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.

Former SEC-registered adviser

Aog Wealth Management

Former SEC-registered adviserReston, VirginiaCRD 159026SEC 801-77736website IAPD

Legal name Alpha Omega Group, Inc.

Latest filing Mar 23, 2025

First filing on the tape Mar 5, 2013 · 28 filings

SEC status approved since Mar 15, 2013

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

28 filings and snapshots on the tape

RAUM$0 as of Mar 23, 2025

Mar 31, 2014$129M then

HNW client RAUM$167M as of Mar 26, 2024

Mar 20, 2018$150M then

State-registered IARs (5.B.3)1 as of Mar 23, 2025

Mar 31, 20146 then

Employees (5.A)1 as of Mar 23, 2025

Mar 31, 201410 then

Private funds: 1

RAUM -100% over the last fiscal yearIARs 8 to 1

Practice profile

derived from the filing of Mar 23, 2025; every figure names its basis

RAUM per advisor: $0derivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 0.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year: -100%derivedbetween the last two annual amendments
Advisor growth, one year: -88%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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

is an insurance broker or agent (6.A.6)
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)
an independent public accountant performs a surprise examination (9.C.1)
marketing includes testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 0reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

Frederick Peter Baerenz to F L Putnam Investment Management Co.
Jun 30, 2025 · Other
James Thomas Ortlip to F L Putnam Investment Management Co.
Mar 7, 2025 · RIA to RIA
Amanda Michele Pfeifle to F L Putnam Investment Management Co.
Mar 7, 2025 · RIA to RIA
Aaron Jay Rosen to F L Putnam Investment Management Co.
Mar 7, 2025 · RIA to RIA
Sarah Lydia Grace Gosselin to F L Putnam Investment Management Co.
Mar 7, 2025 · RIA to RIA
Erin Melissa Holt to F L Putnam Investment Management Co.
Mar 7, 2025 · RIA to RIA
Susan Marie White to F L Putnam Investment Management Co.
Mar 7, 2025 · RIA to RIA
Joseph S Yoon to Timescale Financial, Inc.
Jan 11, 2021 · RIA to RIA
Shane Timothy Twomey to Rockefeller Capital Management
Jul 20, 2016 · Other

Joined, latest

Aaron Jay Rosen from Pinhook Capital, LLC
Jun 30, 2023 · Other
Joseph S Yoon from Charles Schwab & Co., Inc.
Mar 8, 2019 · Affiliated broker-dealer or bank to independent RIA
Shane Timothy Twomey from Waddell & Reed
Oct 8, 2014 · Other
James Thomas Ortlip from Cetera Advisors LLC
May 3, 2013 · Other
Frederick Peter Baerenz from Cetera Advisors LLC
May 3, 2013 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

5 left for F L Putnam Investment Management Co.
Mar 7, 2025 · Reston, Va · Firm absorbed

Teams out Teams in

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
Aog Institutional Diversified Master Fundno longer reported	Other Private Fund	$15.2M	0	Mar 30, 2022

Owners and control persons

Schedule A and B, latest filing

Peter Frederick Baerenz · Presidentcontrol
since 05/2000 · owns less than 5%
Thomas James Ortlip · Ciocontrol
since 06/2019 · owns 5% to 10%
Lauren Michelle Whitlock · Chief Financial Officercontrol
since 03/2017 · owns less than 5%
Peter Frederick Baerenz · Trusteecontrol
since 03/2017 · owns F of The Baerenz Family Trust Dated 2/25/2021
Russell James Hadaway · Chief Compliance Officer
since 01/2020 · owns less than 5%

Entity owners

The Baerenz Family Trust Dated 2/25/2021 · Shareholder
direct · 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
Reston, Va · principal	0	0	0
Youngsville, Nc	0	0	0

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Accounts · 1,056 to 0
May 10, 2024 to Mar 23, 2025
Advisory employees · 8 to 1
May 10, 2024 to Mar 23, 2025
Advisory activities · 3 to 2
May 10, 2024 to Mar 23, 2025
Charity clients · 17.0 to unset
May 10, 2024 to Mar 23, 2025
Corporate clients · 6.0 to unset
May 10, 2024 to Mar 23, 2025
HNW clients · 87.0 to unset
May 10, 2024 to Mar 23, 2025
Individual clients · 252.0 to unset
May 10, 2024 to Mar 23, 2025
Pension plan clients · 3.0 to unset
May 10, 2024 to Mar 23, 2025
Assets in custody · 19605917.0 to unset
May 10, 2024 to Mar 23, 2025
Custody of client assets · true to false
May 10, 2024 to Mar 23, 2025
Employees · 12 to 1
May 10, 2024 to Mar 23, 2025
State-registered IARs · 8 to 1
May 10, 2024 to Mar 23, 2025
Discretionary RAUM · $341M to $0
May 10, 2024 to Mar 23, 2025
HNW RAUM · 166856527.0 to unset
May 10, 2024 to Mar 23, 2025
Individual RAUM · 98591874.0 to unset
May 10, 2024 to Mar 23, 2025
Pension RAUM · 511854.0 to unset
May 10, 2024 to Mar 23, 2025
RAUM · $341M to $0
May 10, 2024 to Mar 23, 2025
Accounts · 1,057 to 1,056
Nov 22, 2023 to Mar 26, 2024
Advisory employees · 6 to 8
Nov 22, 2023 to Mar 26, 2024
Charity clients · 9 to 17
Nov 22, 2023 to Mar 26, 2024
Corporate clients · 7 to 6
Nov 22, 2023 to Mar 26, 2024
HNW clients · 95 to 87
Nov 22, 2023 to Mar 26, 2024
Individual clients · 247 to 252
Nov 22, 2023 to Mar 26, 2024
Assets in custody · $3.1M to $19.6M
Nov 22, 2023 to Mar 26, 2024
Employees · 13 to 12
Nov 22, 2023 to Mar 26, 2024
State-registered IARs · 6 to 8
Nov 22, 2023 to Mar 26, 2024
Other offices · 2 to 3
Nov 22, 2023 to Mar 26, 2024
Discretionary RAUM · $305M to $341M
Nov 22, 2023 to Mar 26, 2024
HNW RAUM · $158M to $167M
Nov 22, 2023 to Mar 26, 2024
Individual RAUM · $77.6M to $98.6M
Nov 22, 2023 to Mar 26, 2024
Pension RAUM · $5.7M to $511,854
Nov 22, 2023 to Mar 26, 2024
RAUM · $305M to $341M
Nov 22, 2023 to Mar 26, 2024
Accounts · 1,030 to 1,057
Dec 20, 2022 to Mar 31, 2023
Advisory employees · 5 to 6
Dec 20, 2022 to Mar 31, 2023
Advisory activities · 2 to 3
Dec 20, 2022 to Mar 31, 2023
Corporate clients · 5 to 7
Dec 20, 2022 to Mar 31, 2023
Individual clients · 234 to 247
Dec 20, 2022 to Mar 31, 2023
Pension plan clients · 4 to 3
Dec 20, 2022 to Mar 31, 2023
Assets in custody · $4.6M to $3.1M
Dec 20, 2022 to Mar 31, 2023
Employees · 11 to 13
Dec 20, 2022 to Mar 31, 2023

Signals

15 dated events

Aog Wealth Management no longer on the SEC adviser roster (last listed 2025-06-02)
Jul 1, 2025 · Left the SEC roster · derived
Frederick Peter Baerenz left Aog Wealth Management for F L Putnam Investment Management Co. (registered 2025-03-07)
Jun 30, 2025 · Advisor changed firm · fact
Aog Wealth Management reported RAUM $0, down 100% from $341.3M (2024-05-10 to 2025-03-23)
Mar 23, 2025 · RAUM change · derived
Erin Melissa Holt left Aog Wealth Management for F L Putnam Investment Management Co. (registered 2025-03-06)
Mar 7, 2025 · Advisor changed firm · fact
Sarah Lydia Grace Gosselin left Aog Wealth Management for F L Putnam Investment Management Co. (registered 2025-03-06)
Mar 7, 2025 · Advisor changed firm · fact
Susan Marie White left Aog Wealth Management for F L Putnam Investment Management Co. (registered 2025-03-06)
Mar 7, 2025 · Advisor changed firm · fact
James Thomas Ortlip left Aog Wealth Management for F L Putnam Investment Management Co. (registered 2025-03-26)
Mar 7, 2025 · Advisor changed firm · fact
Amanda Michele Pfeifle left Aog Wealth Management for F L Putnam Investment Management Co. (registered 2025-03-06)
Mar 7, 2025 · Advisor changed firm · fact
Aaron Jay Rosen left Aog Wealth Management for F L Putnam Investment Management Co. (registered 2025-03-06)
Mar 7, 2025 · Advisor changed firm · fact
Aog Wealth Management's advisors moved to F L Putnam Investment Management CO. (Reston, VA): 5 of 7 registered, on the same day
Mar 7, 2025 · Firm absorbed (people side) · derived
S Joseph Yoon (Chief Compliance Officer) no longer on Schedule A of Aog Wealth Management (listed 2020-09-10, absent 2021-02-01)
Feb 1, 2021 · Control person left · inference
Russell James Hadaway (Chief Compliance Officer) appeared on Schedule A of Aog Wealth Management
Feb 1, 2021 · Control person joined · fact
Thomas James Ortlip (Cio) appeared on Schedule A of Aog Wealth Management
Mar 30, 2020 · Control person joined · fact
S Joseph Yoon (Chief Compliance Officer) appeared on Schedule A of Aog Wealth Management
Mar 30, 2020 · Control person joined · fact
Aog Wealth Management filed its initial SEC registration (Form ADV)
Mar 5, 2013 · 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.

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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026