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

Oakwood Capital Management LLC

Former SEC-registered adviserLos Angeles, CaliforniaCRD 108080SEC 801-55342IAPD
Latest filing Jun 14, 2021
First filing on the tape Mar 7, 2012 · 47 filings
RAUM
$922M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
83%
$765M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
13 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$922M as of Mar 30, 2021
Mar 7, 2012$582M then
HNW client RAUM$621M as of Mar 30, 2021
Mar 22, 2018$515M then
State-registered IARs (5.B.3)6 as of Mar 30, 2021
Mar 26, 20137 then
Employees (5.A)16 as of Mar 30, 2021
Mar 26, 201312 then
Private funds: no history
RAUM +7.7% over the last fiscal year+3.5% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Jun 14, 2021; every figure names its basis
RAUM per advisor
$154MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
60derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.9MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.7derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+7.7%derivedbetween the last two annual amendments
Advisor growth, one year
-14%derivedItem 5.B.3 between annual amendments
Client growth, one year
-0.3%derived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
Wrap fee program
$6.7MreportedItem 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
  • High-net-worth individuals$621M67%
  • Individuals$144M16%
  • Corporations and businesses$63.0M6.8%
  • Charitable organizations$52.7M5.7%
  • Pension and profit-sharing plans$33.3M3.6%
  • State and municipal entities$7.8M0.8%
Individual clients
198reported
HNW clients
161reported
Pension plan clients
19reported
Charitable clients
12reported
Accounts
832reported
Financial planning clients
11-25reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Watson Tom Doxey · Evp/Private Client Wealth Managementcontrol
      since 03/1998 · owns less than 5%
    • Mabunga Nicanor Mamaril · Evp/Cfo/Coo/Chief Compliance Officercontrol
      since 03/1998 · owns less than 5%
    • Ansel Bruce Mandel · Ceo/Presidentcontrol
      since 03/1998 · owns less than 5%
    • Lee Thomas Roley · Passive Investorcontrol
      since 12/2003 · owns less than 5%
    • Watson Tom Doxey · Trusteecontrol
      since 12/2014 · owns F of Tom W. Doxey & Barbara A. Doxey Family Trust
    • Mabunga Nicanor Mamaril · Trusteecontrol
      since 12/2014 · owns F of Mamaril Family Trust
    • Ansel Bruce Mandel · Trusteecontrol
      since 12/2014 · owns 25% to 50% of Mandel Living Trust
    • Lee Thomas Roley · Trusteecontrol
      since 12/2014 · owns 25% to 50% of The Roley Family Trust
    Entity owners
    • Mamaril Family Trust · Owner
      direct · owns 10% to 25%
    • Mandel Living Trust · Owner
      direct · owns 25% to 50%
    • The Roley Family Trust · Owner
      direct · owns 25% to 50%
    • Tom W. Doxey & Barbara A. Doxey Family Trust · Owner
      direct · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 812 to 832
      Nov 30, 2020 to Mar 30, 2021
    • Advisory employees · 12 to 13
      Nov 30, 2020 to Mar 30, 2021
    • Charity clients · 11 to 12
      Nov 30, 2020 to Mar 30, 2021
    • HNW clients · 158 to 161
      Nov 30, 2020 to Mar 30, 2021
    • Individual clients · 202 to 198
      Nov 30, 2020 to Mar 30, 2021
    • Pension plan clients · 20 to 19
      Nov 30, 2020 to Mar 30, 2021
    • Employees · 15 to 16
      Nov 30, 2020 to Mar 30, 2021
    • Financial planning clients · 1-10 to 11-25
      Nov 30, 2020 to Mar 30, 2021
    • State-registered IARs · 7 to 6
      Nov 30, 2020 to Mar 30, 2021
    • Discretionary RAUM · $856M to $922M
      Nov 30, 2020 to Mar 30, 2021
    • HNW RAUM · $685M to $621M
      Nov 30, 2020 to Mar 30, 2021
    • Individual RAUM · $15.7M to $144M
      Nov 30, 2020 to Mar 30, 2021
    • Pension RAUM · $35.7M to $33.3M
      Nov 30, 2020 to Mar 30, 2021
    • RAUM · $856M to $922M
      Nov 30, 2020 to Mar 30, 2021
    • Accounts · 821 to 812
      Mar 20, 2019 to Mar 19, 2020
    • HNW clients · 122 to 158
      Mar 20, 2019 to Mar 19, 2020
    • Individual clients · 252 to 202
      Mar 20, 2019 to Mar 19, 2020
    • Employees · 14 to 15
      Mar 20, 2019 to Mar 19, 2020
    • Financial planning clients · 11-25 to 1-10
      Mar 20, 2019 to Mar 19, 2020
    • Discretionary RAUM · $784M to $856M
      Mar 20, 2019 to Mar 19, 2020
    • HNW RAUM · $467M to $685M
      Mar 20, 2019 to Mar 19, 2020
    • Individual RAUM · $175M to $15.7M
      Mar 20, 2019 to Mar 19, 2020
    • Pension RAUM · $30.8M to $35.7M
      Mar 20, 2019 to Mar 19, 2020
    • RAUM · $784M to $856M
      Mar 20, 2019 to Mar 19, 2020
    • Wrap assets (manager) · $986,640 to $0
      Mar 20, 2019 to Mar 19, 2020
    • Accounts · 782 to 821
      Jul 13, 2018 to Mar 20, 2019
    • Advisory employees · 11 to 12
      Jul 13, 2018 to Mar 20, 2019
    • Charity clients · 10 to 11
      Jul 13, 2018 to Mar 20, 2019
    • HNW clients · 139 to 122
      Jul 13, 2018 to Mar 20, 2019
    • Individual clients · 234 to 252
      Jul 13, 2018 to Mar 20, 2019
    • Pension plan clients · 21 to 20
      Jul 13, 2018 to Mar 20, 2019
    • Employees · 13 to 14
      Jul 13, 2018 to Mar 20, 2019
    • Financial planning clients · 26-50 to 11-25
      Jul 13, 2018 to Mar 20, 2019
    • Discretionary RAUM · $831M to $784M
      Jul 13, 2018 to Mar 20, 2019
    • HNW RAUM · $515M to $467M
      Jul 13, 2018 to Mar 20, 2019
    • Individual RAUM · $165M to $175M
      Jul 13, 2018 to Mar 20, 2019
    • Pension RAUM · $33.0M to $30.8M
      Jul 13, 2018 to Mar 20, 2019
    • RAUM · $831M to $784M
      Jul 13, 2018 to Mar 20, 2019
    • Wrap assets (manager) · $1.1M to $986,640
      Jul 13, 2018 to Mar 20, 2019
    • Accounts · 754 to 782
      Jan 11, 2018 to Mar 22, 2018
    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