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
W•••• O•• F•••••••• M••••••••• I••
Latest filing Jan 13, 2026
First filing on the tape Mar 23, 2012 · 6 filings
SEC status approved since Sep 6, 2024
RAUM
$143M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$142M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$47.8M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$143M as of Jan 13, 2026
Mar 23, 2012$37.8M then
HNW client RAUM$90.8M as of Jan 13, 2026
Mar 24, 2025$62.0M then
State-registered IARs (5.B.3)3 as of Jan 13, 2026
Mar 23, 20120 then
Employees (5.A)3 as of Jan 13, 2026
Mar 24, 20254 then
Private funds: no history
RAUM +27% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Jan 13, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $47.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 117derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $158,559derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminars, otherreportedItem 5.G
- Wrap fee program
- $143MreportedItem 5.I
- Custody
- $30.1M, 67 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$90.8M63%
- Individuals$50.9M35%
- Charitable organizations$1.8M1.2%
- Individual clients
- 310reported
- HNW clients
- 40reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 905reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $30.1M for 67 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• C••••••• M•••• | Asheville, Nc | Sep 23, 2008 | 39 y | 1 |
| B•••• A•••• F•••Certified Financial Planner | Asheville, Nc | Oct 30, 2015 | 19 y | 1 |
| L••• G••••••••• | Asheville, Nc | Mar 8, 2021 | 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
- B•••• A•••• F••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 30, 2015 · Other
- L•••• C••••••• M•••• from L•• F•••••••• L••Sep 23, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• P••••••••• C••••••• · Vice President/Coocontrolsince 03/2003 · owns 50% to 75%
- M••••• L••••• C••••••• · President/Ceo/Chief Compliance Officercontrolsince 03/2003 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Asheville, Nc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 845 to 905Mar 24, 2025 to Jan 13, 2026
- Charity clients · 1.0 to unsetMar 24, 2025 to Jan 13, 2026
- HNW clients · 33 to 40Mar 24, 2025 to Jan 13, 2026
- Individual clients · 294 to 310Mar 24, 2025 to Jan 13, 2026
- Assets in custody · $23.8M to $30.1MMar 24, 2025 to Jan 13, 2026
- Employees · 4 to 3Mar 24, 2025 to Jan 13, 2026
- Financial planning clients · 101-250 to 1-10Mar 24, 2025 to Jan 13, 2026
- Discretionary RAUM · $113M to $143MMar 24, 2025 to Jan 13, 2026
- HNW RAUM · $62.0M to $90.8MMar 24, 2025 to Jan 13, 2026
- Individual RAUM · $49.5M to $50.9MMar 24, 2025 to Jan 13, 2026
- Non-discretionary RAUM · $0 to $130,326Mar 24, 2025 to Jan 13, 2026
- RAUM · $113M to $143MMar 24, 2025 to Jan 13, 2026
- Accounts · 729 to 845Sep 11, 2024 to Mar 24, 2025
- Charity clients · 0 to 1Sep 11, 2024 to Mar 24, 2025
- HNW clients · 31 to 33Sep 11, 2024 to Mar 24, 2025
- Individual clients · 338 to 294Sep 11, 2024 to Mar 24, 2025
- Assets in custody · unset to 23826670.0Sep 11, 2024 to Mar 24, 2025
- Custody of client assets · false to trueSep 11, 2024 to Mar 24, 2025
- Employees · 3 to 4Sep 11, 2024 to Mar 24, 2025
- Financial planning clients · 101-250 to 101-250Sep 11, 2024 to Mar 24, 2025
- Discretionary RAUM · $106M to $113MSep 11, 2024 to Mar 24, 2025
- HNW RAUM · $55.6M to $62.0MSep 11, 2024 to Mar 24, 2025
- Individual RAUM · $49.0M to $49.5MSep 11, 2024 to Mar 24, 2025
- RAUM · $106M to $113MSep 11, 2024 to Mar 24, 2025
- Accounts · 595 to 729May 21, 2012 to Aug 9, 2024
- Advisory employees · unset to 3.0May 21, 2012 to Aug 9, 2024
- Charity clients · unset to 0.0May 21, 2012 to Aug 9, 2024
- Corporate clients · unset to 0.0May 21, 2012 to Aug 9, 2024
- HNW clients · unset to 31.0May 21, 2012 to Aug 9, 2024
- Individual clients · unset to 338.0May 21, 2012 to Aug 9, 2024
- Pension plan clients · unset to 0.0May 21, 2012 to Aug 9, 2024
- Pooled vehicle clients · unset to 0.0May 21, 2012 to Aug 9, 2024
- Employees · unset to 3.0May 21, 2012 to Aug 9, 2024
- Financial planning clients · 1-10 to 101-250May 21, 2012 to Aug 9, 2024
- State-registered IARs · 0 to 3May 21, 2012 to Aug 9, 2024
- Other offices · unset to 0.0May 21, 2012 to Aug 9, 2024
- Discretionary RAUM · $37.8M to $106MMay 21, 2012 to Aug 9, 2024
- HNW RAUM · unset to 55602403.0May 21, 2012 to Aug 9, 2024
- Individual RAUM · unset to 48974228.0May 21, 2012 to Aug 9, 2024
- RAUM · $37.8M to $106MMay 21, 2012 to Aug 9, 2024
Signals
1 dated events
- W•••• O•• F•••••••• M••••••••• I•• filed its initial SEC registration (Form ADV)Aug 9, 2024 · 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
- 828-274-7848reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 828-274-7844reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- WhiteOakFinancialManagement.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 828-274-7844reportedpublic record, Form ADV, Jan 13, 2026
- Contact form
- whiteoakfinancialmanagement.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- whiteoakfinancialmanagement.com/who-we-arereportedpublished by the firm, firm site, Sep 16, 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
- $47.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026