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•• C••• I••••••••• C•••••••••
Legal name O•• C••• C••••••••• L••
Latest filing Jul 28, 2026
First filing on the tape Feb 28, 2012 · 40 filings
SEC status approved since Mar 21, 2012
RAUM
$1.4B
reported, Item 5.F
Discretionary
12%
of RAUM
Private clients
1.4%
$20.0M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$477M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$1.4B as of Jul 28, 2026
Jan 30, 2013$308M then
HNW client RAUM$0 as of Jul 28, 2026
Mar 23, 2018$0 then
State-registered IARs (5.B.3)3 as of Jul 28, 2026
Jan 30, 20131 then
Employees (5.A)6 as of Jul 28, 2026
Jan 30, 20131 then
Private funds: no history
RAUM +13% over the last fiscal year+23% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 28, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $477MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $4.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 12%derivedof RAUM
- Institutional
- 99%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.0%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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
- Charitable organizations$1.4B99%
- Individuals$20.0M1.4%
- Individual clients
- 32reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 14reported
- Accounts
- 336reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.01 fund_share=0.0 institutional_share=0.99 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 |
|---|---|---|---|---|
| R••• P•••••• R••••••••• | Wake Forest, Nc | Apr 11, 2012 | 36 y | 2 |
| D••••• A•••••••• W••• | Wake Forest, Nc | Apr 11, 2018 | 20 y | 0 |
| B•••••• S••••••• D••••••• | Wake Forest, Nc | Jul 21, 2022 | 14 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
- R••• P••• T•••••• to H••••• R••••Apr 3, 2017 · Other
Joined, latest
- R••• P••• T•••••• from E••••• J••••May 27, 2015 · Other
- R••• P•••••• R••••••••• from M••••• K••••• • C••••••• L••Apr 11, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• C••••••••• J••• · Ccocontrolsince 10/2020 · owns less than 5%
- R••••••••• R•••• P•••••• · Managing Member, Ceo, Ciocontrolsince 03/2012 · owns 75% or more
- S••••• M••••••• C•••• · Managing Member And Cfocontrolsince 07/2015 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Wake Forest, Nc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 314 to 336Mar 14, 2025 to Mar 11, 2026
- Business name · O•• C••• C••••••••• L•• to O•• C••• I••••••••• C•••••••••Mar 14, 2025 to Mar 11, 2026
- Charity clients · 13 to 14Mar 14, 2025 to Mar 11, 2026
- Individual clients · 33 to 32Mar 14, 2025 to Mar 11, 2026
- Discretionary RAUM · $158M to $171MMar 14, 2025 to Mar 11, 2026
- Individual RAUM · $17.0M to $20.0MMar 14, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $1.1B to $1.3BMar 14, 2025 to Mar 11, 2026
- RAUM · $1.3B to $1.4BMar 14, 2025 to Mar 11, 2026
- Accounts · 245 to 314Mar 13, 2024 to Mar 14, 2025
- Charity clients · 12 to 13Mar 13, 2024 to Mar 14, 2025
- Individual clients · 28 to 33Mar 13, 2024 to Mar 14, 2025
- Financial planning clients · unset to Mar 13, 2024 to Mar 14, 2025
- Discretionary RAUM · $154M to $158MMar 13, 2024 to Mar 14, 2025
- Individual RAUM · $14.9M to $17.0MMar 13, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $629M to $1.1BMar 13, 2024 to Mar 14, 2025
- RAUM · $783M to $1.3BMar 13, 2024 to Mar 14, 2025
- Accounts · 254 to 245Nov 22, 2023 to Mar 13, 2024
- Charity clients · 13 to 12Nov 22, 2023 to Mar 13, 2024
- Individual clients · 31 to 28Nov 22, 2023 to Mar 13, 2024
- Discretionary RAUM · $159M to $154MNov 22, 2023 to Mar 13, 2024
- Individual RAUM · $15.4M to $14.9MNov 22, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $606M to $629MNov 22, 2023 to Mar 13, 2024
- Pension RAUM · unset to 0.0Nov 22, 2023 to Mar 13, 2024
- RAUM · $766M to $783MNov 22, 2023 to Mar 13, 2024
- Advisory activities · 3 to 4Mar 15, 2023 to Nov 22, 2023
- Accounts · 233 to 254Mar 9, 2022 to Mar 15, 2023
- Advisory employees · 2 to 3Mar 9, 2022 to Mar 15, 2023
- Advisory activities · 4 to 3Mar 9, 2022 to Mar 15, 2023
- Charity clients · 12 to 13Mar 9, 2022 to Mar 15, 2023
- Pension plan clients · 1 to 0Mar 9, 2022 to Mar 15, 2023
- State-registered IARs · 2 to 3Mar 9, 2022 to Mar 15, 2023
- Discretionary RAUM · $21.2M to $159MMar 9, 2022 to Mar 15, 2023
- Individual RAUM · $17.4M to $15.4MMar 9, 2022 to Mar 15, 2023
- Non-discretionary RAUM · $754M to $606MMar 9, 2022 to Mar 15, 2023
- Pension RAUM · 3822606.0 to unsetMar 9, 2022 to Mar 15, 2023
- RAUM · $776M to $766MMar 9, 2022 to Mar 15, 2023
- Accounts · 237 to 233Mar 9, 2021 to Mar 9, 2022
- Advisory activities · 2 to 4Mar 9, 2021 to Mar 9, 2022
- Charity clients · 11 to 12Mar 9, 2021 to Mar 9, 2022
- Individual clients · 36 to 31Mar 9, 2021 to Mar 9, 2022
Signals
3 dated events
- O•• C••• I••••••••• C••••••••• reported RAUM $1.3B, up 61% from $782.5M (2024-03-13 to 2025-03-14)Mar 14, 2025 · RAUM change · derived
- Jean Christina Baucom (Cco) appeared on Schedule A of O•• C••• I••••••••• C•••••••••Mar 9, 2021 · Control person joined · fact
- O•• C••• I••••••••• C••••••••• reported RAUM $480.1M, up 41% from $339.5M (2018-01-04 to 2018-03-23)Mar 23, 2018 · RAUM change · derived
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
- Firm profile
- linkedin.com/company/oak-city-consultingreportedpublic record, Form ADV, Sep 18, 2026
- Website
- oakcityic.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-844-6450reportedpublic record, Form ADV, Jul 28, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $477Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026