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
O'Donnell Financial Services, LLC
Latest filing Mar 26, 2026
First filing on the tape May 26, 2017 · 29 filings
SEC status approved since Jun 26, 2017
RAUM
$427M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
99%
$425M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$71.2M
derived; firm RAUM over IAPD count
Employees
12
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$427M as of Mar 26, 2026
Jan 12, 2018$121M then
HNW client RAUM$177M as of Mar 26, 2026
Jan 12, 2018$12.0M then
State-registered IARs (5.B.3)2 as of Mar 26, 2026
Jan 12, 20183 then
Employees (5.A)12 as of Mar 26, 2026
Jan 12, 20184 then
Private funds: no history
RAUM +24% over the last fiscal year+18% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 26, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $71.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 166derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $427,478derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Wrap fee program
- $444MreportedItem 5.I
- Custody
- $231M, 296 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$248M58%
- High-net-worth individuals$177M41%
- Corporations and businesses$1.4M0.3%
- Pension and profit-sharing plans$691,5510.2%
- Charitable organizations$98,8800.0%
- Individual clients
- 901reported
- HNW clients
- 94reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 999reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $16.5M sponsored, $411M managedreported
- Custody of client assets
- $231M for 296 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Gregory Charles O'Donnell | San Jose, Ca | Mar 19, 2015 | 30 y | 5 |
| Troy Collins Copeland | San Rafael, Ca | Aug 11, 2015 | 23 y | 4 |
| Michael Dean Nakano | San Rafael, Ca | Oct 8, 2018 | 32 y | 3 |
| Kyle Jordan Ladd | San Rafael, Ca | Oct 16, 2025 | 14 y | 10 |
| Spencer William Odonnell | San Rafael, Ca | Oct 16, 2025 | 12 y | 0 |
| Beth Verdekal | San Rafael, Ca | Nov 7, 2025 | 10 y | 0 |
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 headcount2 left over 36 months
Left, latest
- Christopher John Cummock to Parallel Advisors, LLCJun 17, 2024 · RIA to RIA
- Lisa Ann Gallo to Independent Financial Group, LLCFeb 22, 2024 · RIA to affiliated broker-dealer or bank
- Michael Powell to Independent Financial Group, LLCJan 6, 2022 · RIA to RIA
- Stephen Ernest Mantzouris to Liberty Wealth Management, LLCMay 7, 2019 · RIA to RIA
- Kyle Jordan Ladd to Scottrade Investment ManagementMay 19, 2017 · Other
Joined, latest
- Kyle Jordan Ladd from Independent Financial Group, LLCOct 16, 2025 · Affiliated broker-dealer or bank to independent RIA
- Christopher John Cummock from Independent Financial Group, LLCMay 28, 2024 · Affiliated broker-dealer or bank to independent RIA
- Michael Powell from LPL Financial LLCJan 3, 2020 · Affiliated broker-dealer or bank to independent RIA
- Lisa Ann Gallo from Independent Financial Group, LLCOct 25, 2018 · Affiliated broker-dealer or bank to independent RIA
- Stephen Ernest Mantzouris from Liberty Wealth Management, LLCNov 29, 2017 · Other
- Kyle Jordan Ladd from Nfp Advisor Services, LLCJan 12, 2016 · Other
- Troy Collins Copeland from Securities America Advisors, Inc.Aug 11, 2015 · Other
- Gregory Charles O'Donnell from Securities America Advisors, Inc.Mar 19, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Securities America Advisors, Inc.Nov 16, 2015 · San Rafael, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Charles Gregory O'Donnell · Managing Member & Investment Advisercontrolsince 01/2015 · owns 75% or more
- Alyson Kimberly Kaselionis · Chief Compliance Officersince 07/2022 · owns less than 5%
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 |
|---|---|---|---|---|---|
| San Rafael, Ca · principal | 6 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Jose, CA2 employees
- Walnut Creek, CA2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 26, 2026broker-dealer affiliate (Item 7.A.1): yes on the filing of 2025-03-25, no on the filing of 2026-03-26peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 918 to 999Mar 25, 2025 to Mar 26, 2026
- BD registered reps · 4 to 2Mar 25, 2025 to Mar 26, 2026
- Individual clients · 824 to 901Mar 25, 2025 to Mar 26, 2026
- Assets in custody · $198M to $231MMar 25, 2025 to Mar 26, 2026
- Employees · 9 to 12Mar 25, 2025 to Mar 26, 2026
- State-registered IARs · 3 to 2Mar 25, 2025 to Mar 26, 2026
- Discretionary RAUM · $329M to $411MMar 25, 2025 to Mar 26, 2026
- HNW RAUM · $189M to $177MMar 25, 2025 to Mar 26, 2026
- Individual RAUM · $154M to $248MMar 25, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $13.6M to $16.2MMar 25, 2025 to Mar 26, 2026
- Pension RAUM · unset to 691551.0Mar 25, 2025 to Mar 26, 2026
- RAUM · $343M to $427MMar 25, 2025 to Mar 26, 2026
- Related broker-dealer · true to falseMar 25, 2025 to Mar 26, 2026
- Wrap assets (manager) · $343M to $411MMar 25, 2025 to Mar 26, 2026
- Wrap assets (sponsor) · $922,675 to $16.5MMar 25, 2025 to Mar 26, 2026
- Accounts · 889 to 918Jul 22, 2024 to Mar 25, 2025
- Advisory employees · 2 to 4Jul 22, 2024 to Mar 25, 2025
- Advisory activities · 3 to 4Jul 22, 2024 to Mar 25, 2025
- BD registered reps · 2 to 4Jul 22, 2024 to Mar 25, 2025
- HNW clients · 117 to 94Jul 22, 2024 to Mar 25, 2025
- Individual clients · 437 to 824Jul 22, 2024 to Mar 25, 2025
- Pension plan clients · 10.0 to unsetJul 22, 2024 to Mar 25, 2025
- Assets in custody · $151M to $198MJul 22, 2024 to Mar 25, 2025
- Employees · 5 to 9Jul 22, 2024 to Mar 25, 2025
- Financial planning clients · 26-50 to 11-25Jul 22, 2024 to Mar 25, 2025
- State-registered IARs · 1 to 3Jul 22, 2024 to Mar 25, 2025
- Discretionary RAUM · $290M to $329MJul 22, 2024 to Mar 25, 2025
- HNW RAUM · $205M to $189MJul 22, 2024 to Mar 25, 2025
- Individual RAUM · $85.7M to $154MJul 22, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $32.6M to $13.6MJul 22, 2024 to Mar 25, 2025
- Pension RAUM · 31789716.0 to unsetJul 22, 2024 to Mar 25, 2025
- RAUM · $323M to $343MJul 22, 2024 to Mar 25, 2025
- Wrap assets (manager) · $296M to $343MJul 22, 2024 to Mar 25, 2025
- Wrap assets (sponsor) · $0 to $922,675Jul 22, 2024 to Mar 25, 2025
- Pension plan clients · 4 to 10Mar 20, 2024 to Apr 4, 2024
- Non-discretionary RAUM · $4.5M to $32.6MMar 20, 2024 to Apr 4, 2024
- Pension RAUM · $3.6M to $31.8MMar 20, 2024 to Apr 4, 2024
- RAUM · $295M to $323MMar 20, 2024 to Apr 4, 2024
- Accounts · 869 to 889Oct 12, 2023 to Mar 20, 2024
- Advisory employees · 4 to 2Oct 12, 2023 to Mar 20, 2024
Signals
4 dated events
- Christopher John Cummock left O'Donnell Financial Services, Llc for Parallel Advisors, Llc (registered 2024-12-06)Jun 17, 2024 · Advisor changed firm · fact
- Lisa Ann Gallo left O'Donnell Financial Services, Llc for Independent Financial Group, Llc (registered 2023-12-15)Feb 22, 2024 · Advisor changed firm · fact
- Michael Powell left O'Donnell Financial Services, Llc for Independent Financial Group, Llc (registered 2020-01-10)Jan 6, 2022 · Advisor changed firm · fact
- O'Donnell Financial Services, Llc filed its initial SEC registration (Form ADV)May 26, 2017 · 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 email
- info@odfigroup.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 415-758-6363reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-496-2300reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/o'donnell-financialreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ODFIGROUP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 8664962300reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- odfigroup.com/contact-odonnell-financial-groupreportedpublished 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
- $71.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026