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
Okabena Investment Services Inc
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 39 filings
SEC status approved since Nov 29, 1994
RAUM
$2.1B
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
23%
$486M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$530M
derived; firm RAUM over IAPD count
Employees
18
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$2.1B as of Mar 27, 2026
Mar 29, 2012$1.3B then
HNW client RAUM$486M as of Mar 27, 2026
Mar 26, 2018$74.6M then
State-registered IARs (5.B.3)4 as of Mar 27, 2026
Mar 29, 20120 then
Employees (5.A)18 as of Mar 27, 2026
Mar 28, 201310 then
Private funds10 as of Mar 27, 2026
Mar 29, 201210 then
RAUM +15% over the last fiscal year+12% a year over threeIARs 1 to 4
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $530MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $5.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +300%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $2.1B, 153 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.4B73%
- High-net-worth individuals$486M25%
- Charitable organizations$48.3M2.5%
- Individuals$630.0%
- Individual clients
- n/areported
- HNW clients
- 125reported
- Pension plan clients
- 0reported
- Charitable clients
- 11reported
- Accounts
- 383reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.1B for 153 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.23 fund_share=0.67 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Eric Lee PirklChartered Financial Analyst | Minneapolis, Mn | Mar 23, 2012 | 20 y | 0 |
| Thomas Butler DoranChartered Financial Analyst | Minneapolis, Mn | Sep 25, 2025 | 11 y | 0 |
| Scott Frederick ReweyCertified Financial Planner | Minneapolis, Mn | Sep 25, 2025 | 31 y | 1 |
| Na ZhangChartered Financial Analyst | Minneapolis, Mn | Mar 6, 2026 | 13 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- Scott Frederick Rewey from Oxford Financial Group, LtdSep 25, 2025 · Other
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Okabena Private Markets Fund, LLC | Hedge Fund | $305M | 99 | Mar 29, 2012 |
| Okabena International Equity Fund, LLC | Hedge Fund | $269M | 111 | Mar 29, 2012 |
| Okabena U.S. Equity Fund, LLC | Hedge Fund | $213M | 87 | Mar 29, 2012 |
| Okabena Marketable Alternatives Fund II, LLC | Hedge Fund | $211M | 105 | Mar 29, 2012 |
| Okabena Diversified Equity Fund, LLC | Hedge Fund | $137M | 21 | Mar 29, 2012 |
| Okabena Bond Fund, LLC | Hedge Fund | $121M | 113 | Mar 29, 2012 |
| Okabena Marketable Alternatives Fund, LLC | Hedge Fund | $107M | 22 | Mar 29, 2012 |
| Okabena Special Opportunities Fund, LLC | Hedge Fund | $45.8M | 19 | Mar 29, 2012 |
| Okabena Opportunities Fund, LLC | Hedge Fund | $26.2M | 16 | Mar 29, 2012 |
| Okabena Fixed Income Fund, LLC | Hedge Fund | $9.1M | 18 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Jackson Tobin Dayton · Directorcontrolsince 09/2018 · owns less than 5%
- Butler Thomas Doran · Director (08/2019), Vice President And Senior Client Portfolio Managercontrolsince 08/2019 · owns less than 5%
- Heywood James Field · President (12/2019), Directorcontrolsince 09/2018 · owns less than 5%
- Ann Jocelyn Henkensiefken · Vice President And Chief Compliance Officercontrolsince 01/2026 · owns less than 5%
- Guy Steven Lentz · General Counsel And Chief Compliance Officercontrolsince 06/2018 · owns less than 5%
- Michael Scott Russett · Senior Vice President And Chief Operating Officercontrolsince 01/2014 · owns less than 5%
- John Dennis Santos · Director, Senior Vice President & Chief Investment Officercontrolsince 04/2021 · owns less than 5%
Entity owners
- Okabena Company · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- Boulder Bridge Trust Companyn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Minneapolis, Mn · principal | 4 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 27, 2026HENKENSIEFKEN, JOCELYN, ANN (VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2021-04-19 and 2026-03-27peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 27, 2026LENTZ, STEVEN, GUY (GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2021-04-19 and 2026-03-27peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 27, 2026SANTOS, DENNIS, JOHN (DIRECTOR, SENIOR VICE PRESIDENT & CHIEF INVESTMENT OFFICER) left Schedule A between the filings of 2021-04-19 and 2026-03-27peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 303 to 383Jan 2, 2026 to Mar 27, 2026
- Charity clients · 15 to 11Jan 2, 2026 to Mar 27, 2026
- Corporate clients · 1 to 0Jan 2, 2026 to Mar 27, 2026
- HNW clients · 87 to 125Jan 2, 2026 to Mar 27, 2026
- Individual clients · 6.0 to unsetJan 2, 2026 to Mar 27, 2026
- Assets in custody · $1.8B to $2.1BJan 2, 2026 to Mar 27, 2026
- State-registered IARs · 1 to 4Jan 2, 2026 to Mar 27, 2026
- Discretionary RAUM · $1.7B to $1.9BJan 2, 2026 to Mar 27, 2026
- HNW RAUM · $335M to $486MJan 2, 2026 to Mar 27, 2026
- Individual RAUM · $509,139 to $63Jan 2, 2026 to Mar 27, 2026
- Non-discretionary RAUM · $171M to $231MJan 2, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $1.3B to $1.4BJan 2, 2026 to Mar 27, 2026
- RAUM · $1.8B to $2.1BJan 2, 2026 to Mar 27, 2026
- Accounts · 251 to 303Mar 29, 2024 to Mar 25, 2025
- HNW clients · 81 to 87Mar 29, 2024 to Mar 25, 2025
- Individual clients · 2 to 6Mar 29, 2024 to Mar 25, 2025
- Assets in custody · $1.7B to $1.8BMar 29, 2024 to Mar 25, 2025
- Employees · 17 to 18Mar 29, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.6B to $1.7BMar 29, 2024 to Mar 25, 2025
- HNW RAUM · $264M to $335MMar 29, 2024 to Mar 25, 2025
- Individual RAUM · $32,190 to $509,139Mar 29, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $161M to $171MMar 29, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $1.3B to $1.3BMar 29, 2024 to Mar 25, 2025
- RAUM · $1.7B to $1.8BMar 29, 2024 to Mar 25, 2025
- Accounts · 242 to 251Mar 17, 2023 to Mar 28, 2024
- Charity clients · 26 to 15Mar 17, 2023 to Mar 28, 2024
- HNW clients · 174 to 81Mar 17, 2023 to Mar 28, 2024
- Individual clients · 24 to 2Mar 17, 2023 to Mar 28, 2024
- Assets in custody · $1.5B to $1.7BMar 17, 2023 to Mar 28, 2024
- Employees · 16 to 17Mar 17, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.4B to $1.6BMar 17, 2023 to Mar 28, 2024
- HNW RAUM · $168M to $264MMar 17, 2023 to Mar 28, 2024
- Individual RAUM · $9.7M to $32,190Mar 17, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $119M to $161MMar 17, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.2B to $1.3BMar 17, 2023 to Mar 28, 2024
- RAUM · $1.5B to $1.7BMar 17, 2023 to Mar 28, 2024
- Accounts · 217 to 242Mar 28, 2022 to Mar 17, 2023
- Charity clients · 32 to 26Mar 28, 2022 to Mar 17, 2023
- HNW clients · 155 to 174Mar 28, 2022 to Mar 17, 2023
Signals
3 dated events
- J Dennis Santos (Director, Senior Vice President & Chief Investment Officer) appeared on Schedule A of Okabena Investment Services IncApr 19, 2021 · Control person joined · fact
- Butler Thomas Doran (Director (08/2019), Senior Client Relationship Manager) appeared on Schedule A of Okabena Investment Services IncAug 6, 2019 · Control person joined · fact
- Arthur Douglas Neimann (Director, President, Chief Investment Officer) no longer on Schedule A of Okabena Investment Services Inc (listed 2019-03-29, absent 2019-08-06)Aug 6, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Okabena Investment Services Inc · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Website
- OKABENA.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 612-339-7151reportedpublic record, Form ADV, Mar 27, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $530Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026