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.
SEC-registered adviser
Oak Wealth Advisors LLC
Latest filing Mar 25, 2026
First filing on the tape Jan 6, 2012 · 22 filings
SEC status approved since May 16, 2017
RAUM
$374M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$372M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$125M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$374M as of Mar 25, 2026
Jan 6, 2012$65.5M then
HNW client RAUM$350M as of Mar 25, 2026
Feb 8, 2018$67.4M then
State-registered IARs (5.B.3)3 as of Mar 25, 2026
Jan 6, 20120 then
Employees (5.A)7 as of Mar 25, 2026
Feb 8, 20181 then
Private funds: no history
RAUM +16% over the last fiscal year+21% a year over threeIARs 3 to 3offices 2 to 1
Practice profile
derived from the filing of Mar 25, 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
- $125MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $685,621derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 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
- +2.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publicationsreportedItem 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)
- 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
- High-net-worth individuals$350M94%
- Individuals$21.4M5.7%
- Charitable organizations$1.8M0.5%
- Individual clients
- 67reported
- HNW clients
- 115reported
- Pension plan clients
- 0reported
- Charitable clients
- 4reported
- Accounts
- 545reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| Michael Christopher WaltherCertified Financial Planner | Brentwood, Tn | Nov 24, 2008 | 30 y | 0 |
| Ryan Robert McguireCertified Financial Planner | Northbrook, Il | Mar 8, 2021 | 12 y | 1 |
| Justin Robert BaasCertified Financial Planner | Wake Forest, Nc | Feb 5, 2026 | 14 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Neil Von Mahoney to Domus Advisors LLCSep 9, 2025 · Other
Joined, latest
- Justin Robert Baas from Forvis Mazars Wealth Advisors, LLCFeb 5, 2026 · RIA to RIA
- Neil Von Mahoney from Abw Wealth AdvisorsJan 18, 2023 · Other
- Ryan Robert Mcguire from Wipfli Financial Advisors, LLCMar 8, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Christopher Michael Walther · Owner, Managing Member, Chief Compliance Officercontrolsince 10/2008 · 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 |
|---|---|---|---|---|---|
| Northbrook, Il · principal | 3 | 1 | 0 | ||
| South Jordan, Ut | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Madison, WI1 employees
- South Jordan, UT1 employees
What changed
consecutive filings, newest first
- Accounts · 594 to 545Jan 26, 2026 to Mar 25, 2026
- Charity clients · 2 to 4Jan 26, 2026 to Mar 25, 2026
- HNW clients · 121 to 115Jan 26, 2026 to Mar 25, 2026
- Individual clients · 56 to 67Jan 26, 2026 to Mar 25, 2026
- Employees · 6 to 7Jan 26, 2026 to Mar 25, 2026
- Discretionary RAUM · $321M to $374MJan 26, 2026 to Mar 25, 2026
- HNW RAUM · $305M to $350MJan 26, 2026 to Mar 25, 2026
- Individual RAUM · $14.7M to $21.4MJan 26, 2026 to Mar 25, 2026
- RAUM · $321M to $374MJan 26, 2026 to Mar 25, 2026
- Other offices · 2 to 1Mar 13, 2025 to Sep 9, 2025
- Accounts · 572 to 594May 9, 2024 to Mar 13, 2025
- Charity clients · 0 to 2May 9, 2024 to Mar 13, 2025
- HNW clients · 91 to 121May 9, 2024 to Mar 13, 2025
- Individual clients · 54 to 56May 9, 2024 to Mar 13, 2025
- Financial planning clients · 101-250 to 101-250May 9, 2024 to Mar 13, 2025
- Discretionary RAUM · $283M to $321MMay 9, 2024 to Mar 13, 2025
- HNW RAUM · $265M to $305MMay 9, 2024 to Mar 13, 2025
- Individual RAUM · $18.4M to $14.7MMay 9, 2024 to Mar 13, 2025
- RAUM · $283M to $321MMay 9, 2024 to Mar 13, 2025
- Accounts · 99 to 572Nov 22, 2023 to Feb 16, 2024
- Charity clients · unset to 0.0Nov 22, 2023 to Feb 16, 2024
- Corporate clients · unset to 0.0Nov 22, 2023 to Feb 16, 2024
- HNW clients · 25 to 91Nov 22, 2023 to Feb 16, 2024
- Individual clients · 74 to 54Nov 22, 2023 to Feb 16, 2024
- Pension plan clients · unset to 0.0Nov 22, 2023 to Feb 16, 2024
- Pooled vehicle clients · unset to 0.0Nov 22, 2023 to Feb 16, 2024
- Financial planning clients · 51-100 to 101-250Nov 22, 2023 to Feb 16, 2024
- Other offices · 3 to 2Nov 22, 2023 to Feb 16, 2024
- Discretionary RAUM · $211M to $283MNov 22, 2023 to Feb 16, 2024
- HNW RAUM · $149M to $265MNov 22, 2023 to Feb 16, 2024
- Individual RAUM · $62.6M to $18.4MNov 22, 2023 to Feb 16, 2024
- RAUM · $211M to $283MNov 22, 2023 to Feb 16, 2024
- Advisory employees · 4 to 3Jan 30, 2023 to Nov 22, 2023
- Employees · 7 to 6Jan 30, 2023 to Nov 22, 2023
- State-registered IARs · 4 to 3Jan 30, 2023 to Nov 22, 2023
- Accounts · 80 to 99Jan 6, 2023 to Jan 30, 2023
- Advisory employees · 2 to 4Jan 6, 2023 to Jan 30, 2023
- HNW clients · 54 to 25Jan 6, 2023 to Jan 30, 2023
- Individual clients · 26 to 74Jan 6, 2023 to Jan 30, 2023
- Employees · 5 to 7Jan 6, 2023 to Jan 30, 2023
Signals
2 dated events
- Neil Von Mahoney left Oak Wealth Advisors Llc for Domus Advisors Llc (registered 2025-09-10)Sep 9, 2025 · Advisor changed firm · fact
- Oak Wealth Advisors Llc filed its initial SEC registration (Form ADV)May 8, 2017 · 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
- 608-690-6444reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 847-945-8888reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 919-714-4410reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- OAKWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 847-945-8888reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- oakwealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- oakwealth.com/team-membersreportedpublished by the firm, firm site, Sep 15, 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
- $125Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026