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

Professional Planning

Former SEC-registered adviserThousand Oaks, CaliforniaCRD 109561SEC 801-57077IAPD
Legal name Thousand Oaks Financial Corporation
Latest filing Sep 29, 2021
First filing on the tape Feb 7, 2012 · 23 filings
RAUM
$187M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$174M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$187M as of Sep 29, 2021
Feb 7, 2012$146M then
HNW client RAUM$62.1M as of Sep 29, 2021
Mar 24, 2018$203M then
State-registered IARs (5.B.3)4 as of Sep 29, 2021
Feb 7, 20120 then
Employees (5.A)8 as of Sep 29, 2021
Feb 15, 20137 then
Private funds: no history
RAUM -58% over the last fiscal year-19% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Sep 29, 2021; every figure names its basis
RAUM per advisor
$46.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
87derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$206,342derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-58%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
-44%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$112M60%
  • High-net-worth individuals$62.1M33%
  • Pension and profit-sharing plans$10.9M5.8%
  • Corporations and businesses$1.9M1.0%
Individual clients
313reported
HNW clients
35reported
Pension plan clients
8reported
Charitable clients
n/areported
Accounts
906reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Left, latest
Joined, 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
    • Henry Melvyn Nachman · Directorcontrol
      since 02/2000 · owns less than 5%
    • Dan Stridsberg · Chief Compliance Officercontrol
      since 10/2020 · owns less than 5%
    Entity owners
    • Thousand Oaks Financial Holding LLC · Owner
      direct · owns 75% or more
    • Ci US Holdings Inc. · Member
      indirect · owns 50% to 75% of Thousand Oaks Financial Holding LLC
    • Ocm Holdings, Lllp · Member
      indirect · owns 25% to 50% of Thousand Oaks Financial Holding LLC
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 2,097 to 906
      Nov 20, 2020 to Sep 29, 2021
    • BD registered reps · 8 to 7
      Nov 20, 2020 to Sep 29, 2021
    • Corporate clients · 9 to 4
      Nov 20, 2020 to Sep 29, 2021
    • HNW clients · 135 to 35
      Nov 20, 2020 to Sep 29, 2021
    • Individual clients · 485 to 313
      Nov 20, 2020 to Sep 29, 2021
    • Pension plan clients · 29 to 8
      Nov 20, 2020 to Sep 29, 2021
    • Assets in custody · 446574.0 to unset
      Nov 20, 2020 to Sep 29, 2021
    • Custody of client assets · true to false
      Nov 20, 2020 to Sep 29, 2021
    • State-registered IARs · 5 to 4
      Nov 20, 2020 to Sep 29, 2021
    • Discretionary RAUM · $447M to $187M
      Nov 20, 2020 to Sep 29, 2021
    • HNW RAUM · $282M to $62.1M
      Nov 20, 2020 to Sep 29, 2021
    • Individual RAUM · $135M to $112M
      Nov 20, 2020 to Sep 29, 2021
    • Pension RAUM · $25.9M to $10.9M
      Nov 20, 2020 to Sep 29, 2021
    • RAUM · $447M to $187M
      Nov 20, 2020 to Sep 29, 2021
    • Related adviser · false to true
      Sep 1, 2020 to Nov 20, 2020
    • Accounts · 1,953 to 2,097
      Jun 26, 2020 to Sep 1, 2020
    • Corporate clients · 8 to 9
      Jun 26, 2020 to Sep 1, 2020
    • HNW clients · 118 to 135
      Jun 26, 2020 to Sep 1, 2020
    • Individual clients · 506 to 485
      Jun 26, 2020 to Sep 1, 2020
    • Pension plan clients · 33 to 29
      Jun 26, 2020 to Sep 1, 2020
    • Assets in custody · $538,627 to $446,574
      Jun 26, 2020 to Sep 1, 2020
    • Discretionary RAUM · $394M to $447M
      Jun 26, 2020 to Sep 1, 2020
    • HNW RAUM · $228M to $282M
      Jun 26, 2020 to Sep 1, 2020
    • Individual RAUM · $136M to $135M
      Jun 26, 2020 to Sep 1, 2020
    • Pension RAUM · $25.3M to $25.9M
      Jun 26, 2020 to Sep 1, 2020
    • RAUM · $394M to $447M
      Jun 26, 2020 to Sep 1, 2020
    • Related broker-dealer · true to false
      Jun 26, 2020 to Sep 1, 2020
    • Accounts · 1,857 to 1,953
      Aug 12, 2019 to Sep 12, 2019
    • Corporate clients · 7 to 8
      Aug 12, 2019 to Sep 12, 2019
    • HNW clients · 106 to 118
      Aug 12, 2019 to Sep 12, 2019
    • Individual clients · 507 to 506
      Aug 12, 2019 to Sep 12, 2019
    • Pension plan clients · 45 to 33
      Aug 12, 2019 to Sep 12, 2019
    • Assets in custody · $553,601 to $538,627
      Aug 12, 2019 to Sep 12, 2019
    • Discretionary RAUM · $353M to $394M
      Aug 12, 2019 to Sep 12, 2019
    • HNW RAUM · $203M to $228M
      Aug 12, 2019 to Sep 12, 2019
    • Individual RAUM · $123M to $136M
      Aug 12, 2019 to Sep 12, 2019
    • Pension RAUM · $24.1M to $25.3M
      Aug 12, 2019 to Sep 12, 2019
    • RAUM · $353M to $394M
      Aug 12, 2019 to Sep 12, 2019
    • Related broker-dealer · false to true
      Aug 12, 2019 to Sep 12, 2019
    • Legal name · NACHMAN MELVYN HENRY to THOUSAND OAKS FINANCIAL CORPORATION
      May 28, 2019 to Aug 12, 2019
    Signals
    9 dated events
    • Kevin Garrett Johnson left Professional Planning for One Capital Management, Llc (registered 2020-10-28)
      Sep 9, 2022 · Advisor changed firm · fact
    • Cranston Richard Gesell left Professional Planning for One Capital Management, Llc (registered 2020-10-30)
      Sep 9, 2022 · Advisor changed firm · fact
    • 2 advisors left Professional Planning (Thousand Oaks, CA) for One Capital Management, LLC on the same day
      Sep 9, 2022 · Team lift-out · derived
    • Kenneth Alan Bock left Professional Planning for Mutual Advisors, Llc (registered 2022-06-01)
      Aug 24, 2022 · Advisor changed firm · fact
    • Professional Planning reported RAUM $186.9M, down 58% from $447.1M (2020-11-20 to 2021-09-29)
      Sep 29, 2021 · RAUM change · derived
    • Richard Cranston Gesell (Manager) no longer on Schedule A of Professional Planning (listed 2020-09-01, absent 2020-11-20)
      Nov 20, 2020 · Control person left · inference
    • Dan Stridsberg (Chief Compliance Officer) appeared on Schedule A of Professional Planning
      Nov 20, 2020 · Control person joined · fact
    • Richard Cranston Gesell (Manager) appeared on Schedule A of Professional Planning
      Sep 1, 2020 · Control person joined · fact
    • Professional Planning reported succeeding to the business of Another Adviser (Form ADV Item 4)
      May 28, 2019 · 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