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
Oak Ridge Investments, LLC
Latest filing May 4, 2026
First filing on the tape Mar 30, 2012 · 34 filings
SEC status approved since Dec 8, 1989
RAUM
$1.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$1.4B individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$852M
derived; firm RAUM over IAPD count
Employees
13
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.7B as of May 4, 2026
Mar 30, 2012$2.7B then
HNW client RAUM$475M as of May 4, 2026
Mar 30, 2018$448M then
State-registered IARs (5.B.3)0 as of May 4, 2026
Mar 28, 20139 then
Employees (5.A)13 as of May 4, 2026
Mar 28, 201330 then
Private funds1 as of Mar 30, 2017
Mar 31, 20141 then
RAUM +31% over the last fiscal year+34% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 4, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $852MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1,912derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $434,797derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +37%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- 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$960M59%
- High-net-worth individuals$475M29%
- Insurance companies$105M6.5%
- Corporations and businesses$65.7M4.1%
- Pension and profit-sharing plans$13.6M0.8%
- State and municipal entities$1.1M0.1%
- Individual clients
- 3,626reported
- HNW clients
- 197reported
- Pension plan clients
- 18reported
- Charitable clients
- 0reported
- Accounts
- 3,920reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $1.5B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| David Michael Klaskin | Chicago, Il | Jan 2, 1998 | 43 y | 0 |
| Robert Gregg Mcvicker | Chicago, Il | Jul 22, 2002 | 35 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 headcount0 left over 36 months
Left, latest
- Philip James Callahan to North Square Investments, LLCAug 15, 2018 · RIA to a newly registered adviser
- Kierstin Renee Green to North Square Investments, LLCAug 15, 2018 · RIA to a newly registered adviser
- James Joseph Barclay to North Square Investments, LLCAug 15, 2018 · RIA to a newly registered adviser
- Malcolm Joseph Lunn to Virtus Capital Advisers, LLCAug 8, 2016 · Other
- Christopher L. Williams to Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 3, 2014 · Other
- James Wesley Babson to O'Shaughnessy Asset Management, LLCMar 17, 2014 · Other
- Daniel Philip Delany to Geneva Advisors, LLCJan 31, 2012 · Other
- Michael Henry Sandow to Neuberger Berman Bd LLCJan 24, 2011 · Other
- Christopher J Collins to Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 4, 2010 · Other
Joined, latest
- Kierstin Renee Green from Invesco Advisers, Inc.Aug 30, 2017 · Other
- James Joseph Barclay from Neuberger Berman Bd LLCJul 8, 2015 · Other
- Philip James Callahan from Neuberger Berman Bd LLCMar 24, 2015 · Other
- Malcolm Joseph Lunn from UBS Financial Services Inc.Oct 17, 2014 · Other
- Christopher L. Williams from Barclays Capital Inc.Jul 27, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for North Square Investments, LLCAug 15, 2018 · Chicago, Il · Firm absorbed
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Oak Ridge Sgs Healthcare Fund LLCno longer reported | Other Private Fund | $8.4M | 20 | Mar 31, 2014 |
Owners and control persons
Schedule A and B, latest filing
- Kane John Brinckerhoff · Coocontrolsince 12/2018 · owns 10% to 25%
- David Mark Goodwin · Managercontrolsince 09/2015 · owns less than 5%
- Michael David Klaskin · Manager, Chief Executive Officer And Chief Investment Officer, Membercontrolsince 01/1990 · owns less than 5%
- Gregg Robert Mcvicker · Manager, Membercontrolsince 03/2019 · owns 10% to 25%
- Anthony Neil Cummins · Membersince 10/2014 · owns 10% to 25%
- Edward John Peters · Membersince 07/2002 · owns 5% to 10%
- Julian Joseph Scavetti · Chief Compliance Officersince 10/2024 · owns less than 5%
Entity owners
- Nsi Holdco LLC · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- Cs Mckeeinvestment advisernRAUM $12B
- North Square Investments, LLCinvestment advisernRAUM $3.2B
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing May 4, 2026GOODWIN, MARK, DAVID (MANAGER) left Schedule A between the filings of 2024-10-11 and 2026-05-04peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 2,876 to 3,920Dec 2, 2025 to Mar 16, 2026
- Advisory employees · 9 to 11Dec 2, 2025 to Mar 16, 2026
- Corporate clients · 38 to 41Dec 2, 2025 to Mar 16, 2026
- HNW clients · 165 to 197Dec 2, 2025 to Mar 16, 2026
- Individual clients · 2,619 to 3,626Dec 2, 2025 to Mar 16, 2026
- Pension plan clients · 16 to 18Dec 2, 2025 to Mar 16, 2026
- Discretionary RAUM · $1.3B to $1.7BDec 2, 2025 to Mar 16, 2026
- HNW RAUM · $410M to $475MDec 2, 2025 to Mar 16, 2026
- Individual RAUM · $701M to $960MDec 2, 2025 to Mar 16, 2026
- Pension RAUM · $12.7M to $13.6MDec 2, 2025 to Mar 16, 2026
- RAUM · $1.3B to $1.7BDec 2, 2025 to Mar 16, 2026
- Wrap assets (manager) · $1.1B to $1.5BDec 2, 2025 to Mar 16, 2026
- Related adviser · true to falseMar 28, 2025 to Dec 2, 2025
- Accounts · 1,667 to 2,876Oct 11, 2024 to Mar 28, 2025
- Advisory employees · 8 to 9Oct 11, 2024 to Mar 28, 2025
- Corporate clients · 39 to 38Oct 11, 2024 to Mar 28, 2025
- HNW clients · 124 to 165Oct 11, 2024 to Mar 28, 2025
- Individual clients · 1,457 to 2,619Oct 11, 2024 to Mar 28, 2025
- Pension plan clients · 12 to 16Oct 11, 2024 to Mar 28, 2025
- Employees · 11 to 13Oct 11, 2024 to Mar 28, 2025
- Financial planning clients · unset to Oct 11, 2024 to Mar 28, 2025
- Discretionary RAUM · $900M to $1.3BOct 11, 2024 to Mar 28, 2025
- HNW RAUM · $297M to $410MOct 11, 2024 to Mar 28, 2025
- Individual RAUM · $427M to $701MOct 11, 2024 to Mar 28, 2025
- Pension RAUM · $5.5M to $12.7MOct 11, 2024 to Mar 28, 2025
- RAUM · $900M to $1.3BOct 11, 2024 to Mar 28, 2025
- Wrap assets (manager) · $708M to $1.1BOct 11, 2024 to Mar 28, 2025
- Accounts · 1,476 to 1,667Nov 10, 2023 to Mar 13, 2024
- Advisory employees · 11 to 8Nov 10, 2023 to Mar 13, 2024
- Corporate clients · 35 to 39Nov 10, 2023 to Mar 13, 2024
- HNW clients · 97 to 124Nov 10, 2023 to Mar 13, 2024
- Individual clients · 1,294 to 1,457Nov 10, 2023 to Mar 13, 2024
- Pension plan clients · 14 to 12Nov 10, 2023 to Mar 13, 2024
- Discretionary RAUM · $708M to $900MNov 10, 2023 to Mar 13, 2024
- HNW RAUM · $234M to $297MNov 10, 2023 to Mar 13, 2024
- Individual RAUM · $349M to $427MNov 10, 2023 to Mar 13, 2024
- Pension RAUM · $5.4M to $5.5MNov 10, 2023 to Mar 13, 2024
- RAUM · $708M to $900MNov 10, 2023 to Mar 13, 2024
- Wrap assets (manager) · $528M to $708MNov 10, 2023 to Mar 13, 2024
- Accounts · 1,550 to 1,476Aug 17, 2022 to Mar 9, 2023
Signals
13 dated events
- Oak Ridge Investments, Llc reported RAUM $1.7B, up 31% from $1.3B (2025-12-02 to 2026-03-16)Mar 16, 2026 · RAUM change · derived
- Oak Ridge Investments, Llc reported RAUM $1.3B, up 45% from $899.9M (2024-10-11 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Oak Ridge Investments, Llc reported RAUM $899.9M, up 27% from $708.4M (2023-11-10 to 2024-03-13)Mar 13, 2024 · RAUM change · derived
- Oak Ridge Investments, Llc reported RAUM $708.4M, down 42% from $1.2B (2022-08-17 to 2023-03-09)Mar 9, 2023 · RAUM change · derived
- Scott Kenneth Kailin (Chief Compliance Officer, Executive Vice President, Member) no longer on Schedule A of Oak Ridge Investments, Llc (listed 2021-03-31, absent 2021-06-29)Jun 29, 2021 · Control person left · inference
- Kane John Brinckerhoff (Coo) appeared on Schedule A of Oak Ridge Investments, LlcJun 29, 2021 · Control person joined · fact
- Oak Ridge Investments, Llc reported 3 state-registered advisory representatives, down from 13 (2018-03-30 to 2019-03-29)Mar 29, 2019 · Advisor headcount change · derived
- Oak Ridge Investments, Llc reported RAUM $1.3B, down 37% from $2.0B (2018-03-30 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Scott Kenneth Kailin (Chief Compliance Officer, Executive Vice President, Member) appeared on Schedule A of Oak Ridge Investments, LlcMar 29, 2019 · Control person joined · fact
- Gregg Robert Mcvicker (Manager, Member) appeared on Schedule A of Oak Ridge Investments, LlcMar 29, 2019 · Control person joined · fact
- Eugene Alan Molotsky (Manager, Chief Financial Officer, Chief Compliance Officer, Executive V.P.) no longer on Schedule A of Oak Ridge Investments, Llc (listed 2018-03-30, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- John David Gaspar (Chief Operations & Information Officer, Executive V.P.) no longer on Schedule A of Oak Ridge Investments, Llc (listed 2018-03-30, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Oak Ridge Investments, Llc reported RAUM $2.0B, down 39% from $3.3B (2017-03-30 to 2018-03-30)Mar 30, 2018 · 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
- Business phone
- 312-667-4179reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 312-857-1040reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 312-857-1055reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/OAK-RIDGE-INVESTMENTSreportedpublic record, Form ADV, Sep 17, 2026
- Website
- OAKRIDGEINVEST.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 312-857-1040reportedpublic record, Form ADV, May 4, 2026
- Contact form
- oakridgeinvest.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- oakridgeinvest.com/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
- $852Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026