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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Former SEC-registered adviser

O•• S•••••• W••••• M••••••••• L••

Former SEC-registered adviserKnoxville, TennesseeCRD 164332SEC 801-76888IAPD
Latest filing Mar 27, 2015
First filing on the tape Jun 30, 2012 · 12 filings
RAUM
$68.1M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$34.0M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$68.1M as of Mar 27, 2015
Mar 22, 2013$99.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 27, 2015
Mar 22, 20132 then
Employees (5.A)3 as of Mar 27, 2015
Mar 22, 20132 then
Private funds: no history
RAUM -25% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Mar 27, 2015; every figure names its basis
RAUM per advisor
$34.0MderivedRAUM 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
$472,737derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-25%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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)
  • 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)
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
144reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
G••••• F•••••••• L••Certified Financial PlannerKnoxville, TnAug 13, 201225 y3
C•••• E•••••••• J••••••Certified Financial PlannerKnoxville, Tn Aug 13, 201228 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • J••••••• C••••• E•••••••• · Managing Member, Chief Compliance Officercontrol
      since 05/2012 · owns 50% to 75%
    • L••• G•••••• F•••••••• · Membercontrol
      since 05/2012 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Knoxville, Tn · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 150 to 144
      Nov 20, 2014 to Mar 27, 2015
    • Advisory employees · 2 to 3
      Nov 20, 2014 to Mar 27, 2015
    • State-registered IARs · 2 to 3
      Nov 20, 2014 to Mar 27, 2015
    • Discretionary RAUM · $71.3M to $63.7M
      Nov 20, 2014 to Mar 27, 2015
    • Non-discretionary RAUM · $4.1M to $4.4M
      Nov 20, 2014 to Mar 27, 2015
    • RAUM · $75.4M to $68.1M
      Nov 20, 2014 to Mar 27, 2015
    • Accounts · 190 to 150
      Nov 3, 2014 to Nov 20, 2014
    • Advisory activities · 3 to 4
      Nov 3, 2014 to Nov 20, 2014
    • Financial planning clients · 11-25 to 1-10
      Nov 3, 2014 to Nov 20, 2014
    • Discretionary RAUM · $79.4M to $71.3M
      Nov 3, 2014 to Nov 20, 2014
    • Non-discretionary RAUM · $11.7M to $4.1M
      Nov 3, 2014 to Nov 20, 2014
    • RAUM · $91.0M to $75.4M
      Nov 3, 2014 to Nov 20, 2014
    • Accounts · 177 to 190
      Jan 15, 2014 to Mar 25, 2014
    • Employees · 2 to 3
      Jan 15, 2014 to Mar 25, 2014
    • Discretionary RAUM · $99.7M to $79.4M
      Jan 15, 2014 to Mar 25, 2014
    • Non-discretionary RAUM · $0 to $11.7M
      Jan 15, 2014 to Mar 25, 2014
    • RAUM · $99.7M to $91.0M
      Jan 15, 2014 to Mar 25, 2014
    • Accounts · 206 to 177
      Jan 14, 2013 to Mar 22, 2013
    • Financial planning clients · 0 to 11-25
      Jan 14, 2013 to Mar 22, 2013
    • Discretionary RAUM · $101M to $99.7M
      Jan 14, 2013 to Mar 22, 2013
    • RAUM · $101M to $99.7M
      Jan 14, 2013 to Mar 22, 2013
    • BD registered reps · unset to 0.0
      Oct 18, 2012 to Jan 14, 2013
    • Advisory employees · unset to 2.0
      Oct 18, 2012 to Jan 14, 2013
    • Employees · unset to 2.0
      Oct 18, 2012 to Jan 14, 2013
    • State-registered IARs · unset to 2.0
      Oct 18, 2012 to Jan 14, 2013
    • Accounts · 0 to 206
      Sep 5, 2012 to Oct 18, 2012
    • Discretionary RAUM · $0 to $101M
      Sep 5, 2012 to Oct 18, 2012
    • RAUM · $0 to $101M
      Sep 5, 2012 to Oct 18, 2012
    • Financial planning clients · unset to 0
      Jun 30, 2012 to Sep 5, 2012
    Signals
    1 dated events
    • O•• S•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Jun 30, 2012 · 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
    Website
    OAKS••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $34.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026