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
White Oaks Investment Management, Inc
Latest filing May 27, 2026
First filing on the tape Feb 14, 2014 · 35 filings
SEC status approved since Apr 24, 2014
RAUM
$496M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$496M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
17
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$496M as of May 27, 2026
Mar 17, 2015$283M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of May 27, 2026
Mar 17, 20150 then
Employees (5.A)2 as of May 27, 2026
Mar 17, 20152 then
Private funds17 as of May 27, 2026
Mar 17, 20155 then
RAUM +16% over the last fiscal year+11% a year over threeIARs 2 to 1
Practice profile
derived from the filing of May 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $496MderivedRAUM 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
- $45.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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 securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$496M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| William Alexander DutyChartered Financial Analyst | Sarasota, Fl | Oct 26, 2021 | 12 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months
Left, latest
- Anirudh Vedere to SavvyMay 27, 2026 · Other
Joined, latest
- William Alexander Duty from White Oaks Wealth Advisors, Inc.Oct 26, 2021 · Other
Private funds
18 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- Alison Sharon Bloodworth · Ceo And Chief Compliance Officercontrolsince 10/2017 · owns 75% or more
Related persons
Schedule D 7.A
- White Oaks Wealth Advisors, Inc.investment adviseryRAUM $618M
Advisers that list White Oaks Investment Management, Inc as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sarasota, Fl · principal | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Minneapolis, MN1 employees
What changed
consecutive filings, newest first
- Advisory employees · 2 to 1Mar 17, 2026 to May 27, 2026
- Employees · 3 to 2Mar 17, 2026 to May 27, 2026
- State-registered IARs · 2 to 1Mar 17, 2026 to May 27, 2026
- Assets in custody · $427M to $496MMar 12, 2025 to Mar 17, 2026
- Private funds · 16 to 17Mar 12, 2025 to Mar 17, 2026
- Discretionary RAUM · $427M to $496MMar 12, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $427M to $496MMar 12, 2025 to Mar 17, 2026
- RAUM · $427M to $496MMar 12, 2025 to Mar 17, 2026
- Assets in custody · $400M to $427MJan 24, 2025 to Mar 12, 2025
- Employees · 2 to 3Jan 24, 2025 to Mar 12, 2025
- Financial planning clients · unset to Jan 24, 2025 to Mar 12, 2025
- Discretionary RAUM · $400M to $427MJan 24, 2025 to Mar 12, 2025
- Pooled vehicle RAUM · $400M to $427MJan 24, 2025 to Mar 12, 2025
- RAUM · $400M to $427MJan 24, 2025 to Mar 12, 2025
- Assets in custody · $363M to $400MMar 3, 2023 to Feb 13, 2024
- Discretionary RAUM · $363M to $400MMar 3, 2023 to Feb 13, 2024
- Pooled vehicle RAUM · $363M to $400MMar 3, 2023 to Feb 13, 2024
- RAUM · $363M to $400MMar 3, 2023 to Feb 13, 2024
- Assets in custody · $395M to $363MMar 14, 2022 to Mar 3, 2023
- Discretionary RAUM · $395M to $363MMar 14, 2022 to Mar 3, 2023
- Pooled vehicle RAUM · $395M to $363MMar 14, 2022 to Mar 3, 2023
- RAUM · $395M to $363MMar 14, 2022 to Mar 3, 2023
- Assets in custody · $359M to $395MJan 4, 2022 to Mar 14, 2022
- State-registered IARs · 1 to 2Jan 4, 2022 to Mar 14, 2022
- Discretionary RAUM · $359M to $395MJan 4, 2022 to Mar 14, 2022
- Pooled vehicle RAUM · $359M to $395MJan 4, 2022 to Mar 14, 2022
- RAUM · $359M to $395MJan 4, 2022 to Mar 14, 2022
- Accounts · 13 to 11May 8, 2020 to Mar 22, 2021
- Pooled vehicle clients · 12 to 10May 8, 2020 to Mar 22, 2021
- Assets in custody · $365M to $359MMay 8, 2020 to Mar 22, 2021
- Private funds · 18 to 16May 8, 2020 to Mar 22, 2021
- Discretionary RAUM · $365M to $359MMay 8, 2020 to Mar 22, 2021
- Pooled vehicle RAUM · $365M to $359MMay 8, 2020 to Mar 22, 2021
- RAUM · $365M to $359MMay 8, 2020 to Mar 22, 2021
- Advisory employees · 3 to 2Jan 31, 2020 to Mar 10, 2020
- Assets in custody · $321M to $365MJan 31, 2020 to Mar 10, 2020
- Employees · 3 to 2Jan 31, 2020 to Mar 10, 2020
- State-registered IARs · 2 to 1Jan 31, 2020 to Mar 10, 2020
- Discretionary RAUM · $318M to $365MJan 31, 2020 to Mar 10, 2020
- Pooled vehicle RAUM · $318M to $365MJan 31, 2020 to Mar 10, 2020
Signals
3 dated events
- Anirudh Vedere left White Oaks Investment Management, Inc for Savvy (registered 2026-09-01)May 27, 2026 · Advisor changed firm · fact
- John Robert Klosterman (Founder & Advisor) no longer on Schedule A of White Oaks Investment Management, Inc (listed 2018-03-27, absent 2019-03-20)Mar 20, 2019 · Control person left · inference
- White Oaks Investment Management, Inc filed its initial SEC registration (Form ADV)Feb 14, 2014 · 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
- Principal office phone
- 941-361-9000reportedpublic record, Form ADV, May 27, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $496Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026