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
Ofm Wealth
Legal name Investment Center, Inc.
Latest filing Mar 18, 2025
First filing on the tape May 22, 2013 · 27 filings
SEC status approved since Jun 11, 2013
RAUM
$311M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
93%
$289M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$311M as of Mar 18, 2025
Mar 12, 2014$189M then
HNW client RAUM$246M as of Mar 18, 2025
Mar 27, 2018$140M then
State-registered IARs (5.B.3)4 as of Mar 18, 2025
Mar 12, 20143 then
Employees (5.A)6 as of Mar 18, 2025
Mar 12, 20145 then
Private funds: no history
RAUM +6.6% over the last fiscal year-0.4% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 18, 2025; every figure names its basis
- RAUM per advisor
- $77.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $324,483derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%derived
- Compensation
- percentage of assets, hourlyreportedItem 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$246M79%
- Individuals$42.8M14%
- Corporations and businesses$15.4M5.0%
- Pension and profit-sharing plans$6.5M2.1%
- Individual clients
- 135reported
- HNW clients
- 79reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 957reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- Cristine Marie Marik to Modern Wealth Management, LLCSep 25, 2025 · RIA to RIA
- Matthew James Schaap to Modern Wealth Management, LLCSep 25, 2025 · RIA to RIA
- Brendan Thomas Nuzzo to Modern Wealth Management, LLCSep 25, 2025 · RIA to RIA
- Sam Ogrizovich to Cambridge Investment Research, Inc.Sep 25, 2025 · Other
- Jeffrey Carl Grenchik to Private Advisor Group, LLCJan 28, 2022 · RIA to affiliated broker-dealer or bank
- William L. Traylor to MarinerDec 17, 2018 · RIA to RIA
- James Ballor to J.P. Morgan Securities LLCJun 30, 2016 · Other
- Jesse Joseph Szlaga to Mariner Wealth AdvisorsOct 30, 2015 · Other
- Joel D Poortenga to Gps Financial Group, LLCJul 31, 2015 · Other
- James Noel Louwerse to Gps Financial Group, LLCJul 16, 2015 · Other
Joined, latest
- Cristine Marie Marik from Stevens Wealth Management LLCAug 24, 2016 · Other
- James Ballor from Strategic Advisers LLCAug 4, 2015 · Other
- Joel D Poortenga from Cambridge Investment Research Advisors, Inc.Apr 10, 2013 · Other
- James Noel Louwerse from Cambridge Investment Research Advisors, Inc.Apr 10, 2013 · Other
- Sam Ogrizovich from Cetera Advisor Networks LLCOct 18, 1997 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Modern Wealth Management, LLCSep 25, 2025 · Orland Park, Il · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Cain Jane Ogrizovich · Vice President And Chief Compliance Officercontrolsince 10/1982 · owns less than 5%
- Sam Ogrizovich · President And Senior Wealth Managercontrolsince 10/1982 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Orland Park, Il · principal | 0 | 0 | 4 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 919 to 957Mar 27, 2024 to Mar 18, 2025
- Corporate clients · 6 to 7Mar 27, 2024 to Mar 18, 2025
- HNW clients · 72 to 79Mar 27, 2024 to Mar 18, 2025
- Individual clients · 140 to 135Mar 27, 2024 to Mar 18, 2025
- Pension plan clients · 5 to 6Mar 27, 2024 to Mar 18, 2025
- Financial planning clients · 101-250 to 101-250Mar 27, 2024 to Mar 18, 2025
- State-registered IARs · 3 to 4Mar 27, 2024 to Mar 18, 2025
- Discretionary RAUM · $280M to $298MMar 27, 2024 to Mar 18, 2025
- HNW RAUM · $224M to $246MMar 27, 2024 to Mar 18, 2025
- Individual RAUM · $46.9M to $42.8MMar 27, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $11.5M to $12.8MMar 27, 2024 to Mar 18, 2025
- Pension RAUM · $6.0M to $6.5MMar 27, 2024 to Mar 18, 2025
- RAUM · $291M to $311MMar 27, 2024 to Mar 18, 2025
- Accounts · 910 to 919Mar 30, 2023 to Mar 27, 2024
- Advisory employees · 3 to 4Mar 30, 2023 to Mar 27, 2024
- Corporate clients · 8 to 6Mar 30, 2023 to Mar 27, 2024
- HNW clients · 66 to 72Mar 30, 2023 to Mar 27, 2024
- Individual clients · 151 to 140Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $249M to $280MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $193M to $224MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $49.5M to $46.9MMar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $11.3M to $11.5MMar 30, 2023 to Mar 27, 2024
- Pension RAUM · $4.0M to $6.0MMar 30, 2023 to Mar 27, 2024
- RAUM · $260M to $291MMar 30, 2023 to Mar 27, 2024
- Accounts · 811 to 910Nov 4, 2022 to Mar 30, 2023
- Advisory employees · 2 to 3Nov 4, 2022 to Mar 30, 2023
- Corporate clients · 3 to 8Nov 4, 2022 to Mar 30, 2023
- HNW clients · 72 to 66Nov 4, 2022 to Mar 30, 2023
- Individual clients · 148 to 151Nov 4, 2022 to Mar 30, 2023
- State-registered IARs · 0 to 3Nov 4, 2022 to Mar 30, 2023
- Discretionary RAUM · $300M to $249MNov 4, 2022 to Mar 30, 2023
- HNW RAUM · $237M to $193MNov 4, 2022 to Mar 30, 2023
- Individual RAUM · $54.7M to $49.5MNov 4, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $14.2M to $11.3MNov 4, 2022 to Mar 30, 2023
- Pension RAUM · $7.4M to $4.0MNov 4, 2022 to Mar 30, 2023
- RAUM · $314M to $260MNov 4, 2022 to Mar 30, 2023
- Accounts · 772 to 811Mar 25, 2021 to Mar 28, 2022
- Advisory employees · 4 to 2Mar 25, 2021 to Mar 28, 2022
- Corporate clients · 5 to 3Mar 25, 2021 to Mar 28, 2022
- HNW clients · 73 to 72Mar 25, 2021 to Mar 28, 2022
Signals
8 dated events
- Ofm Wealth no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $310.5M)Dec 20, 2025 · Left the SEC roster · derived
- Matthew James Schaap left Ofm Wealth for Modern Wealth Management, Llc (registered 2025-04-29)Sep 25, 2025 · Advisor changed firm · fact
- Cristine Marie Marik left Ofm Wealth for Modern Wealth Management, Llc (registered 2025-04-25)Sep 25, 2025 · Advisor changed firm · fact
- Brendan Thomas Nuzzo left Ofm Wealth for Modern Wealth Management, Llc (registered 2025-04-25)Sep 25, 2025 · Advisor changed firm · fact
- Sam Ogrizovich left Ofm Wealth for Cambridge Investment Research, Inc. (registered 2005-03-18)Sep 25, 2025 · Advisor changed firm · fact
- Ofm Wealth's advisors moved to Modern Wealth Management, LLC (Orland Park, IL): 3 of 4 registered, on the same daySep 25, 2025 · Firm absorbed (people side) · derived
- Jeffrey Carl Grenchik left Ofm Wealth for Private Advisor Group, Llc (registered 2022-02-03)Jan 28, 2022 · Advisor changed firm · fact
- Ogrizovich Financial Management, Inc. filed its initial SEC registration (Form ADV)May 22, 2013 · 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