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
Oakwood Capital, Inc.
Latest filing May 12, 2026
First filing on the tape Mar 28, 2012 · 24 filings
SEC status approved since Feb 4, 2021
RAUM
$304M
reported, Item 5.F
Discretionary
28%
of RAUM
Private clients
86%
$263M individuals and HNW
Advisors
21
registered through the firm on IAPD
RAUM per advisor
$14.5M
derived; firm RAUM over IAPD count
Employees
20
18 advisory (5.B.1)
Offices
14
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$304M as of May 12, 2026
Mar 28, 2012$70.9M then
HNW client RAUM$121M as of May 12, 2026
Mar 30, 2021$70.4M then
State-registered IARs (5.B.3)18 as of May 12, 2026
Mar 28, 20120 then
Employees (5.A)20 as of May 12, 2026
Mar 30, 202120 then
Private funds: no history
RAUM +17% over the last fiscal year+16% a year over threeIARs 18 to 18
Practice profile
derived from the filing of May 12, 2026; every figure names its basis
- RAUM per advisor
- $14.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $670,850derivedHNW RAUM over HNW clients
- Average account
- $289,421derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 28%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.4derived15 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.9%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$142M53%
- High-net-worth individuals$121M45%
- Corporations and businesses$5.6M2.1%
- Individual clients
- 427reported
- HNW clients
- 181reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,051reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=18.0derived
Advisors registered through the firm
20 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Wendy Waalen | Fargo, Nd | Aug 15, 2011 | 18 y | 2 |
| David Bower Stevenson | St. Louis Park, Mn | Jul 24, 2012 | 43 y | 2 |
| Richard Kenneth Sunderland | Golden Valley, Mn | Mar 20, 2013 | 60 y | 3 |
| Robert Alan Strommen | St. Louis Park, Mn | Oct 25, 2013 | 48 y | 1 |
| Jonathan Drew London | St. Louis Park, Mn | Jan 17, 2014 | 20 y | 2 |
| John F Devereaux | St. Louis Park, Mn | Jan 17, 2014 | 22 y | 4 |
| Daniel Joseph Colich | Chanhassen, Mn | Jan 17, 2014 | 41 y | 2 |
| Jeffrey Roy Schuur | St. Louis Park, Mn | Jan 17, 2014 | 32 y | 1 |
| Corey David PedersonCertified Financial Planner, Chartered Financial Consultant | St Paul, Mn | Dec 8, 2015 | 29 y | 3 |
| Darrell Alve Mccroskey | Fargo, Nd | Jun 14, 2016 | 44 y | 2 |
| Jon Daniel BreimhorstCertified Financial Planner | St. Louis Park, Mn | Aug 9, 2018 | 15 y | 3 |
| Douglas Stephan KingCertified Financial Planner | Fort Myers, Fl | Apr 30, 2020 | 41 y | 4 |
| Jason Thomas KingCertified Financial Planner | St. Louis Park, Mn | Jul 2, 2020 | 10 y | 4 |
| Brandon Douglas King | St. Louis Park, Mn | Mar 11, 2021 | 10 y | 0 |
| Paul C Selsor | St. Louis Park, Mn | Mar 1, 2023 | 13 y | 1 |
| Michael William Mullins | Bermuda Dunes, Ca | Mar 6, 2023 | 39 y | 5 |
| Ryan Michael Weiss | St. Louis Park, Mn | Jan 7, 2026 | 11 y | 0 |
| Carol Ann Goetsch | Maple Grove, Mn | Apr 14, 2026 | 26 y | 4 |
| Steven Michael Fromm | St. Louis Park, Mn | May 13, 2026 | 16 y | 0 |
| Brian Scott Schaefer | Maitland, Fl | Sep 4, 2026 | 36 y | 2 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 4.8% of current headcount2 left over 36 months
Left, latest
- Justin Lee Pierce to Alphastar Capital ManagementJan 14, 2026 · RIA to RIA
- Brandon Douglas Vincent to Good Life Advisors, LLCJun 17, 2024 · RIA to RIA
- William David Richardson to Sound Income Strategies, LLCMar 10, 2023 · RIA to RIA
- Jill Anne Veenstra to Regal Investment Advisors LLCMay 2, 2022 · RIA to affiliated broker-dealer or bank
- Douglas Eugene Henke to LPL Financial LLCJul 15, 2019 · Other
- David Michael Mann to Securities America Advisors, Inc.Nov 13, 2015 · Other
- Ryan Michael Carlson to MML Investors Services, LLCJan 28, 2013 · Other
Joined, latest
- Brian Scott Schaefer from Tlg Advisors, Inc.Sep 4, 2026 · Affiliated broker-dealer or bank to independent RIA
- Carol Ann Goetsch from Tlg Advisors, Inc.Apr 14, 2026 · Affiliated broker-dealer or bank to independent RIA
- Justin Lee Pierce from Terra WealthMar 5, 2025 · RIA to RIA
- Paul C Selsor from Kestra Advisory Services, LLCMar 1, 2023 · Affiliated broker-dealer or bank to independent RIA
- Brandon Douglas Vincent from First Command Advisory ServicesDec 19, 2022 · Affiliated broker-dealer or bank to independent RIA
- Jason William Roeske from EhlersApr 7, 2022 · Other
- Jill Anne Veenstra from Huntington Financial AdvisorsMar 22, 2022 · Affiliated broker-dealer or bank to independent RIA
- Jason Thomas King from Prosperity Capital AdvisorsJul 2, 2020 · Other
- William David Richardson from Prosperity Capital AdvisorsMay 27, 2020 · Other
- Douglas Stephan King from Prosperity Capital AdvisorsApr 30, 2020 · Other
- Michael William Mullins from The Oak Ridge Financial Services Group, IncSep 27, 2019 · Other
- Jon Daniel Breimhorst from UBS Financial Services Inc.Jul 26, 2018 · Other
- Douglas Eugene Henke from American Investors Group, Inc.Nov 30, 2017 · Other
- Darrell Alve Mccroskey from Woodbury Financial Services, Inc.Jun 14, 2016 · Other
- Corey David Pederson from Northwestern Mutual Investment Services,LLCDec 8, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Douglas Brandon King · Ownercontrolsince 01/2024 · owns 10% to 25%
- Stephan Douglas King · President & Ccocontrolsince 05/2020 · owns less than 5%
- Stephan Douglas King · Trusteecontrolsince 05/2020 · owns F of The Douglas S King And Kathryn W King Living Trust
- Thomas Jason King · Trusteecontrolsince 01/2024 · owns F of The Jason & Kelsey King Revocable Living Trust
- W Kathryn King · Trusteecontrolsince 05/2020 · owns F of The Douglas S King And Kathryn W King Living Trust
Entity owners
- The Douglas S King And Kathryn W King Living Trust · Ownerdirect · owns 75% or more
- The Jason & Kelsey King Revocable Living Trust · Ownerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- Oakwood Capital Securities, Inc.broker-dealerreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| St Louis Park, Mn | 21 | 4 | 1 | ||
| Edina, Mn | 2 | 0 | 0 | ||
| Fargo, Nd | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Fort Myers, FL4 employees
- Fargo, ND2 employees
- Fargo, ND2 employees
- , 1 employees
- , 1 employees
- St. Paul, MN1 employees
- , 1 employees
- , 1 employees
- , 1 employees
- Minneapolis, MN1 employees
- Prescott, WI1 employees
- , 1 employees
- , 1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,001 to 1,051May 21, 2025 to Mar 30, 2026
- HNW clients · 179 to 181May 21, 2025 to Mar 30, 2026
- Individual clients · 412 to 427May 21, 2025 to Mar 30, 2026
- Discretionary RAUM · $87.1M to $86.7MMay 21, 2025 to Mar 30, 2026
- HNW RAUM · $112M to $121MMay 21, 2025 to Mar 30, 2026
- Individual RAUM · $111M to $142MMay 21, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $173M to $217MMay 21, 2025 to Mar 30, 2026
- RAUM · $260M to $304MMay 21, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Feb 26, 2025 to May 21, 2025
- Accounts · 977 to 1,001Mar 27, 2024 to Jan 31, 2025
- HNW clients · 60 to 179Mar 27, 2024 to Jan 31, 2025
- Individual clients · 517 to 412Mar 27, 2024 to Jan 31, 2025
- Discretionary RAUM · $21.8M to $87.1MMar 27, 2024 to Jan 31, 2025
- HNW RAUM · $76.4M to $112MMar 27, 2024 to Jan 31, 2025
- Individual RAUM · $112M to $111MMar 27, 2024 to Jan 31, 2025
- Non-discretionary RAUM · $199M to $173MMar 27, 2024 to Jan 31, 2025
- RAUM · $221M to $260MMar 27, 2024 to Jan 31, 2025
- Accounts · 940 to 977Apr 25, 2023 to Mar 27, 2024
- Corporate clients · unset to 3.0Apr 25, 2023 to Mar 27, 2024
- HNW clients · 52 to 60Apr 25, 2023 to Mar 27, 2024
- Individual clients · 535 to 517Apr 25, 2023 to Mar 27, 2024
- Financial planning clients · 1-10 to 0Apr 25, 2023 to Mar 27, 2024
- Discretionary RAUM · $17.8M to $21.8MApr 25, 2023 to Mar 27, 2024
- HNW RAUM · $65.2M to $76.4MApr 25, 2023 to Mar 27, 2024
- Individual RAUM · $107M to $112MApr 25, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $178M to $199MApr 25, 2023 to Mar 27, 2024
- RAUM · $196M to $221MApr 25, 2023 to Mar 27, 2024
- Related insurance company · false to trueApr 25, 2023 to Mar 27, 2024
- Accounts · 857 to 940Mar 2, 2023 to Mar 31, 2023
- Advisory employees · 19 to 18Mar 2, 2023 to Mar 31, 2023
- BD registered reps · 17 to 18Mar 2, 2023 to Mar 31, 2023
- HNW clients · 79 to 52Mar 2, 2023 to Mar 31, 2023
- Individual clients · 778 to 535Mar 2, 2023 to Mar 31, 2023
- Financial planning clients · 11-25 to 1-10Mar 2, 2023 to Mar 31, 2023
- State-registered IARs · 19 to 18Mar 2, 2023 to Mar 31, 2023
- Other offices · 15 to 14Mar 2, 2023 to Mar 31, 2023
- Discretionary RAUM · $764,910 to $17.8MMar 2, 2023 to Mar 31, 2023
- HNW RAUM · $31.8M to $65.2MMar 2, 2023 to Mar 31, 2023
- Individual RAUM · $167M to $107MMar 2, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $198M to $178MMar 2, 2023 to Mar 31, 2023
Signals
11 dated events
- Justin Lee Pierce left Oakwood Capital, Inc. for Alphastar Capital Management (registered 2025-12-23)Jan 14, 2026 · Advisor changed firm · fact
- Brandon Douglas Vincent left Oakwood Capital, Inc. for Good Life Advisors, Llc (registered 2024-06-26)Jun 17, 2024 · Advisor changed firm · fact
- Douglas Brandon King (Owner) appeared on Schedule A of Oakwood Capital, Inc.Mar 27, 2024 · Control person joined · fact
- Thomas Jason King (Trustee) appeared on Schedule A of Oakwood Capital, Inc.Mar 27, 2024 · Control person joined · fact
- William David Richardson left Oakwood Capital, Inc. for Sound Income Strategies, Llc (registered 2023-03-16)Mar 10, 2023 · Advisor changed firm · fact
- Jill Anne Veenstra left Oakwood Capital, Inc. for Regal Investment Advisors Llc (registered 2024-12-09)May 2, 2022 · Advisor changed firm · fact
- W Kathryn King (Trustee) appeared on Schedule A of Oakwood Capital, Inc.Jan 22, 2021 · Control person joined · fact
- Oakwood Capital, Inc. reported 16 state-registered advisory representatives, up from 0 (2012-05-04 to 2021-01-04)Jan 4, 2021 · Advisor headcount change · derived
- Stephan Douglas King (President & Cco) appeared on Schedule A of Oakwood Capital, Inc.Jan 4, 2021 · Control person joined · fact
- Gardner Advisors Inc. filed its initial SEC registration (Form ADV)Jan 4, 2021 · First SEC registration · fact
- Owen Larry Bumgardner (President/Chief Compliance Officer) no longer on Schedule A of Oakwood Capital, Inc. (listed 2012-05-04, absent 2021-01-04)Jan 4, 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 email
- info@oakwoodcapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- join@oakwoodcapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 239-350-0211reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 239-288-0520reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 763-277-8123reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/oakwood-capital-increportedpublic record, Form ADV, Sep 17, 2026
- Website
- OAKWOODCAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 952-935-4601reportedpublic record, Form ADV, May 12, 2026
- Contact form
- oakwoodcapital.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- oakwoodcapital.com/our-teamreportedpublished 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
- $14.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026