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
R••••••••• M••••••••• S••••••
Legal name R••••••••• M••••••••• S••••••• I•••
Latest filing May 18, 2026
First filing on the tape Mar 28, 2012 · 38 filings
SEC status approved since Jan 19, 2010
RAUM
$1.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.9B individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$472M
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$1.9B as of May 18, 2026
Mar 28, 2012$591M then
HNW client RAUM$918M as of May 18, 2026
Jan 31, 2019$199M then
State-registered IARs (5.B.3)4 as of May 18, 2026
Mar 28, 20132 then
Employees (5.A)11 as of May 18, 2026
Mar 28, 20136 then
Private funds: no history
RAUM +13% over the last fiscal year+11% a year over threeIARs 4 to 4
Practice profile
derived from the filing of May 18, 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
- $472MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 758derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $421,896derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminars, otherreportedItem 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)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$968M51%
- High-net-worth individuals$918M49%
- Individual clients
- 2,479reported
- HNW clients
- 553reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4,472reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• M•••••• S••••••••• | Tampa, Fl | Jan 14, 2014 | 44 y | 2 |
| J••• M••••• B•••••••Certified Financial Planner | Leonardtown, Md | Mar 12, 2018 | 22 y | 5 |
| D•••• A•••• R•••••••••Certified Financial Planner | Leonardtown, Md | Jan 6, 2023 | 33 y | 2 |
| M•••••• T••••• S••••••••• | Leonardtown, Md | Jan 1, 2025 | 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
- D•••• A•••• R••••••••• from C• A••••••• S•••••••Jan 6, 2023 · RIA to RIA
- J••• M••••• B••••••• from S••••••••• C•••••• M•••••••••Mar 12, 2018 · RIA to RIA
- J••••• M•••••• S••••••••• from S••••••••• C•••••• M••••••••• I•••Jan 14, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• J•••• M••••• · Director Of Operationscontrolsince 08/2009 · owns 5% to 10%
- S••••••••• J•••••• M•••••• · Ceo, Cco, Directorcontrolsince 02/2008 · owns 75% or more
- K•••••• J•••• M• · Shareholdersince 01/2016 · owns 5% to 10%
- O••••••••• G••••••• S•••••••• · Shareholdersince 08/2011 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list R••••••••• M••••••••• S•••••• as a related person
- 107402 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Leonardtown, Md · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Leonardtown, MD2 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing May 18, 2026private clients per advisor of 758.0 against a peer median of 64.5 (1151 comparable advisers, 99.0th percentile, 16.9 robust deviations)peers: independent wealth managers, $1B to $5B (1,151) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 4,142 to 4,472Nov 18, 2025 to Feb 26, 2026
- HNW clients · 523 to 553Nov 18, 2025 to Feb 26, 2026
- Individual clients · 2,488 to 2,479Nov 18, 2025 to Feb 26, 2026
- Assets in custody · $1.0B to $957MNov 18, 2025 to Feb 26, 2026
- Discretionary RAUM · $1.7B to $1.9BNov 18, 2025 to Feb 26, 2026
- HNW RAUM · $781M to $918MNov 18, 2025 to Feb 26, 2026
- Individual RAUM · $882M to $968MNov 18, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $7.9M to $0Nov 18, 2025 to Feb 26, 2026
- RAUM · $1.7B to $1.9BNov 18, 2025 to Feb 26, 2026
- Financial planning clients · 0 to 0Mar 10, 2025 to Nov 18, 2025
- Accounts · 3,971 to 4,142Mar 5, 2024 to Mar 10, 2025
- Charity clients · 0.0 to unsetMar 5, 2024 to Mar 10, 2025
- Corporate clients · 0.0 to unsetMar 5, 2024 to Mar 10, 2025
- HNW clients · 399 to 523Mar 5, 2024 to Mar 10, 2025
- Individual clients · 2,570 to 2,488Mar 5, 2024 to Mar 10, 2025
- Pension plan clients · 0.0 to unsetMar 5, 2024 to Mar 10, 2025
- Pooled vehicle clients · 0.0 to unsetMar 5, 2024 to Mar 10, 2025
- Assets in custody · $1.3B to $1.0BMar 5, 2024 to Mar 10, 2025
- Employees · 9 to 11Mar 5, 2024 to Mar 10, 2025
- HQ city · STEVENSVILLE to LEONARDTOWNMar 5, 2024 to Mar 10, 2025
- Discretionary RAUM · $1.4B to $1.7BMar 5, 2024 to Mar 10, 2025
- HNW RAUM · $566M to $781MMar 5, 2024 to Mar 10, 2025
- Individual RAUM · $884M to $882MMar 5, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $10.2M to $7.9MMar 5, 2024 to Mar 10, 2025
- RAUM · $1.4B to $1.7BMar 5, 2024 to Mar 10, 2025
- Accounts · 3,777 to 3,971Feb 6, 2024 to Mar 5, 2024
- HNW clients · 630 to 399Feb 6, 2024 to Mar 5, 2024
- Individual clients · 2,320 to 2,570Feb 6, 2024 to Mar 5, 2024
- Assets in custody · $1.1B to $1.3BFeb 6, 2024 to Mar 5, 2024
- Discretionary RAUM · $1.4B to $1.4BFeb 6, 2024 to Mar 5, 2024
- HNW RAUM · $723M to $566MFeb 6, 2024 to Mar 5, 2024
- Individual RAUM · $658M to $884MFeb 6, 2024 to Mar 5, 2024
- Non-discretionary RAUM · $0 to $10.2MFeb 6, 2024 to Mar 5, 2024
- RAUM · $1.4B to $1.4BFeb 6, 2024 to Mar 5, 2024
- Accounts · 3,535 to 3,777Nov 15, 2022 to Feb 16, 2023
- Advisory employees · 4 to 5Nov 15, 2022 to Feb 16, 2023
- HNW clients · 499 to 630Nov 15, 2022 to Feb 16, 2023
- Individual clients · 2,359 to 2,320Nov 15, 2022 to Feb 16, 2023
- Assets in custody · $1.5B to $1.1BNov 15, 2022 to Feb 16, 2023
- Employees · 8 to 9Nov 15, 2022 to Feb 16, 2023
Signals
1 dated events
- R••••••••• M••••••••• S••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 7, 2016 · Succession (Item 4) · 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 email
- support@manage401k.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- info@manage401k.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 410-972-1214reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 410-972-2517reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 410-573-1196reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/oakwealthpartnersreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/retirement-management-systems-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- manage401K.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 301-327-5312reportedpublic record, Form ADV, May 18, 2026
- Contact form
- manage401k.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- manage401k.com/our-teamreportedpublished 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
- $472Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026