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
Oldfather Financial Services LLC
Latest filing Oct 9, 2025
First filing on the tape Jan 24, 2012 · 33 filings
SEC status approved since Apr 7, 2014
RAUM
$459M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
88%
$404M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$459M as of Oct 9, 2025
Jan 24, 2012$61.0M then
HNW client RAUM$139M as of Oct 9, 2025
Jan 22, 2018$35.5M then
State-registered IARs (5.B.3)4 as of Oct 9, 2025
Jan 24, 20120 then
Employees (5.A)5 as of Oct 9, 2025
Feb 18, 20151 then
Private funds: no history
RAUM +17% over the last fiscal year+11% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Oct 9, 2025; every figure names its basis
- RAUM per advisor
- $115MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 97derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $407,966derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$264M58%
- High-net-worth individuals$139M30%
- Charitable organizations$54.2M12%
- Corporations and businesses$978,8790.2%
- Pension and profit-sharing plans$201,2950.0%
- Individual clients
- 358reported
- HNW clients
- 28reported
- Pension plan clients
- 1reported
- Charitable clients
- 7reported
- Accounts
- 1,125reported
- Financial planning clients
- 1-10reported
- 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
none on the tape
Joined, latest
- Tristan James Crook from 308 FinancialOct 10, 2024 · Other
- Troy Allan Brockmeier from Wells Fargo Investments, LLCApr 20, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for Oldfather Financial ServicesFeb 24, 2026 · Kearney, Ne · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Alan William Oldfather · Sole Member/Chief Compliance Officercontrolsince 06/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Feb 7, 2025 to Mar 12, 2025
- Accounts · 1,110 to 1,125Feb 15, 2024 to Feb 7, 2025
- Advisory employees · 3 to 4Feb 15, 2024 to Feb 7, 2025
- Advisory activities · 2 to 3Feb 15, 2024 to Feb 7, 2025
- Individual clients · 384 to 358Feb 15, 2024 to Feb 7, 2025
- Pension plan clients · 0 to 1Feb 15, 2024 to Feb 7, 2025
- Employees · 3 to 5Feb 15, 2024 to Feb 7, 2025
- State-registered IARs · 3 to 4Feb 15, 2024 to Feb 7, 2025
- Discretionary RAUM · $371M to $445MFeb 15, 2024 to Feb 7, 2025
- HNW RAUM · $123M to $139MFeb 15, 2024 to Feb 7, 2025
- Individual RAUM · $220M to $264MFeb 15, 2024 to Feb 7, 2025
- Non-discretionary RAUM · $21.0M to $13.5MFeb 15, 2024 to Feb 7, 2025
- Pension RAUM · unset to 201295.0Feb 15, 2024 to Feb 7, 2025
- RAUM · $392M to $459MFeb 15, 2024 to Feb 7, 2025
- Accounts · 1,082 to 1,110Nov 2, 2023 to Feb 15, 2024
- Charity clients · 6 to 7Nov 2, 2023 to Feb 15, 2024
- Corporate clients · 1 to 2Nov 2, 2023 to Feb 15, 2024
- HNW clients · 21 to 28Nov 2, 2023 to Feb 15, 2024
- Individual clients · 388 to 384Nov 2, 2023 to Feb 15, 2024
- Financial planning clients · 0 to 1-10Nov 2, 2023 to Feb 15, 2024
- Discretionary RAUM · $331M to $371MNov 2, 2023 to Feb 15, 2024
- HNW RAUM · $91.5M to $123MNov 2, 2023 to Feb 15, 2024
- Individual RAUM · $207M to $220MNov 2, 2023 to Feb 15, 2024
- Non-discretionary RAUM · $14.5M to $21.0MNov 2, 2023 to Feb 15, 2024
- RAUM · $346M to $392MNov 2, 2023 to Feb 15, 2024
- Accounts · 1,004 to 1,082Mar 30, 2022 to Feb 27, 2023
- Corporate clients · 0 to 1Mar 30, 2022 to Feb 27, 2023
- HNW clients · 19 to 21Mar 30, 2022 to Feb 27, 2023
- Individual clients · 375 to 388Mar 30, 2022 to Feb 27, 2023
- Discretionary RAUM · $324M to $331MMar 30, 2022 to Feb 27, 2023
- HNW RAUM · $87.0M to $91.5MMar 30, 2022 to Feb 27, 2023
- Individual RAUM · $197M to $207MMar 30, 2022 to Feb 27, 2023
- Non-discretionary RAUM · $11.0M to $14.5MMar 30, 2022 to Feb 27, 2023
- RAUM · $335M to $346MMar 30, 2022 to Feb 27, 2023
- Accounts · 907 to 1,004Jan 14, 2022 to Mar 30, 2022
- Advisory employees · 2 to 3Jan 14, 2022 to Mar 30, 2022
- Charity clients · 5 to 6Jan 14, 2022 to Mar 30, 2022
- HNW clients · 10 to 19Jan 14, 2022 to Mar 30, 2022
- Individual clients · 459 to 375Jan 14, 2022 to Mar 30, 2022
- Employees · 2 to 3Jan 14, 2022 to Mar 30, 2022
Signals
4 dated events
- Oldfather Financial Services Llc no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $459.0M)Mar 2, 2026 · Left the SEC roster · derived
- Oldfather Financial Services LLC's advisors moved to Oldfather Financial Services (Kearney, NE): 4 of 4 registered, succession filed, on the same dayFeb 24, 2026 · Firm absorbed (people side) · derived
- Oldfather Financial Services reported succeeding to the business of Oldfather Financial Services Llc (Form ADV Item 4)Dec 15, 2025 · Succession (Item 4) · fact
- Oldfather Financial Services Llc filed its initial SEC registration (Form ADV)Mar 19, 2014 · First SEC registration · 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