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
Oakmont Advisory Group, LLC
Latest filing May 26, 2026
First filing on the tape Aug 4, 2023 · 12 filings
SEC status approved since Sep 1, 2023
RAUM
$150M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
98%
$147M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$49.8M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$150M as of May 26, 2026
Mar 25, 2024$108M then
HNW client RAUM$71.4M as of May 26, 2026
Mar 25, 2024$35.6M then
State-registered IARs (5.B.3)3 as of May 26, 2026
Mar 25, 20243 then
Employees (5.A)7 as of May 26, 2026
Mar 25, 20247 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of May 26, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $49.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 158derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $130,460derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$75.5M51%
- High-net-worth individuals$71.4M48%
- Pension and profit-sharing plans$2.5M1.7%
- Individual clients
- 415reported
- HNW clients
- 58reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 1,146reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| David Bradford Hicks | Albuquerque, Nm | Jan 22, 2013 | 17 y | 0 |
| Ralph William HicksChartered Financial Consultant | Albuquerque, Nm | Apr 27, 2013 | 39 y | 0 |
| Brandon Connor Kinsner | Albuquerque, Nm | Mar 1, 2023 | 12 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Bradford David Hicks · Partner & Chief Compliance Officercontrolsince 01/2020 · owns 50% to 75%
- William Ralph Hicks · Managing Membercontrolsince 10/2011 · owns 50% to 75%
Related persons
Schedule D 7.A
- Oakmont Insurance, LLCreal estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Albuquerque, Nm · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Apr 2, 2026accounts (Item 5.F.2.f) moved from 491.0 to 1,146.0 (+133.0%) between the annual amendments of 2025-03-27 and 2026-04-02; the peer median change was +5.0% (3688 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,688) · 99% percentile
- HNW share shiftChange between filings · filing Apr 2, 2026HNW share of RAUM moved from 31.0% to 48.0% between the annual amendments of 2025-03-27 and 2026-04-02peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 491 to 1,146Jan 16, 2026 to Mar 31, 2026
- HNW clients · 27 to 58Jan 16, 2026 to Mar 31, 2026
- Individual clients · 461 to 415Jan 16, 2026 to Mar 31, 2026
- Discretionary RAUM · $122M to $142MJan 16, 2026 to Mar 31, 2026
- HNW RAUM · $38.9M to $71.4MJan 16, 2026 to Mar 31, 2026
- Individual RAUM · $85.9M to $75.5MJan 16, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $5.7M to $7.9MJan 16, 2026 to Mar 31, 2026
- Pension RAUM · $2.7M to $2.5MJan 16, 2026 to Mar 31, 2026
- RAUM · $127M to $150MJan 16, 2026 to Mar 31, 2026
- Accounts · 1,021 to 491Sep 24, 2024 to Mar 27, 2025
- HNW clients · 34 to 27Sep 24, 2024 to Mar 27, 2025
- Individual clients · 637 to 461Sep 24, 2024 to Mar 27, 2025
- Financial planning clients · 251-500 to 251-500Sep 24, 2024 to Mar 27, 2025
- Discretionary RAUM · $106M to $122MSep 24, 2024 to Mar 27, 2025
- HNW RAUM · $35.6M to $38.9MSep 24, 2024 to Mar 27, 2025
- Individual RAUM · $70.2M to $85.9MSep 24, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $2.7M to $5.7MSep 24, 2024 to Mar 27, 2025
- Pension RAUM · $2.4M to $2.7MSep 24, 2024 to Mar 27, 2025
- RAUM · $108M to $127MSep 24, 2024 to Mar 27, 2025
- Individual clients · 614 to 637Mar 25, 2024 to Sep 24, 2024
- Individual RAUM · $64.4M to $70.2MMar 25, 2024 to Sep 24, 2024
- Accounts · 962 to 1,021Sep 21, 2023 to Mar 25, 2024
- HNW clients · 22 to 34Sep 21, 2023 to Mar 25, 2024
- Individual clients · 437 to 614Sep 21, 2023 to Mar 25, 2024
- Pension plan clients · unset to 3.0Sep 21, 2023 to Mar 25, 2024
- Discretionary RAUM · $104M to $106MSep 21, 2023 to Mar 25, 2024
- HNW RAUM · $29.3M to $35.6MSep 21, 2023 to Mar 25, 2024
- Individual RAUM · $76.3M to $64.4MSep 21, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $3.3M to $2.7MSep 21, 2023 to Mar 25, 2024
- Pension RAUM · $2.2M to $2.4MSep 21, 2023 to Mar 25, 2024
- RAUM · $108M to $108MSep 21, 2023 to Mar 25, 2024
Signals
1 dated events
- Oakmont Advisory Group, Llc filed its initial SEC registration (Form ADV)Aug 4, 2023 · 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 email
- info@oakmontadvisory.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 505-312-7533reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 505-821-6966reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 505-302-1200reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/OAKMONT-ADVISORY-GROUPreportedpublic record, Form ADV, Sep 17, 2026
- Website
- OAKMONTADVISORY.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 505-821-6966reportedpublic record, Form ADV, May 26, 2026
- Contact form
- oakmontadvisory.com/contactreportedpublished 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
- $49.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026