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•• F••••• A•••••••• L••
Latest filing Jun 11, 2026
First filing on the tape Dec 15, 2011 · 26 filings
SEC status approved since Jul 11, 2016
RAUM
$621M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
92%
$573M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$124M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$621M as of Jun 11, 2026
Mar 30, 2012$117M then
HNW client RAUM$553M as of Jun 11, 2026
Mar 19, 2018$128M then
State-registered IARs (5.B.3)5 as of Jun 11, 2026
Mar 30, 20120 then
Employees (5.A)6 as of Jun 11, 2026
Mar 28, 20135 then
Private funds: no history
RAUM +16% over the last fiscal year+13% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jun 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $124MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $728,019derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 7.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $10.0M, 1 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$553M89%
- Charitable organizations$46.0M7.4%
- Individuals$20.0M3.2%
- Corporations and businesses$2.0M0.3%
- Individual clients
- 72reported
- HNW clients
- 128reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 853reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.0M for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• H•••• F••••••••• | Chicago, Il | Apr 19, 2011 | 16 y | 0 |
| T••••••• S•••• W•••••Chartered Financial Analyst | Chicago, Il | Aug 16, 2012 | 21 y | 2 |
| K••••••• A•• H•••••••• | Chicago, Il | Jan 1, 2014 | 12 y | 0 |
| C•••••• M•••••• S••••Chartered Financial Analyst | Chicago, Il | Apr 8, 2016 | 25 y | 2 |
| W•••••• E••••• D•••••••Certified Financial Planner, Chartered Financial Analyst | Chicago, Il | Oct 28, 2019 | 28 y | 4 |
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 headcount1 left over 36 months
Left, latest
- F•••••• E•••••••• T•••• to S•••••• C•••••• L••Dec 31, 2024 · RIA to RIA
- J••• J••••• B•••••••• to M•••••• F••••• A•••••••• I•••Aug 21, 2012 · Other
Joined, latest
- F•••••• E•••••••• T•••• from F••••••••• C•••••• L••Jul 6, 2021 · RIA to RIA
- W•••••• E••••• D••••••• from Q•• E••••• I•••••••• L••Oct 28, 2019 · RIA to RIA
- C•••••• M•••••• S•••• from M••••••••• C•••••• L••Apr 8, 2016 · Other
- T••••••• S•••• W••••• from M••••••••• C•••••• L••Aug 16, 2012 · Other
- J••• J••••• B•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 25, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• W••••••• E••••• · Director Of Researchcontrolsince 10/2019 · owns less than 5%
- F••••••••• J•••• H•••• · Non-Executive Chairmancontrolsince 12/2011 · owns 75% or more
- H••••••••• K•••••••• A•• · Chief Compliance Officercontrolsince 01/2014 · owns less than 5%
- S••••• C••••••• M•••••• · Presidentcontrolsince 04/2016 · owns less than 5%
- T••••• F••••••• E•••••••• · Chief Investment Officercontrolsince 07/2021 · owns less than 5%
- W•••••• T•••••••• S•••• · Chief Executive Officercontrolsince 12/2011 · owns less than 5%
- F••••••••• J•••• H•••• · F••••••••• Is The Sole Member Of Oak Family Holdings LLC Which Manages O•• F••••• A•••••••• L••controlsince 08/2010 · owns 75% or more of O•• F••••• H•••••••• L••
Entity owners
- O•• F••••• H•••••••• L•• · Managerdirect · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 806 to 853Mar 17, 2025 to Mar 26, 2026
- HNW clients · 119 to 128Mar 17, 2025 to Mar 26, 2026
- Individual clients · 71 to 72Mar 17, 2025 to Mar 26, 2026
- Assets in custody · unset to 10000000.0Mar 17, 2025 to Mar 26, 2026
- Custody of client assets · false to trueMar 17, 2025 to Mar 26, 2026
- Discretionary RAUM · $451M to $526MMar 17, 2025 to Mar 26, 2026
- HNW RAUM · $473M to $553MMar 17, 2025 to Mar 26, 2026
- Individual RAUM · $17.5M to $20.0MMar 17, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $83.0M to $95.0MMar 17, 2025 to Mar 26, 2026
- RAUM · $534M to $621MMar 17, 2025 to Mar 26, 2026
- Accounts · 793 to 806Mar 20, 2024 to Mar 17, 2025
- Advisory employees · 6 to 5Mar 20, 2024 to Mar 17, 2025
- Corporate clients · unset to 2.0Mar 20, 2024 to Mar 17, 2025
- HNW clients · 128 to 119Mar 20, 2024 to Mar 17, 2025
- Individual clients · 75 to 71Mar 20, 2024 to Mar 17, 2025
- Employees · 7 to 6Mar 20, 2024 to Mar 17, 2025
- Financial planning clients · 51-100 to 101-250Mar 20, 2024 to Mar 17, 2025
- State-registered IARs · 6 to 5Mar 20, 2024 to Mar 17, 2025
- Discretionary RAUM · $419M to $451MMar 20, 2024 to Mar 17, 2025
- HNW RAUM · $439M to $473MMar 20, 2024 to Mar 17, 2025
- Individual RAUM · $19.3M to $17.5MMar 20, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $76.6M to $83.0MMar 20, 2024 to Mar 17, 2025
- RAUM · $496M to $534MMar 20, 2024 to Mar 17, 2025
- Accounts · 698 to 793Mar 27, 2023 to Mar 20, 2024
- HNW clients · 112 to 128Mar 27, 2023 to Mar 20, 2024
- Financial planning clients · 26-50 to 51-100Mar 27, 2023 to Mar 20, 2024
- Discretionary RAUM · $359M to $419MMar 27, 2023 to Mar 20, 2024
- HNW RAUM · $377M to $439MMar 27, 2023 to Mar 20, 2024
- Individual RAUM · $18.2M to $19.3MMar 27, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $67.9M to $76.6MMar 27, 2023 to Mar 20, 2024
- RAUM · $427M to $496MMar 27, 2023 to Mar 20, 2024
- Accounts · 636 to 698Mar 21, 2022 to Mar 24, 2023
- HNW clients · 103 to 112Mar 21, 2022 to Mar 24, 2023
- Individual clients · 66 to 75Mar 21, 2022 to Mar 24, 2023
- Discretionary RAUM · $345M to $359MMar 21, 2022 to Mar 24, 2023
- HNW RAUM · $363M to $377MMar 21, 2022 to Mar 24, 2023
- Individual RAUM · $19.8M to $18.2MMar 21, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $74.6M to $67.9MMar 21, 2022 to Mar 24, 2023
- RAUM · $420M to $427MMar 21, 2022 to Mar 24, 2023
- Accounts · 519 to 636Jul 22, 2021 to Mar 21, 2022
Signals
5 dated events
- F•••••• E•••••••• T•••• left O•• F••••• A•••••••• L•• for S•••••• C•••••• L•• (registered 2024-12-08)Dec 31, 2024 · Advisor changed firm · fact
- O•• F••••• A•••••••• L•• reported RAUM $419.8M, up 35% from $310.4M (2021-07-22 to 2022-03-21)Mar 21, 2022 · RAUM change · derived
- Elizabeth Frances Tuite (Chief Investment Officer) appeared on Schedule A of O•• F••••• A•••••••• L••Jul 22, 2021 · Control person joined · fact
- Elliot William Driscoll (Director Of Research) appeared on Schedule A of O•• F••••• A•••••••• L••Oct 28, 2019 · Control person joined · fact
- O•• F••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jul 1, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O•• F••••• A•••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- info@ofallc.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 312-373-7221reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/oak-family-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-373-7221reportedpublic record, Form ADV, Jun 11, 2026
- Contact form
- OFALLC.COM/contact.htmlreportedpublished by the firm, firm site, Sep 17, 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
- $124Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026