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
October Wealth Advisors, Inc
Latest filing Feb 11, 2026
First filing on the tape Feb 29, 2012 · 13 filings
SEC status approved since May 12, 2022
RAUM
$142M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
91%
$129M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$70.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$142M as of Feb 11, 2026
Feb 29, 2012$57.3M then
HNW client RAUM$73.6M as of Feb 11, 2026
Feb 23, 2023$54.0M then
State-registered IARs (5.B.3)2 as of Feb 11, 2026
Feb 29, 20120 then
Employees (5.A)2 as of Feb 11, 2026
Feb 23, 20233 then
Private funds: no history
RAUM +8.3% over the last fiscal year+9.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 11, 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
- RAUM per advisor
- $70.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $405,849derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $33.4M, 43 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$73.6M52%
- Individuals$55.6M39%
- Corporations and businesses$11.0M7.8%
- Charitable organizations$1.4M1.0%
- Individual clients
- 137reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 349reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $33.4M for 43 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| David Clarke Craig | Fort Smith, Ar | Oct 6, 2010 | 32 y | 1 |
| Jon-Erik Ian Garrido | Fort Smith, Ar | Apr 28, 2015 | 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
- David Clarke Craig from Paul Manners & Associates, Inc.Oct 6, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Clarke David Craig · President/Chief Compliance Officercontrolsince 03/2010 · 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 |
|---|---|---|---|---|---|
| Fort Smith, Ar · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 351 to 349Sep 24, 2025 to Feb 11, 2026
- HNW clients · 17 to 23Sep 24, 2025 to Feb 11, 2026
- Individual clients · 146 to 137Sep 24, 2025 to Feb 11, 2026
- Assets in custody · $31.8M to $33.4MSep 24, 2025 to Feb 11, 2026
- Employees · 3 to 2Sep 24, 2025 to Feb 11, 2026
- Discretionary RAUM · $119M to $131MSep 24, 2025 to Feb 11, 2026
- HNW RAUM · $59.9M to $73.6MSep 24, 2025 to Feb 11, 2026
- Individual RAUM · $59.2M to $55.6MSep 24, 2025 to Feb 11, 2026
- Non-discretionary RAUM · $11.9M to $10.9MSep 24, 2025 to Feb 11, 2026
- RAUM · $131M to $142MSep 24, 2025 to Feb 11, 2026
- Financial planning clients · 0 to 0Mar 4, 2025 to Sep 24, 2025
- Accounts · 347 to 351Aug 29, 2024 to Mar 4, 2025
- HNW clients · 24 to 17Aug 29, 2024 to Mar 4, 2025
- Individual clients · 138 to 146Aug 29, 2024 to Mar 4, 2025
- Assets in custody · $35.4M to $31.8MAug 29, 2024 to Mar 4, 2025
- Discretionary RAUM · $106M to $119MAug 29, 2024 to Mar 4, 2025
- HNW RAUM · $57.7M to $59.9MAug 29, 2024 to Mar 4, 2025
- Individual RAUM · $43.7M to $59.2MAug 29, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $6.7M to $11.9MAug 29, 2024 to Mar 4, 2025
- RAUM · $112M to $131MAug 29, 2024 to Mar 4, 2025
- Accounts · 350 to 347Aug 7, 2023 to Jan 31, 2024
- HNW clients · 21 to 24Aug 7, 2023 to Jan 31, 2024
- Assets in custody · $35.9M to $35.4MAug 7, 2023 to Jan 31, 2024
- Discretionary RAUM · $102M to $106MAug 7, 2023 to Jan 31, 2024
- HNW RAUM · $54.0M to $57.7MAug 7, 2023 to Jan 31, 2024
- Individual RAUM · $45.4M to $43.7MAug 7, 2023 to Jan 31, 2024
- Non-discretionary RAUM · $6.9M to $6.7MAug 7, 2023 to Jan 31, 2024
- RAUM · $109M to $112MAug 7, 2023 to Jan 31, 2024
- Accounts · 347 to 350Jan 9, 2023 to Feb 23, 2023
- HNW clients · 26 to 21Jan 9, 2023 to Feb 23, 2023
- Individual clients · 133 to 138Jan 9, 2023 to Feb 23, 2023
- Assets in custody · $39.5M to $35.9MJan 9, 2023 to Feb 23, 2023
- Discretionary RAUM · $117M to $102MJan 9, 2023 to Feb 23, 2023
- HNW RAUM · $71.5M to $54.0MJan 9, 2023 to Feb 23, 2023
- Individual RAUM · $43.0M to $45.4MJan 9, 2023 to Feb 23, 2023
- Non-discretionary RAUM · $8.0M to $6.9MJan 9, 2023 to Feb 23, 2023
- RAUM · $125M to $109MJan 9, 2023 to Feb 23, 2023
- Accounts · 269 to 347May 2, 2012 to Apr 12, 2022
- Advisory employees · unset to 2.0May 2, 2012 to Apr 12, 2022
- HNW clients · unset to 26.0May 2, 2012 to Apr 12, 2022
Signals
1 dated events
- October Wealth Advisors, Inc filed its initial SEC registration (Form ADV)Apr 12, 2022 · 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
- Website
- OCTWEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 479-452-0996reportedpublic record, Form ADV, Feb 11, 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
- $70.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026