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 Apr 14, 2026
First filing on the tape Mar 15, 2024 · 5 filings
SEC status approved since Apr 11, 2024
RAUM
$283M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$278M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$40.4M
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
5 filings and snapshots on the tape
RAUM$283M as of Apr 14, 2026
Mar 28, 2025$179M then
HNW client RAUM$225M as of Apr 14, 2026
Mar 28, 2025$140M then
State-registered IARs (5.B.3)3 as of Apr 14, 2026
Mar 28, 20253 then
Employees (5.A)6 as of Apr 14, 2026
Mar 28, 20256 then
Private funds: no history
RAUM +58% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Apr 14, 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
- 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
- RAUM per advisor
- $40.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $400,517derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +58%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +25%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $38.8M, 50 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$225M80%
- Individuals$53.5M19%
- Pension and profit-sharing plans$2.8M1.0%
- Corporations and businesses$962,3520.3%
- Charitable organizations$591,9700.2%
- Individual clients
- 242reported
- HNW clients
- 144reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 706reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.8M for 50 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• E••••••Certified Financial Planner | Coopersburg, Pa | Oct 22, 2013 | 16 y | 1 |
| L•••• J••••• H••••••• | Coopersburg, Pa | Oct 22, 2013 | 30 y | 4 |
| B••••••• E••••••Certified Financial Planner | Coopersburg, Pa | Jan 1, 2016 | 11 y | 0 |
| T•••• A•• F••••• | Coopersburg, Pa | Nov 22, 2016 | 38 y | 2 |
| G••••• P••• K•••• | Coopersburg, Pa | Jul 1, 2024 | 14 y | 1 |
| J••• P•••••••Certified Financial Planner | Coopersburg, Pa | Aug 27, 2025 | 20 y | 0 |
| D••••• E••••• N••••• | Coopersburg, Pa | Dec 19, 2025 | 13 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- D••••• E••••• N••••• from M•••••••• I••••••••• A•••••••• L••Dec 19, 2025 · RIA to RIA
- G••••• P••• K•••• from M•••••••• I••••••••• A•••••••• L••Jul 1, 2024 · RIA to RIA
- T•••• A•• F••••• from L•••••• A••••••• I•••••••••Nov 22, 2016 · RIA to RIA
- P••• E•••••• from P•• A••••••• S•••••••• L••Oct 22, 2013 · Other
- L•••• J••••• H••••••• from P•• A••••••• S•••••••• L••Oct 22, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••• P••• · Principal/Ccocontrolsince 06/2013 · 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 |
|---|---|---|---|---|---|
| Coopersburg, Pa · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Apr 14, 2026RAUM (Item 5.F) moved from $179,250,901 to $282,764,728 (+58.0%) between the annual amendments of 2025-03-28 and 2026-04-14; the peer median change was +15.0% (4550 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 548 to 706Mar 28, 2025 to Mar 29, 2026
- HNW clients · 94 to 144Mar 28, 2025 to Mar 29, 2026
- Individual clients · 216 to 242Mar 28, 2025 to Mar 29, 2026
- Assets in custody · $32.1M to $38.8MMar 28, 2025 to Mar 29, 2026
- Discretionary RAUM · $179M to $283MMar 28, 2025 to Mar 29, 2026
- HNW RAUM · $140M to $225MMar 28, 2025 to Mar 29, 2026
- Individual RAUM · $37.8M to $53.5MMar 28, 2025 to Mar 29, 2026
- Pension RAUM · unset to 2831514.0Mar 28, 2025 to Mar 29, 2026
- RAUM · $179M to $283MMar 28, 2025 to Mar 29, 2026
- Accounts · 436 to 548Nov 8, 2024 to Mar 28, 2025
- HNW clients · 67 to 94Nov 8, 2024 to Mar 28, 2025
- Individual clients · 210 to 216Nov 8, 2024 to Mar 28, 2025
- Assets in custody · unset to 32128233.0Nov 8, 2024 to Mar 28, 2025
- Custody of client assets · false to trueNov 8, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Nov 8, 2024 to Mar 28, 2025
- Discretionary RAUM · $116M to $179MNov 8, 2024 to Mar 28, 2025
- HNW RAUM · $77.3M to $140MNov 8, 2024 to Mar 28, 2025
- Individual RAUM · $37.9M to $37.8MNov 8, 2024 to Mar 28, 2025
- RAUM · $116M to $179MNov 8, 2024 to Mar 28, 2025
- Advisory activities · 2 to 1Mar 15, 2024 to Nov 8, 2024
Signals
2 dated events
- O•••••• A••••••• L•• reported RAUM $282.8M, up 58% from $179.3M (2025-03-28 to 2026-03-29)Mar 29, 2026 · RAUM change · derived
- O•••••• A••••••• L•• filed its initial SEC registration (Form ADV)Mar 15, 2024 · 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 phone
- 610-882-5670reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 610-882-5671reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-785-8898reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- O••••••-ONLINE.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (610) 882-5670reportedpublic record, Form ADV, Apr 14, 2026
- Contact form
- oaktree-online.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $40.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026