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

Orion Portfolio Solutions, LLC

Former SEC-registered adviserOmaha, NebraskaCRD 125446SEC 801-61964IAPD
Latest filing Oct 18, 2022
First filing on the tape Mar 22, 2012 · 61 filings
RAUM
$14B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$14B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
112
53 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
61 filings and snapshots on the tape
RAUM$14B as of Mar 31, 2022
Mar 22, 2012$5.4M then
HNW client RAUM$2.1B as of Mar 31, 2022
Mar 14, 2018$1.6M then
State-registered IARs (5.B.3)53 as of Mar 31, 2022
Mar 22, 20120 then
Employees (5.A)112 as of Mar 31, 2022
Mar 25, 201356 then
Private funds: no history
RAUM +37% over the last fiscal year+1159% a year over threeIARs 53 to 53
Practice profile
derived from the filing of Oct 18, 2022; every figure names its basis
RAUM per advisor
$268MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
1,528derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$174,723derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.1derivedItem 5.A over advisors
Advisors per office
17.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+37%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-51%derived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
$2.9BreportedItem 5.I
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$12B85%
  • High-net-worth individuals$2.1B15%
  • Corporations and businesses$103M0.7%
Individual clients
79,970reported
HNW clients
1,034reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
81,242reported
Financial planning clients
0reported
Wrap fee programs
$2.8B sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Daniel Mark Applegarth · Chief Financial Officer / Treasurercontrol
    since 01/2019 · owns less than 5%
  • Marie Kylee Beach · General Counsel/Secretarycontrol
    since 09/2019 · owns less than 5%
  • Bruce Ryan Beach · Chief Of Staffcontrol
    since 01/2019 · owns less than 5%
  • Reese Eric Clarke · Chief Executive Officercontrol
    since 03/2021 · owns less than 5%
  • Michael Brian Ferko · Chief Compliance Officercontrol
    since 03/2021 · owns less than 5%
  • Wilford Michael Forker · Chief Of Staff Of Operationscontrol
    since 03/2022 · owns less than 5%
  • Thomas Randy Lambert · Chief Operations Officercontrol
    since 03/2021 · owns less than 5%
  • Russell Jonathan Baum · Elected Managercontrol
    since 10/2020 · owns F of Gt Polaris Holdings, L.P.
  • Darcy Noreen Beaman · Elected Managercontrol
    since 09/2020 · owns F of Gt Polaris Holdings, L.P.
  • Roy Michael Burns · Elected Managercontrol
    since 09/2020 · owns F of Gt Polaris Holdings, L.P.
  • Reese Eric Clarke · Elected Managercontrol
    since 09/2020 · owns F of Gt Polaris Holdings, L.P.
  • Richard Todd Crockett · Elected Managercontrol
    since 09/2020 · owns F of Gt Polaris Holdings, L.P.
  • George Charles Goldman · Elected Managercontrol
    since 07/2022 · owns F of Gt Polaris Holdings, L.P.
  • Tope Lori Hardwick · Elected Managercontrol
    since 10/2020 · owns F of Gt Polaris Holdings, L.P.
  • Thomas Brian Mclaughlin · Elected Managercontrol
    since 07/2022 · owns F of Gt Polaris Holdings, L.P.
  • Siddharth Ramakrishnan · Elected Managercontrol
    since 09/2020 · owns F of Gt Polaris Holdings, L.P.
  • Jon Anthony Salewski · Elected Managercontrol
    since 09/2020 · owns F of Gt Polaris Holdings, L.P.
Entity owners
  • Orion Advisor Solutions, Inc. · Sole Member
    direct · owns 75% or more
  • Genstar Capital Ix, L.P. · General Partner
    indirect · owns F of Genstar Capital Partners Ix, L.P.
  • Genstar Capital Partners Ix, L.P. · 50% Member
    indirect · owns F of Gt Polaris Gp, LLC
  • Genstar Ix Gp LLC · General Partner
    indirect · owns F of Genstar Capital Ix, L.P.
  • Gt Polaris Gp, LLC · General Partner
    indirect · owns F of Gt Polaris Holdings, L.P.
  • Gt Polaris Holdings, Inc. · Members Owning 100%
    indirect · owns 75% or more of Gt Polaris Midco, Inc.
  • Gt Polaris Holdings, L.P. · Shareholder
    indirect · owns 75% or more of Gt Polaris Holdings, Inc.
  • Gt Polaris Midco, Inc. · Members Owning 100%
    indirect · owns 75% or more of Orion Advisor Solutions, Inc.
  • Ta Associates Cayman, Ltd · 50% Member
    indirect · owns F of Gt Polaris Gp, LLC
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Hebron, KY8 employees
  • Berwyn, PA1 employees
What changed
consecutive filings, newest first
  • Accounts · 165,524 to 81,242
    Oct 29, 2021 to Mar 31, 2022
  • Corporate clients · 350 to 238
    Oct 29, 2021 to Mar 31, 2022
  • HNW clients · 1,052 to 1,034
    Oct 29, 2021 to Mar 31, 2022
  • Individual clients · 164,122 to 79,970
    Oct 29, 2021 to Mar 31, 2022
  • Employees · 149 to 112
    Oct 29, 2021 to Mar 31, 2022
  • Discretionary RAUM · $10B to $14B
    Oct 29, 2021 to Mar 31, 2022
  • HNW RAUM · $1.8B to $2.1B
    Oct 29, 2021 to Mar 31, 2022
  • Individual RAUM · $8.5B to $12B
    Oct 29, 2021 to Mar 31, 2022
  • RAUM · $10B to $14B
    Oct 29, 2021 to Mar 31, 2022
  • Wrap assets (sponsor) · $2.4B to $2.8B
    Oct 29, 2021 to Mar 31, 2022
  • Accounts · 163,654 to 165,524
    Oct 29, 2020 to Mar 31, 2021
  • Advisory employees · 49 to 53
    Oct 29, 2020 to Mar 31, 2021
  • Corporate clients · 420 to 350
    Oct 29, 2020 to Mar 31, 2021
  • HNW clients · 782 to 1,052
    Oct 29, 2020 to Mar 31, 2021
  • Individual clients · 162,452 to 164,122
    Oct 29, 2020 to Mar 31, 2021
  • Employees · 125 to 149
    Oct 29, 2020 to Mar 31, 2021
  • State-registered IARs · 48 to 53
    Oct 29, 2020 to Mar 31, 2021
  • Other offices · 1 to 2
    Oct 29, 2020 to Mar 31, 2021
  • Discretionary RAUM · $8.7B to $10B
    Oct 29, 2020 to Mar 31, 2021
  • HNW RAUM · $1.3B to $1.8B
    Oct 29, 2020 to Mar 31, 2021
  • Individual RAUM · $7.4B to $8.5B
    Oct 29, 2020 to Mar 31, 2021
  • RAUM · $8.7B to $10B
    Oct 29, 2020 to Mar 31, 2021
  • Wrap assets (sponsor) · $2.2B to $2.4B
    Oct 29, 2020 to Mar 31, 2021
  • Related broker-dealer · false to true
    Aug 25, 2020 to Oct 9, 2020
  • Accounts · 111 to 163,654
    Dec 20, 2019 to Mar 29, 2020
  • Advisory employees · 53 to 49
    Dec 20, 2019 to Mar 29, 2020
  • BD registered reps · 9 to 0
    Dec 20, 2019 to Mar 29, 2020
  • Charity clients · 1 to 0
    Dec 20, 2019 to Mar 29, 2020
  • Corporate clients · 0 to 420
    Dec 20, 2019 to Mar 29, 2020
  • HNW clients · 2 to 782
    Dec 20, 2019 to Mar 29, 2020
  • Individual clients · 11 to 162,452
    Dec 20, 2019 to Mar 29, 2020
  • Employees · 143 to 125
    Dec 20, 2019 to Mar 29, 2020
  • Insurance-licensed employees · 10 to 0
    Dec 20, 2019 to Mar 29, 2020
  • State-registered IARs · 45 to 48
    Dec 20, 2019 to Mar 29, 2020
  • Discretionary RAUM · $0 to $8.7B
    Dec 20, 2019 to Mar 29, 2020
  • HNW RAUM · $6.1M to $1.3B
    Dec 20, 2019 to Mar 29, 2020
  • Individual RAUM · $947,000 to $7.4B
    Dec 20, 2019 to Mar 29, 2020
  • Non-discretionary RAUM · $7.1M to $0
    Dec 20, 2019 to Mar 29, 2020
  • RAUM · $7.1M to $8.7B
    Dec 20, 2019 to Mar 29, 2020
  • Wrap assets (sponsor) · $5.4M to $2.2B
    Dec 20, 2019 to Mar 29, 2020
Signals
60 dated events
  • Edward Charles Kelly left Orion Portfolio Solutions, Llc for Cibc Private Wealth Advisors, Inc. (registered 2023-09-01)
    Jan 6, 2023 · Advisor changed firm · fact
  • Kevin George Vonseggern left Orion Portfolio Solutions, Llc for Fbl Wealth Management, Llc (registered 2023-02-03)
    Jan 2, 2023 · Advisor changed firm · fact
  • Thomas Brian Mclaughlin (Elected Manager) appeared on Schedule A of Orion Portfolio Solutions, Llc
    Oct 18, 2022 · Control person joined · fact
  • George Charles Goldman (Elected Manager) appeared on Schedule A of Orion Portfolio Solutions, Llc
    Oct 18, 2022 · Control person joined · fact
  • Amy Lynn Magnotta left Orion Portfolio Solutions, Llc for Rkl Private Wealth (registered 2026-05-12)
    Sep 30, 2022 · Advisor changed firm · fact
  • Jared Nevel Bosley left Orion Portfolio Solutions, Llc for Liberty One Investment Management (registered 2022-10-10)
    Sep 20, 2022 · Advisor changed firm · fact
  • Tyler Woods left Orion Portfolio Solutions, Llc for Securities America Advisors, Inc. (registered 2022-09-06)
    Sep 2, 2022 · Advisor changed firm · fact
  • Sean Thomas Belton left Orion Portfolio Solutions, Llc for Liberty One Investment Management (registered 2025-10-29)
    Sep 1, 2022 · Advisor changed firm · fact
  • Edward Connor Millay left Orion Portfolio Solutions, Llc for Sei Investments Management Corp (registered 2022-10-26)
    Sep 1, 2022 · Advisor changed firm · fact
  • Kenneth Lavon Chambers left Orion Portfolio Solutions, Llc for Morningstar Investment Services Llc (registered 2023-12-06)
    Sep 1, 2022 · Advisor changed firm · fact
  • Michael Edward Lenge left Orion Portfolio Solutions, Llc for Wealthcare Advisory Partners Llc (registered 2023-08-16)
    Sep 1, 2022 · Advisor changed firm · fact
  • 2 advisors left Orion Portfolio Solutions, LLC (Omaha, NE) for Sei Investments Management Corp on the same day
    Sep 1, 2022 · Team lift-out · derived
  • Ryan John Brumfield left Orion Portfolio Solutions, Llc for Great Valley Advisor Group, Llc (registered 2022-11-09)
    Sep 1, 2022 · Advisor changed firm · fact
  • Alexander Roman Deciantis left Orion Portfolio Solutions, Llc for Sei Investments Management Corp (registered 2022-10-13)
    Sep 1, 2022 · Advisor changed firm · fact
  • Kevin Gregory Kulak left Orion Portfolio Solutions, Llc for Park Avenue Securities Llc (registered 2022-12-07)
    Sep 1, 2022 · Advisor changed firm · fact
  • Brandon Bastuba left Orion Portfolio Solutions, Llc for The Pacific Financial Group, Inc. (registered 2025-08-15)
    Sep 1, 2022 · Advisor changed firm · fact
  • Charles R Miller left Orion Portfolio Solutions, Llc for Advisors Asset Management, Inc. (registered 2022-10-17)
    Sep 1, 2022 · Advisor changed firm · fact
  • Steven Allen Grove left Orion Portfolio Solutions, Llc for Liberty One Investment Management (registered 2022-10-11)
    Sep 1, 2022 · Advisor changed firm · fact
  • Timothy John Bottomly left Orion Portfolio Solutions, Llc for Morningstar Investment Services Llc (registered 2024-05-29)
    Sep 1, 2022 · Advisor changed firm · fact
  • James Joseph Dooling left Orion Portfolio Solutions, Llc for Hartford Funds (registered 2022-12-01)
    Sep 1, 2022 · Advisor changed firm · fact
  • Ryan Joseph Allessio left Orion Portfolio Solutions, Llc for Assetmark, Inc. (registered 2023-01-23)
    Sep 1, 2022 · Advisor changed firm · fact
  • Thomas Peter Pileggi left Orion Portfolio Solutions, Llc for Sei Investments Management Corp (registered 2022-10-27)
    Sep 1, 2022 · Advisor changed firm · fact
  • James Sabbatini left Orion Portfolio Solutions, Llc for Osaic Fa, Inc. (registered 2023-02-07)
    Sep 1, 2022 · Advisor changed firm · fact
  • Jesse David Bargstadt left Orion Portfolio Solutions, Llc for Cambridge Investment Research Advisors, Inc. (registered 2022-09-01)
    Aug 26, 2022 · Advisor changed firm · fact
  • Stephanie Margo Bloomberg left Orion Portfolio Solutions, Llc for Mutual Advisors, Llc (registered 2022-07-01)
    Jun 24, 2022 · Advisor changed firm · fact
  • Michael Edward Brady left Orion Portfolio Solutions, Llc for Ac Wealth Partners (registered 2023-09-25)
    Jun 10, 2022 · Advisor changed firm · fact
  • William Thomas Cole left Orion Portfolio Solutions, Llc for Ac Wealth Partners (registered 2023-09-25)
    Jun 10, 2022 · Advisor changed firm · fact
  • Brendan Patrick Mcconnell left Orion Portfolio Solutions, Llc for Ac Wealth Partners (registered 2023-09-25)
    Jun 3, 2022 · Advisor changed firm · fact
  • 3 advisors left Orion Portfolio Solutions, LLC (Berwyn, PA) for AC Wealth Partners within 7 days
    Jun 3, 2022 · Team lift-out · derived
  • Daniel Christopher Beeson left Orion Portfolio Solutions, Llc for Assetmark, Inc. (registered 2022-08-01)
    May 23, 2022 · Advisor changed firm · 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