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
S••••• C••••••• I•••
Latest filing Mar 6, 2026
First filing on the tape Mar 22, 2012 · 37 filings
SEC status approved since May 15, 2020
RAUM
$219M
reported, Item 5.F
Discretionary
60%
of RAUM
Private clients
87%
$190M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$219M as of Mar 6, 2026
Mar 29, 2012$76.0M then
HNW client RAUM$148M as of Mar 6, 2026
Feb 16, 2018$62.4M then
State-registered IARs (5.B.3)0 as of Mar 6, 2026
Mar 29, 20120 then
Employees (5.A)5 as of Mar 6, 2026
Mar 18, 20169 then
Private funds1 as of Mar 22, 2024
Mar 3, 20212 then
RAUM +12% over the last fiscal year+8.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 6, 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
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 118derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $326,740derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 60%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$148M67%
- Individuals$42.2M19%
- Pension and profit-sharing plans$28.6M13%
- Charitable organizations$500,5650.2%
- Corporations and businesses$183,7390.1%
- Individual clients
- 191reported
- HNW clients
- 45reported
- Pension plan clients
- 27reported
- Charitable clients
- 2reported
- Accounts
- 671reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 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 |
|---|---|---|---|---|
| J••••••• A•• D••••Certified Financial Planner | Las Vegas, Nv | Nov 5, 2024 | 32 y | 5 |
| D••••• D•••• R••••• | Medford, Or | Dec 16, 2024 | 11 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- J•••• C••••••••• S•••••• to S••••• I••••••••• A•••••••• L••Mar 4, 2026 · RIA to RIA
- J••••• B••••••• P••••••• to C•••••• A•••••••• I•••Jul 13, 2022 · RIA to RIA
- J••••••• A•• D•••• to S••••• W•••••Mar 29, 2019 · RIA to a newly registered adviser
- D••••• D•••• R••••• to S••••• W•••••Mar 29, 2019 · RIA to a newly registered adviser
- D••••• L•••• W••••• to G• W••••• M•••••••••Feb 2, 2018 · Other
- A••• B• W••••• to C••••• S••••• A•••••••• I•••Jun 30, 2015 · Other
- A•••• R••• H••••••• to V•••• C•••••• P•••••••• I•••Sep 29, 2014 · Other
Joined, latest
- D••••• D•••• R••••• from S••••• W•••••Dec 16, 2024 · RIA to RIA
- J••••••• A•• D•••• from S••••• W•••••Nov 5, 2024 · RIA to RIA
- J••••• B••••••• P••••••• from S••••• W•••••Jul 7, 2020 · RIA to RIA
- J•••• C••••••••• S•••••• from S••••• W•••••Jul 7, 2020 · RIA to RIA
- D••••• L•••• W••••• from R••••••• I••••••••• A••••••••• I•••Jul 29, 2010 · Other
- J••••••• A•• D•••• from R••••••• I••••••••• A••••••••• I•••Jul 8, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for S••••• W•••••Mar 29, 2019 · Las Vegas, Nv
- 3 joined from S••••• W•••••Jul 1, 2020 · Southfield, Mi
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••• L• | Hedge Fund | $9.3M | 2 | Dec 11, 2020 |
| F••••••• A•• W•••••• F••• L•no longer reported | Hedge Fund | $5.0M | 5 | Nov 4, 2019 |
| F••••••• A•• W•••••• F••• L••no longer reported | Hedge Fund | $1.0M | 1 | Jun 10, 2020 |
| L••• L••no longer reported | Hedge Fund | $0 | 0 | Mar 3, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B•••• E••••••••• A•• · Chief Operatng Officer, Chief Compliance Officercontrolsince 07/2020 · owns less than 5%
- D••••• J•••••••• A•• · Chief Executive Officer, Chief Investment Officercontrolsince 02/2010 · owns 75% or more
Related persons
Schedule D 7.A
- S••••• A•••• P••••••••• G••••• L••real estaten
- S••••• P••••••• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Las Vegas, Nv · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Medford, OR1 employees
- San Francisco, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 669 to 671Mar 13, 2025 to Mar 6, 2026
- HNW clients · 46 to 45Mar 13, 2025 to Mar 6, 2026
- Individual clients · 187 to 191Mar 13, 2025 to Mar 6, 2026
- Pension plan clients · 26 to 27Mar 13, 2025 to Mar 6, 2026
- Discretionary RAUM · $113M to $132MMar 13, 2025 to Mar 6, 2026
- HNW RAUM · $133M to $148MMar 13, 2025 to Mar 6, 2026
- Individual RAUM · $38.6M to $42.2MMar 13, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $83.6M to $87.1MMar 13, 2025 to Mar 6, 2026
- Pension RAUM · $24.4M to $28.6MMar 13, 2025 to Mar 6, 2026
- RAUM · $196M to $219MMar 13, 2025 to Mar 6, 2026
- Accounts · 664 to 669Jun 28, 2024 to Mar 13, 2025
- Charity clients · unset to 2.0Jun 28, 2024 to Mar 13, 2025
- HNW clients · 44 to 46Jun 28, 2024 to Mar 13, 2025
- Individual clients · 191 to 187Jun 28, 2024 to Mar 13, 2025
- Pension plan clients · 24 to 26Jun 28, 2024 to Mar 13, 2025
- Assets in custody · 9305710.0 to unsetJun 28, 2024 to Mar 13, 2025
- Custody of client assets · true to falseJun 28, 2024 to Mar 13, 2025
- Financial planning clients · 1-10 to 1-10Jun 28, 2024 to Mar 13, 2025
- Private funds · 1 to unsetJun 28, 2024 to Mar 13, 2025
- Discretionary RAUM · $100M to $113MJun 28, 2024 to Mar 13, 2025
- HNW RAUM · $119M to $133MJun 28, 2024 to Mar 13, 2025
- Individual RAUM · $39.0M to $38.6MJun 28, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $78.4M to $83.6MJun 28, 2024 to Mar 13, 2025
- Pension RAUM · $20.4M to $24.4MJun 28, 2024 to Mar 13, 2025
- RAUM · $179M to $196MJun 28, 2024 to Mar 13, 2025
- Accounts · 666 to 664Jun 30, 2023 to Mar 22, 2024
- Advisory employees · 5 to 3Jun 30, 2023 to Mar 22, 2024
- HNW clients · 43 to 44Jun 30, 2023 to Mar 22, 2024
- Individual clients · 200 to 191Jun 30, 2023 to Mar 22, 2024
- Pension plan clients · 20 to 24Jun 30, 2023 to Mar 22, 2024
- Assets in custody · $15.5M to $9.3MJun 30, 2023 to Mar 22, 2024
- Employees · 6 to 5Jun 30, 2023 to Mar 22, 2024
- Discretionary RAUM · $96.9M to $100MJun 30, 2023 to Mar 22, 2024
- HNW RAUM · $118M to $119MJun 30, 2023 to Mar 22, 2024
- Individual RAUM · $38.9M to $39.0MJun 30, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $74.0M to $78.4MJun 30, 2023 to Mar 22, 2024
- Pension RAUM · $13.0M to $20.4MJun 30, 2023 to Mar 22, 2024
- RAUM · $171M to $179MJun 30, 2023 to Mar 22, 2024
- Accounts · 654 to 666Jan 20, 2023 to Mar 29, 2023
- Advisory activities · 5 to 6Jan 20, 2023 to Mar 29, 2023
Signals
6 dated events
- J•••• C••••••••• S•••••• left S••••• C••••••• I••• for S••••• I••••••••• A•••••••• L•• (registered 2026-03-13)Mar 4, 2026 · Advisor changed firm · fact
- J••••• B••••••• P••••••• left S••••• C••••••• I••• for C•••••• A•••••••• I••• (registered 2022-08-04)Jul 13, 2022 · Advisor changed firm · fact
- Ann Elizabeth Boyd (Chief Operatng Officer, Chief Compliance Officer) appeared on Schedule A of S••••• C••••••• I•••Mar 28, 2022 · Control person joined · fact
- Leroy Derek Davis (Chief Operations Officer) no longer on Schedule A of S••••• C••••••• I••• (listed 2018-10-03, absent 2020-04-16)Apr 16, 2020 · Control person left · inference
- S••••• W••••• M••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 20, 2018 · Succession (Item 4) · fact
- S••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Apr 17, 2015 · 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
- 541-779-4446reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 702-448-7474reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-971-8070reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/S•••••reportedpublic record, Form ADV, Sep 19, 2026
- Website
- S•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 800-971-8070reportedpublic record, Form ADV, Mar 6, 2026
- Contact form
- skyoak.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- skyoak.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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026