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.
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SEC-registered adviser
O•••••••• A•••••••
Legal name N•••••••• A•••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Nov 28, 2011 · 18 filings
SEC status approved since Jun 2, 2021
RAUM
$348M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$345M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$43.5M
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$348M as of Mar 31, 2026
Mar 27, 2012$51.0M then
HNW client RAUM$243M as of Mar 31, 2026
Jan 31, 2022$53.5M then
State-registered IARs (5.B.3)8 as of Mar 31, 2026
Jan 31, 20226 then
Employees (5.A)10 as of Mar 31, 2026
Jan 31, 20228 then
Private funds: no history
RAUM +23% over the last fiscal year+34% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $43.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $324,539derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assets, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$243M70%
- Individuals$102M29%
- Pension and profit-sharing plans$2.0M0.6%
- Charitable organizations$505,3590.1%
- Individual clients
- 342reported
- HNW clients
- 95reported
- Pension plan clients
- 57reported
- Charitable clients
- 1reported
- Accounts
- 1,072reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• R••• | Berkeley Heights, Nj | Jan 31, 2022 | 12 y | 0 |
| J••• K•••• P•••••• | Berkeley Heights, Nj | Jan 31, 2022 | 43 y | 1 |
| C••••••••• T•••• D•••••••• | Berkeley Heights, Nj | Jan 31, 2022 | 16 y | 3 |
| C••••••••• M•••••• G••••• | Philadelphia, Pa | Jan 31, 2022 | 13 y | 2 |
| C•••• R••• M••••••••• | West Chester, Pa | Jan 31, 2022 | 11 y | 1 |
| R••• G••••••• D••••• | West Chester, Pa | May 20, 2022 | 10 y | 1 |
| J••• E••• M•••• | Berkeley Heights, Nj | Sep 11, 2025 | 13 y | 3 |
| A••••• P••••• | Berkeley Heights, Nj | Jan 6, 2026 | 17 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
- J••• E••• M•••• from J••• M••••• S••••••••• L••Sep 11, 2025 · Wirehouse to independent RIA
- R••• G••••••• D••••• from S•• I••••••••• M••••••••• C•••May 20, 2022 · Other
- C••••••••• T•••• D•••••••• from V•••• C••••••• L••Jan 31, 2022 · RIA to RIA
- C••••••••• M•••••• G••••• from V•••• C••••••• L••Jan 31, 2022 · RIA to RIA
- C•••• R••• M••••••••• from S•• I••••••••• M••••••••• C•••Jan 31, 2022 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from V•••• C••••••• L••Jul 31, 2020 · West Chester, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• A•••••• J•••••• · Chief Compliance Officer/Chief Executive Officercontrolsince 01/2022 · owns less than 5%
- D••••••••• C••••••••• T•••• · Membercontrolsince 01/2021 · owns F of C•••• G••••• L••
- G•••••• C••••••••• M•••••• · Membercontrolsince 01/2021 · owns F of C•••• G••••• L••
- L••••••••• D•••• · Membercontrolsince 01/2021 · owns F of C•••• G••••• L••
- O••••••• S••••• L•• · Membercontrolsince 01/2021 · owns F of C•••• G••••• L••
- P•••••• A•••••• J•••••• · Membercontrolsince 01/2021 · owns F of C•••• G••••• L••
Entity owners
- C•••• G••••• L•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Berkeley Heights, Nj · principal | 8 | 1 | 0 | ||
| West Chester, Pa | 6 | 0 | 0 | ||
| Philadelphia, Pa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- West Chester, PA4 employees
- Bluffton, SC1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,013 to 1,072Mar 25, 2025 to Mar 31, 2026
- Advisory employees · 7 to 8Mar 25, 2025 to Mar 31, 2026
- Charity clients · 2 to 1Mar 25, 2025 to Mar 31, 2026
- Corporate clients · 3 to 0Mar 25, 2025 to Mar 31, 2026
- HNW clients · 67 to 95Mar 25, 2025 to Mar 31, 2026
- Individual clients · 358 to 342Mar 25, 2025 to Mar 31, 2026
- Pension plan clients · 51 to 57Mar 25, 2025 to Mar 31, 2026
- Employees · 9 to 10Mar 25, 2025 to Mar 31, 2026
- State-registered IARs · 7 to 8Mar 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $284M to $348MMar 25, 2025 to Mar 31, 2026
- HNW RAUM · $183M to $243MMar 25, 2025 to Mar 31, 2026
- Individual RAUM · $92.5M to $102MMar 25, 2025 to Mar 31, 2026
- Pension RAUM · $5.8M to $2.0MMar 25, 2025 to Mar 31, 2026
- RAUM · $284M to $348MMar 25, 2025 to Mar 31, 2026
- Accounts · 971 to 1,013Nov 6, 2024 to Mar 25, 2025
- Charity clients · 1 to 2Nov 6, 2024 to Mar 25, 2025
- Corporate clients · 0 to 3Nov 6, 2024 to Mar 25, 2025
- HNW clients · 50 to 67Nov 6, 2024 to Mar 25, 2025
- Individual clients · 348 to 358Nov 6, 2024 to Mar 25, 2025
- Financial planning clients · 251-500 to 251-500Nov 6, 2024 to Mar 25, 2025
- Discretionary RAUM · $196M to $284MNov 6, 2024 to Mar 25, 2025
- HNW RAUM · $82.2M to $183MNov 6, 2024 to Mar 25, 2025
- Individual RAUM · $106M to $92.5MNov 6, 2024 to Mar 25, 2025
- Pension RAUM · $7.0M to $5.8MNov 6, 2024 to Mar 25, 2025
- RAUM · $196M to $284MNov 6, 2024 to Mar 25, 2025
- HQ city · HACKETTSTOWN to BERKELEY HEIGHTSMar 27, 2024 to Nov 6, 2024
- Accounts · 1,196 to 971Mar 23, 2023 to Mar 27, 2024
- Advisory activities · 2 to 3Mar 23, 2023 to Mar 27, 2024
- HNW clients · 25 to 50Mar 23, 2023 to Mar 27, 2024
- Individual clients · 375 to 348Mar 23, 2023 to Mar 27, 2024
- Pension plan clients · 40 to 51Mar 23, 2023 to Mar 27, 2024
- Discretionary RAUM · $145M to $196MMar 23, 2023 to Mar 27, 2024
- HNW RAUM · $54.4M to $82.2MMar 23, 2023 to Mar 27, 2024
- Individual RAUM · $86.7M to $106MMar 23, 2023 to Mar 27, 2024
- Pension RAUM · $3.5M to $7.0MMar 23, 2023 to Mar 27, 2024
- RAUM · $145M to $196MMar 23, 2023 to Mar 27, 2024
- Accounts · 872 to 1,196Jun 2, 2022 to Mar 23, 2023
- HNW clients · 16 to 25Jun 2, 2022 to Mar 23, 2023
- Individual clients · 354 to 375Jun 2, 2022 to Mar 23, 2023
- Pension plan clients · 2 to 40Jun 2, 2022 to Mar 23, 2023
Signals
7 dated events
- Keith J••• Paoloni (President) no longer on Schedule A of O•••••••• A••••••• (listed 2021-10-14, absent 2022-01-31)Jan 31, 2022 · Control person left · inference
- Tyler Christopher Diederich (Member) appeared on Schedule A of O•••••••• A•••••••Jan 31, 2022 · Control person joined · fact
- Jameson A••••• P••••• (Member) appeared on Schedule A of O•••••••• A•••••••Jan 31, 2022 · Control person joined · fact
- M•••••• Christopher Griest (Member) appeared on Schedule A of O•••••••• A•••••••Jan 31, 2022 · Control person joined · fact
- Lee Susan O'Brien (Member) appeared on Schedule A of O•••••••• A•••••••Jan 31, 2022 · Control person joined · fact
- D•••• L••••••••• (Member) appeared on Schedule A of O•••••••• A•••••••Jan 31, 2022 · Control person joined · fact
- N•••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 4, 2021 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 908-850-9991reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 610-798-6641reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/oakbourne-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- O••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 908-850-9991reportedpublic record, Form ADV, Mar 31, 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
- $43.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026