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
Silveroak Wealth Management LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 21, 2012 · 26 filings
SEC status approved since Apr 27, 2001
RAUM
$2.0B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$2.0B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$285M
derived; firm RAUM over IAPD count
Employees
23
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$2.0B as of Mar 31, 2026
Mar 21, 2012$249M then
HNW client RAUM$1.9B as of Mar 31, 2026
Mar 26, 2018$715M then
State-registered IARs (5.B.3)7 as of Mar 31, 2026
Mar 27, 20130 then
Employees (5.A)23 as of Mar 31, 2026
Mar 27, 20137 then
Private funds: no history
RAUM +16% over the last fiscal year+14% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Mar 31, 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
- RAUM per advisor
- $285MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.9MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $831M, 270 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.9B97%
- Individuals$64.9M3.2%
- Corporations and businesses$4.1M0.2%
- Individual clients
- 116reported
- HNW clients
- 328reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,992reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $831M for 270 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Shannon Alan KingCertified Financial Planner | Edina, Mn | Aug 26, 2005 | 27 y | 0 |
| Jonathan Leigh ScharlauCertified Financial Planner, Chartered Financial Analyst | Edina, Mn | Jan 9, 2014 | 34 y | 1 |
| Nicholas James ThunkerCertified Financial Planner | Edina, Mn | Jan 9, 2014 | 19 y | 0 |
| Kathleen Jean NelsonCertified Financial Planner, Personal Financial Specialist | Edina, Mn | Jun 27, 2017 | 27 y | 0 |
| Alexander William DunneCertified Financial Planner | Edina, Mn | Mar 19, 2018 | 10 y | 0 |
| Christopher Michael LinkCertified Financial Planner, Personal Financial Specialist | Edina, Mn | Sep 16, 2024 | 21 y | 0 |
| Daniel Linton HedegardCertified Financial Planner | Edina, Mn | Jun 12, 2025 | 11 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
none on the tape
Joined, latest
- Jonathan Leigh Scharlau from Warrington Partners, LLCJan 9, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Alan Shannon King · President, Chief Compliance Officer, Secretary, Chair & Membercontrolsince 03/2004 · owns 75% or more
- Jean Kathleen Nelson · Member, Vice President, Treasurercontrolsince 01/2020 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Edina, Mn · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,891 to 1,992Mar 26, 2025 to Mar 31, 2026
- Advisory employees · 7 to 8Mar 26, 2025 to Mar 31, 2026
- HNW clients · 326 to 328Mar 26, 2025 to Mar 31, 2026
- Individual clients · 119 to 116Mar 26, 2025 to Mar 31, 2026
- Assets in custody · $733M to $831MMar 26, 2025 to Mar 31, 2026
- State-registered IARs · 6 to 7Mar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.6B to $1.9BMar 26, 2025 to Mar 31, 2026
- HNW RAUM · $1.7B to $1.9BMar 26, 2025 to Mar 31, 2026
- Individual RAUM · $52.6M to $64.9MMar 26, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $118M to $129MMar 26, 2025 to Mar 31, 2026
- RAUM · $1.7B to $2.0BMar 26, 2025 to Mar 31, 2026
- Accounts · 1,802 to 1,891Mar 26, 2024 to Mar 26, 2025
- Advisory employees · 6 to 7Mar 26, 2024 to Mar 26, 2025
- HNW clients · 300 to 326Mar 26, 2024 to Mar 26, 2025
- Individual clients · 99 to 119Mar 26, 2024 to Mar 26, 2025
- Assets in custody · $669M to $733MMar 26, 2024 to Mar 26, 2025
- Employees · 20 to 23Mar 26, 2024 to Mar 26, 2025
- Financial planning clients · 251-500 to 251-500Mar 26, 2024 to Mar 26, 2025
- State-registered IARs · 5 to 6Mar 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.4B to $1.6BMar 26, 2024 to Mar 26, 2025
- HNW RAUM · $1.5B to $1.7BMar 26, 2024 to Mar 26, 2025
- Individual RAUM · $45.2M to $52.6MMar 26, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $106M to $118MMar 26, 2024 to Mar 26, 2025
- RAUM · $1.5B to $1.7BMar 26, 2024 to Mar 26, 2025
- Accounts · 1,684 to 1,802Mar 28, 2023 to Mar 25, 2024
- HNW clients · 280 to 300Mar 28, 2023 to Mar 25, 2024
- Individual clients · 95 to 99Mar 28, 2023 to Mar 25, 2024
- Assets in custody · $675M to $669MMar 28, 2023 to Mar 25, 2024
- Employees · 19 to 20Mar 28, 2023 to Mar 25, 2024
- Financial planning clients · 101-250 to 251-500Mar 28, 2023 to Mar 25, 2024
- Discretionary RAUM · $1.3B to $1.4BMar 28, 2023 to Mar 25, 2024
- HNW RAUM · $1.3B to $1.5BMar 28, 2023 to Mar 25, 2024
- Individual RAUM · $39.7M to $45.2MMar 28, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $69.4M to $106MMar 28, 2023 to Mar 25, 2024
- RAUM · $1.4B to $1.5BMar 28, 2023 to Mar 25, 2024
- Accounts · 1,581 to 1,684Mar 28, 2022 to Mar 28, 2023
- HNW clients · 262 to 280Mar 28, 2022 to Mar 28, 2023
- Individual clients · 94 to 95Mar 28, 2022 to Mar 28, 2023
- Assets in custody · $653M to $675MMar 28, 2022 to Mar 28, 2023
- Employees · 17 to 19Mar 28, 2022 to Mar 28, 2023
Signals
5 dated events
- Silveroak Wealth Management Llc reported RAUM $950.6M, up 25% from $760.4M (2020-01-29 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- B. Allen Kaufmann (Member, Secretary) no longer on Schedule A of Silveroak Wealth Management Llc (listed 2019-03-20, absent 2020-01-29)Jan 29, 2020 · Control person left · inference
- R. Kimberly Schwichtenberg (Member, Chief Manager) no longer on Schedule A of Silveroak Wealth Management Llc (listed 2019-03-20, absent 2020-01-29)Jan 29, 2020 · Control person left · inference
- L. John Thorvilson (Member, Treasurer) no longer on Schedule A of Silveroak Wealth Management Llc (listed 2019-03-20, absent 2020-01-29)Jan 29, 2020 · Control person left · inference
- Jean Kathleen Nelson (Member, Vice President, Treasurer) appeared on Schedule A of Silveroak Wealth Management LlcJan 29, 2020 · Control person joined · fact
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 email
- info@silveroakwealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 952-896-5700reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 952-896-5719reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- SILVEROAKWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 952-896-5700reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- silveroakwealth.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- silveroakwealth.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $285Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026