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•••• F••••• W•••••• L••
Latest filing Jun 23, 2026
First filing on the tape Apr 3, 2014 · 33 filings
SEC status approved since May 1, 2014
RAUM
$995M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
81%
$810M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$199M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$995M as of Jun 23, 2026
Mar 31, 2016$366M then
HNW client RAUM$781M as of Jun 23, 2026
Mar 26, 2018$556M then
State-registered IARs (5.B.3)5 as of Jun 23, 2026
Feb 11, 20150 then
Employees (5.A)10 as of Jun 23, 2026
Feb 11, 20151 then
Private funds2 as of Jun 23, 2026
Mar 21, 20191 then
RAUM +16% over the last fiscal year+11% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jun 23, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $199MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.5MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 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
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $466M, 121 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)
- 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$781M79%
- Pooled investment vehicles$167M17%
- Individuals$29.2M2.9%
- Charitable organizations$15.9M1.6%
- Pension and profit-sharing plans$1.3M0.1%
- Individual clients
- 70reported
- HNW clients
- 92reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 922reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $466M for 121 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.81 fund_share=0.17 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• S•••• W•••••Certified Financial Planner | Aventura, Fl | Sep 9, 2015 | 19 y | 2 |
| S••••• A••• W••••• | Aventura, Fl | Sep 9, 2015 | 43 y | 2 |
| A••• O••• | Aventura, Fl | Sep 25, 2018 | 17 y | 1 |
| L••••••• A••••• M•••••• | Aventura, Fl | Dec 11, 2024 | 12 y | 0 |
| I••• O•••••• H••••••••Certified Financial Planner | Aventura, Fl | Jan 2, 2025 | 31 y | 2 |
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 headcount1 left over 36 months
Left, latest
- V•••••• S•••• to O•• W••••• I••••••••Mar 4, 2025 · RIA to RIA
- A•••••••• J•• Q••••• to P•••••• W••••• M••••••••• L••Aug 20, 2021 · RIA to RIA
Joined, latest
- I••• O•••••• H•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 2, 2025 · Wirehouse to independent RIA
- A•••••••• J•• Q••••• from J••• M••••• S••••••••• L••Oct 9, 2019 · Wirehouse to independent RIA
- A••• O••• from F••• O••• A••••••• L••Sep 25, 2018 · Other
- M•••••• S•••• W••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 9, 2015 · Other
- S••••• A••• W••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 9, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 8, 2015 · Aventura, Fl
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•• L•• B•••• L•• | Hedge Fund | $117M | 53 | Jul 20, 2018 |
| O•••• R••• E••••• D••• I••••• F•••• L•• | Real Estate Fund | $49.8M | 56 | Mar 18, 2022 |
Owners and control persons
Schedule A and B, latest filing
- H••••••••• I•••• O•••••• · Managing Member And Chief Compliance Officercontrolsince 03/2017 · owns 10% to 25%
- O•••• A••• · Chief Investment Officercontrolsince 08/2018 · owns less than 5%
- T••••• D••••• C• · Director Of Operationscontrolsince 09/2021 · owns less than 5%
- W•••••• M••••••• S•••• · Managing Member And Chief Operating Officercontrolsince 09/2015 · owns 10% to 25%
- W•••••• S•••••• A••• · Managing Member And Chief Executive Officercontrolsince 09/2015 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Aventura, Fl · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 23, 2026T••••• D••••• C• (DIRECTOR OF OPERATIONS) left Schedule A between the filings of 2024-03-26 and 2026-06-23peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,097 to 922Jun 27, 2025 to Mar 12, 2026
- HNW clients · 90 to 92Jun 27, 2025 to Mar 12, 2026
- Individual clients · 72 to 70Jun 27, 2025 to Mar 12, 2026
- Assets in custody · $953M to $466MJun 27, 2025 to Mar 12, 2026
- Employees · 9 to 10Jun 27, 2025 to Mar 12, 2026
- Financial planning clients · 1-10 to 0Jun 27, 2025 to Mar 12, 2026
- Discretionary RAUM · $734M to $814MJun 27, 2025 to Mar 12, 2026
- HNW RAUM · $666M to $781MJun 27, 2025 to Mar 12, 2026
- Individual RAUM · $26.4M to $29.2MJun 27, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $125M to $181MJun 27, 2025 to Mar 12, 2026
- Pension RAUM · unset to 1301694.0Jun 27, 2025 to Mar 12, 2026
- Pooled vehicle RAUM · $154M to $167MJun 27, 2025 to Mar 12, 2026
- RAUM · $859M to $995MJun 27, 2025 to Mar 12, 2026
- Financial planning clients · 1-10 to 1-10May 19, 2025 to Jun 27, 2025
- BD registered reps · 1 to 0Mar 7, 2025 to May 19, 2025
- Accounts · 1,015 to 1,097Jan 13, 2025 to Mar 7, 2025
- HNW clients · 82 to 90Jan 13, 2025 to Mar 7, 2025
- Individual clients · 55 to 72Jan 13, 2025 to Mar 7, 2025
- Assets in custody · $377M to $953MJan 13, 2025 to Mar 7, 2025
- Discretionary RAUM · $640M to $734MJan 13, 2025 to Mar 7, 2025
- HNW RAUM · $590M to $666MJan 13, 2025 to Mar 7, 2025
- Individual RAUM · $34.7M to $26.4MJan 13, 2025 to Mar 7, 2025
- Non-discretionary RAUM · $120M to $125MJan 13, 2025 to Mar 7, 2025
- Pooled vehicle RAUM · $135M to $154MJan 13, 2025 to Mar 7, 2025
- RAUM · $760M to $859MJan 13, 2025 to Mar 7, 2025
- Other offices · 0 to 1Jul 3, 2024 to Aug 27, 2024
- Accounts · 1,789 to 1,015Jul 19, 2023 to Mar 26, 2024
- BD registered reps · 4 to 1Jul 19, 2023 to Mar 26, 2024
- HNW clients · 64 to 82Jul 19, 2023 to Mar 26, 2024
- Individual clients · 43 to 55Jul 19, 2023 to Mar 26, 2024
- Assets in custody · $356M to $377MJul 19, 2023 to Mar 26, 2024
- Employees · 10 to 9Jul 19, 2023 to Mar 26, 2024
- Discretionary RAUM · $602M to $640MJul 19, 2023 to Mar 26, 2024
- HNW RAUM · $497M to $590MJul 19, 2023 to Mar 26, 2024
- Individual RAUM · $28.1M to $34.7MJul 19, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $120M to $120MJul 19, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $186M to $135MJul 19, 2023 to Mar 26, 2024
- RAUM · $722M to $760MJul 19, 2023 to Mar 26, 2024
- Individual clients · 435 to 43Mar 22, 2023 to Apr 6, 2023
- Accounts · 827 to 1,789Mar 18, 2022 to Mar 22, 2023
Signals
3 dated events
- V•••••• S•••• left O•••• F••••• W•••••• L•• for O•• W••••• I•••••••• (registered 2025-03-07)Mar 4, 2025 · Advisor changed firm · fact
- C Diana Torre (Director Of Operations) appeared on Schedule A of O•••• F••••• W•••••• L••Mar 26, 2024 · Control person joined · fact
- T••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 3, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O•••• F••••• W•••••• L•• · Family Officesshared crd · office
- O•••• F••••• W•••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- info@omniawealth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 305-602-9080reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 844-798-9080reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H••••://O••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 305-602-9080reportedpublic record, Form ADV, Jun 23, 2026
- Contact form
- omniawealth.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
- $199Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
O•••• F••••• W•••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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