Discretionary
79%
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
10
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$281M gross assets
History
8 filings and snapshots on the tape
RAUM$430M as of Mar 26, 2014
Apr 2, 2012$254M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2014
Apr 2, 20120 then
Employees (5.A)10 as of Mar 26, 2014
Mar 5, 201310 then
Private funds5 as of Mar 26, 2014
Apr 2, 20125 then
RAUM +44% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 23, 2014; every figure names its basis
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
unknownderivedHNW RAUM over HNW clients
Average account
$1.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
79%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+44%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 fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, publications, otherreportedItem 5.G
Custody
$141M, 29 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
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
254reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$141M for 29 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
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
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
      • John Robert Klosterman · Ceo And Chief Investment Officercontrol
        since 03/1996 · owns 50% to 75%
      • Alison Sharon Bloodworth · President And Chief Compliance Officer
        since 04/2003 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • ,
      What changed
      consecutive filings, newest first
      • Succession · true to false
        Sep 18, 2014 to Sep 23, 2014
      • Succession · false to true
        Apr 24, 2014 to Sep 18, 2014
      • Accounts · 251 to 254
        Sep 6, 2013 to Mar 26, 2014
      • Assets in custody · $98.8M to $141M
        Sep 6, 2013 to Mar 26, 2014
      • Discretionary RAUM · $297M to $341M
        Sep 6, 2013 to Mar 26, 2014
      • Non-discretionary RAUM · $624,035 to $89.1M
        Sep 6, 2013 to Mar 26, 2014
      • RAUM · $298M to $430M
        Sep 6, 2013 to Mar 26, 2014
      • Related adviser · false to true
        Sep 6, 2013 to Mar 26, 2014
      • Accounts · 264 to 251
        Oct 4, 2012 to Mar 5, 2013
      • Advisory employees · unset to 5.0
        Oct 4, 2012 to Mar 5, 2013
      • Assets in custody · $8.7M to $98.8M
        Oct 4, 2012 to Mar 5, 2013
      • Employees · unset to 10.0
        Oct 4, 2012 to Mar 5, 2013
      • Discretionary RAUM · $253M to $297M
        Oct 4, 2012 to Mar 5, 2013
      • Non-discretionary RAUM · $567,519 to $624,035
        Oct 4, 2012 to Mar 5, 2013
      • RAUM · $254M to $298M
        Oct 4, 2012 to Mar 5, 2013
      Signals
      1 dated events
      • White Oaks Wealth Advisors Inc reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Sep 18, 2014 · Succession (Item 4) · fact
      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