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

T•••• O••• W•••••

Independent wealth managerGold River, CaliforniaCRD 171082SEC 801-137130websiteIAPD
Legal name T•••• O••• C•••••• M••••••••• L••
Latest filing Sep 1, 2026
First filing on the tape Jul 21, 2026 · 2 filings
SEC status approved since Aug 20, 2026
RAUM
$100M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$86.2M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$33.3M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$100M as of Sep 1, 2026
Jul 21, 2026$100M then
HNW client RAUM$72.5M as of Sep 1, 2026
Jul 21, 2026$72.5M then
State-registered IARs (5.B.3)3 as of Sep 1, 2026
Jul 21, 20262 then
Employees (5.A)4 as of Sep 1, 2026
Jul 21, 20263 then
Private funds: no history
Practice profile
derived from the filing of Sep 1, 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
RAUM per advisor
$33.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
30derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$291,561derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
Custody
$48.5M, 59 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$72.5M73%
  • Pension and profit-sharing plans$13.8M14%
  • Individuals$13.6M14%
Individual clients
43reported
HNW clients
46reported
Pension plan clients
11reported
Charitable clients
n/areported
Accounts
343reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$48.5M for 59 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.86 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
G•••• S•••••• B••••••Certified Financial Planner, Chartered Financial AnalystGold River, CaJun 5, 201418 y0
B•••••• D•••• E••Folsom, Ca Jul 13, 202315 y0
K•••••• B•••Turlock, Ca Sep 1, 202610 y0
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
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      No Schedule A on the extract for this adviser.
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Gold River, Ca · principal310
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 3
        Jul 21, 2026 to Sep 1, 2026
      • Employees · 3 to 4
        Jul 21, 2026 to Sep 1, 2026
      • Financial planning clients · 51-100 to 51-100
        Jul 21, 2026 to Sep 1, 2026
      • State-registered IARs · 2 to 3
        Jul 21, 2026 to Sep 1, 2026
      • Succession · false to unset
        Jul 21, 2026 to Sep 1, 2026
      Signals
      No event on the tape.
      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
      503-726-1071reportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      916-318-4849reportedpublished by the firm, firm site, Sep 16, 2026
      Firm profile
      linkedin.com/company/three-oaks-wealthreportedpublic record, Form ADV, Sep 19, 2026
      Website
      threeoakswealth.comreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      916-318-4849reportedpublic record, Form ADV, Sep 1, 2026
      Team page
      threeoakswealth.com/who-we-arereportedpublished by the firm, firm site, Sep 16, 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
      $33.3Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026