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
O•••• A•••••••• L••
Latest filing Jun 19, 2026
First filing on the tape Mar 30, 2012 · 77 filings
SEC status approved since Jun 6, 2011
RAUM
$2.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$2.0B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$246M
derived; firm RAUM over IAPD count
Employees
13
10 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
77 filings and snapshots on the tape
RAUM$2.5B as of Jun 19, 2026
Mar 30, 2012$0 then
HNW client RAUM$1.7B as of Jun 19, 2026
Mar 22, 2018$815M then
State-registered IARs (5.B.3)11 as of Jun 19, 2026
Mar 30, 20120 then
Employees (5.A)13 as of Jun 19, 2026
Mar 27, 20139 then
Private funds: no history
RAUM +18% over the last fiscal year+11% a year over threeIARs 11 to 11offices 3 to 2
Practice profile
derived from the filing of Jun 19, 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
- RAUM per advisor
- $246MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $546M, 227 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.7B71%
- Corporations and businesses$396M16%
- Individuals$256M10%
- Charitable organizations$53.7M2.2%
- Pension and profit-sharing plans$13.6M0.6%
- Other investment advisers$7.2M0.3%
- Individual clients
- 347reported
- HNW clients
- 341reported
- Pension plan clients
- 3reported
- Charitable clients
- 7reported
- Accounts
- 1,782reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $16.7M managedreported
- Custody of client assets
- $546M for 227 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=6.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• T••••••• O•••••Certified Financial Planner, Chartered Financial Analyst | Austin, Tx | Jun 13, 2011 | 47 y | 0 |
| K••••• J• M••••••••• | Austin, Tx | Mar 8, 2012 | 24 y | 2 |
| D•••• C•••••• R••••• | Austin, Tx | Apr 30, 2012 | 34 y | 1 |
| C••••••• G••••• B•••••• | Corpus Christi, Tx | Feb 24, 2014 | 16 y | 0 |
| T••••• M••••• C•••• | Austin, Tx | Mar 7, 2014 | 14 y | 1 |
| D••• B•••••• C••••••••Chartered Financial Analyst | Houston, Tx | Mar 17, 2015 | 29 y | 1 |
| B•••• L•••• B••••••Certified Financial Planner | Austin, Tx | Sep 22, 2016 | 22 y | 2 |
| C••••• M•••••• F•••••••Chartered Financial Analyst | Austin, Tx | Apr 26, 2018 | 15 y | 0 |
| J•••• A••• M•••• D•••••••• | Austin, Tx | Jun 26, 2024 | 10 y | 1 |
| R••• M• L•••••• | Austin, Tx | Mar 17, 2025 | 14 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 10% of current headcount1 left over 36 months
Left, latest
- E••••• S•••• B••• to M••••••• W••••• A•••••••• L••Apr 28, 2026 · RIA to RIA
- W•••••• B••••• K••• to S•••••• C•••••• L••Jul 19, 2023 · RIA to RIA
- A•••••••• W•••••• P••••• to B••••• P••••• A•••••••• L••Jul 10, 2023 · RIA to RIA
- B•••• S••••• H••• to S••••••••• A•••••••• L••Apr 11, 2023 · Other
- B•••• W•••••••• L••••• to H•••••• J• S••• C•••••• M••••••••• I•••Jul 5, 2017 · Other
- E••• G•••• C•••• to B•••• A•••••••Aug 4, 2016 · Other
- J••••••• L•• L••• to B•••• A•••••••Aug 4, 2016 · Other
Joined, latest
- R••• M• L•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 17, 2025 · Wirehouse to independent RIA
- J•••• A••• M•••• D•••••••• from 4• F••••••••Jun 26, 2024 · RIA to RIA
- E••••• S•••• B••• from C••• L••Sep 22, 2022 · Affiliated broker-dealer or bank to independent RIA
- W•••••• B••••• K••• from F•••••• D•• S••••••••• L••Oct 19, 2021 · RIA to RIA
- B•••• L•••• B•••••• from S••••• C•••••• P•••••••• L••Sep 22, 2016 · Other
- B•••• W•••••••• L••••• from K••• I••••••••• A•••••••• I•••Mar 17, 2015 · Other
- D••• B•••••• C•••••••• from K••• I••••••••• A•••••••• I•••Mar 17, 2015 · Other
- T••••• M••••• C•••• from H•••••• P•••• O••••• L••Mar 7, 2014 · Other
- D•••• C•••••• R••••• from F•••••••• F•••••••• A•••••••Apr 30, 2012 · Other
- K••••• J• M••••••••• from H•••••• P•••• O••••• L••Mar 8, 2012 · Other
- A•••••••• W•••••• P••••• from H•••••• P•••• O••••• L••Jun 8, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B•••• A•••••••Aug 4, 2016 · Austin, Tx
- 2 joined from K••• I••••••••• A•••••••• I•••Nov 12, 2015 · Houston, Tx
- 3 joined from H•••••• P•••• O••••• L••Apr 23, 2015 · Corpus Christi, Tx · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O•••••• J••••• T••••••• · Managing Membercontrolsince 10/2007 · owns 50% to 75%
- B••••••• C•••••••• G••••• · Director Of Operationssince 07/2018 · owns less than 5%
- B••••••• B••••• L•••• · Director Of Investor Relationssince 08/2016 · owns less than 5%
- F•••••••• C•••••• M•••••• · Chief Investment Officersince 04/2018 · owns 10% to 25%
- M••••••••• K•••••• J• · Chief Compliance Officersince 05/2017 · owns less than 5%
- O•••••• W••••••• K••• · Director Of Marketingsince 10/2016 · owns less than 5%
Related persons
Schedule D 7.A
- H•••••• P•••• O••••• L••broker-dealerinvestment adviserreal estatenRAUM $155M
Advisers that list O•••• A•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Austin, Tx · principal | 10 | 0 | 1 | ||
| Houston, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Corpus Christi, TX2 employees
- Houston, TX2 employees
- San Antonio, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 1,625 to 1,782Jul 16, 2025 to Feb 20, 2026
- Advisory activities · 7 to 8Jul 16, 2025 to Feb 20, 2026
- Charity clients · 9 to 7Jul 16, 2025 to Feb 20, 2026
- HNW clients · 314 to 341Jul 16, 2025 to Feb 20, 2026
- Individual clients · 326 to 347Jul 16, 2025 to Feb 20, 2026
- Assets in custody · $404M to $546MJul 16, 2025 to Feb 20, 2026
- Financial planning clients · 1-10 to 51-100Jul 16, 2025 to Feb 20, 2026
- Discretionary RAUM · $2.1B to $2.5BJul 16, 2025 to Feb 20, 2026
- HNW RAUM · $1.5B to $1.7BJul 16, 2025 to Feb 20, 2026
- Individual RAUM · $204M to $256MJul 16, 2025 to Feb 20, 2026
- Pension RAUM · $13.0M to $13.6MJul 16, 2025 to Feb 20, 2026
- RAUM · $2.1B to $2.5BJul 16, 2025 to Feb 20, 2026
- Wrap assets (manager) · $18.1M to $16.7MJul 16, 2025 to Feb 20, 2026
- Financial planning clients · 1-10 to 1-10Apr 10, 2025 to Jul 16, 2025
- Other offices · 3 to 2Apr 10, 2025 to Jul 16, 2025
- Advisory employees · 9 to 10Feb 14, 2025 to Apr 10, 2025
- BD registered reps · 5 to 6Feb 14, 2025 to Apr 10, 2025
- Employees · 12 to 13Feb 14, 2025 to Apr 10, 2025
- State-registered IARs · 10 to 11Feb 14, 2025 to Apr 10, 2025
- Accounts · 1,527 to 1,625Oct 18, 2024 to Feb 14, 2025
- Charity clients · 8 to 9Oct 18, 2024 to Feb 14, 2025
- Corporate clients · 41 to 45Oct 18, 2024 to Feb 14, 2025
- HNW clients · 290 to 314Oct 18, 2024 to Feb 14, 2025
- Individual clients · 292 to 326Oct 18, 2024 to Feb 14, 2025
- Assets in custody · $899M to $404MOct 18, 2024 to Feb 14, 2025
- Financial planning clients · 0 to 1-10Oct 18, 2024 to Feb 14, 2025
- Discretionary RAUM · $1.9B to $2.1BOct 18, 2024 to Feb 14, 2025
- HNW RAUM · $1.4B to $1.5BOct 18, 2024 to Feb 14, 2025
- Individual RAUM · $167M to $204MOct 18, 2024 to Feb 14, 2025
- Pension RAUM · $11.8M to $13.0MOct 18, 2024 to Feb 14, 2025
- RAUM · $1.9B to $2.1BOct 18, 2024 to Feb 14, 2025
- Wrap assets (manager) · $22.1M to $18.1MOct 18, 2024 to Feb 14, 2025
- Advisory employees · 8 to 9May 7, 2024 to Jul 19, 2024
- Employees · 11 to 12May 7, 2024 to Jul 19, 2024
- State-registered IARs · 9 to 10May 7, 2024 to Jul 19, 2024
- Accounts · 1,456 to 1,527Sep 1, 2023 to Mar 21, 2024
- Advisory employees · 7 to 8Sep 1, 2023 to Mar 21, 2024
- Charity clients · 9 to 8Sep 1, 2023 to Mar 21, 2024
- Corporate clients · 30 to 41Sep 1, 2023 to Mar 21, 2024
- HNW clients · 261 to 290Sep 1, 2023 to Mar 21, 2024
Signals
4 dated events
- E••••• S•••• B••• left O•••• A•••••••• L•• for M••••••• W••••• A•••••••• L•• (registered 2026-04-30)Apr 28, 2026 · Advisor changed firm · fact
- W•••••• B••••• K••• left O•••• A•••••••• L•• for S•••••• C•••••• L•• (registered 2023-09-11)Jul 19, 2023 · Advisor changed firm · fact
- A•••••••• W•••••• P••••• left O•••• A•••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2023-09-26)Jul 10, 2023 · Advisor changed firm · fact
- B•••• S••••• H••• left O•••• A•••••••• L•• for S••••••••• A•••••••• L•• (registered 2021-10-04)Apr 11, 2023 · Advisor changed firm · 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
- 512-363-5661reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 361-249-9928reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 361-692-1296reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/O••••-ADVISORSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- O••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 512-386-1088reportedpublic record, Form ADV, Jun 19, 2026
- Team page
- o•••••••••.comreportedpublished 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
- $246Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026