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.
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SEC-registered adviser
O•••••• F•••••••• C••••••••• I••
Latest filing Feb 3, 2026
First filing on the tape Feb 22, 2012 · 30 filings
SEC status approved since Apr 21, 1989
RAUM
$386M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$363M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$386M as of Feb 3, 2026
Jul 13, 2012$156M then
HNW client RAUM$256M as of Feb 3, 2026
Feb 9, 2018$79.3M then
State-registered IARs (5.B.3)3 as of Feb 3, 2026
Jul 13, 20120 then
Employees (5.A)9 as of Feb 3, 2026
Jul 2, 201310 then
Private funds: no history
RAUM +22% over the last fiscal year+15% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 3, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 186derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $237,814derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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
- High-net-worth individuals$256M66%
- Individuals$108M28%
- Pension and profit-sharing plans$23.1M6.0%
- Individual clients
- 414reported
- HNW clients
- 143reported
- Pension plan clients
- 11reported
- Charitable clients
- 0reported
- Accounts
- 1,625reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••••••• A••• F•••••Certified Financial Planner | Grass Valley, Ca | Apr 6, 2018 | 28 y | 1 |
| N••••• T••••• L•••••••Chartered Financial Analyst | Grass Valley, Ca | Jun 26, 2018 | 16 y | 0 |
| S••• T•••• L•••••••Certified Financial Planner | Grass Valley, Ca | Jan 1, 2025 | 11 y | 2 |
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
- K•••• A••••• H•••••• to S••••••••• A•••••• A•••••••• I•••Jun 21, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- S••• T•••• L••••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jan 1, 2025 · Other
- K•••• A••••• H•••••• from L•• F•••••••• L••Apr 6, 2018 · RIA to RIA
- F•••••••• A••• F••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Apr 6, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Nov 29, 2017 · Grass Valley, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••••• S•••• T•••• · Presidentcontrolsince 07/2018 · owns 75% or more
- L••• P•••••••• A••• · Chief Compliance Officersince 01/2000 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Grass Valley, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,526 to 1,625Feb 14, 2025 to Feb 3, 2026
- HNW clients · 150 to 143Feb 14, 2025 to Feb 3, 2026
- Individual clients · 345 to 414Feb 14, 2025 to Feb 3, 2026
- Employees · 10 to 9Feb 14, 2025 to Feb 3, 2026
- Discretionary RAUM · $316M to $386MFeb 14, 2025 to Feb 3, 2026
- HNW RAUM · $218M to $256MFeb 14, 2025 to Feb 3, 2026
- Individual RAUM · $82.2M to $108MFeb 14, 2025 to Feb 3, 2026
- Pension RAUM · $15.8M to $23.1MFeb 14, 2025 to Feb 3, 2026
- RAUM · $316M to $386MFeb 14, 2025 to Feb 3, 2026
- Accounts · 1,431 to 1,526Feb 9, 2024 to Feb 14, 2025
- HNW clients · 130 to 150Feb 9, 2024 to Feb 14, 2025
- Individual clients · 340 to 345Feb 9, 2024 to Feb 14, 2025
- Pension plan clients · 10 to 11Feb 9, 2024 to Feb 14, 2025
- Financial planning clients · 251-500 to 251-500Feb 9, 2024 to Feb 14, 2025
- Discretionary RAUM · $262M to $316MFeb 9, 2024 to Feb 14, 2025
- HNW RAUM · $166M to $218MFeb 9, 2024 to Feb 14, 2025
- Individual RAUM · $81.3M to $82.2MFeb 9, 2024 to Feb 14, 2025
- Pension RAUM · $14.1M to $15.8MFeb 9, 2024 to Feb 14, 2025
- RAUM · $262M to $316MFeb 9, 2024 to Feb 14, 2025
- Accounts · 1,399 to 1,431Feb 2, 2023 to Feb 9, 2024
- Advisory employees · 4 to 3Feb 2, 2023 to Feb 9, 2024
- BD registered reps · 4 to 3Feb 2, 2023 to Feb 9, 2024
- HNW clients · 140 to 130Feb 2, 2023 to Feb 9, 2024
- Individual clients · 320 to 340Feb 2, 2023 to Feb 9, 2024
- Pension plan clients · 9 to 10Feb 2, 2023 to Feb 9, 2024
- State-registered IARs · 4 to 3Feb 2, 2023 to Feb 9, 2024
- Discretionary RAUM · $251M to $262MFeb 2, 2023 to Feb 9, 2024
- HNW RAUM · $171M to $166MFeb 2, 2023 to Feb 9, 2024
- Individual RAUM · $73.4M to $81.3MFeb 2, 2023 to Feb 9, 2024
- Pension RAUM · $6.5M to $14.1MFeb 2, 2023 to Feb 9, 2024
- RAUM · $251M to $262MFeb 2, 2023 to Feb 9, 2024
- Accounts · 1,352 to 1,399Feb 18, 2022 to Feb 2, 2023
- HNW clients · 125 to 140Feb 18, 2022 to Feb 2, 2023
- Pension plan clients · 10 to 9Feb 18, 2022 to Feb 2, 2023
- Discretionary RAUM · $282M to $251MFeb 18, 2022 to Feb 2, 2023
- HNW RAUM · $115M to $171MFeb 18, 2022 to Feb 2, 2023
- Individual RAUM · $160M to $73.4MFeb 18, 2022 to Feb 2, 2023
- Pension RAUM · $8.0M to $6.5MFeb 18, 2022 to Feb 2, 2023
- RAUM · $282M to $251MFeb 18, 2022 to Feb 2, 2023
- Accounts · 1,332 to 1,352Oct 7, 2021 to Feb 18, 2022
Signals
1 dated events
- Labs Sabine Ostrofe (Vice President) no longer on Schedule A of O•••••• F•••••••• C••••••••• I•• (listed 2021-03-03, absent 2021-06-24)Jun 24, 2021 · 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
- 530-273-4425reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-399-5489reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- O••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 530-273-4425reportedpublic record, Form ADV, Feb 3, 2026
- Team page
- o•••••••••.comreportedpublished 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
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026