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

Oak Harvest Investment Services

Independent wealth managerHouston, TexasCRD 173293SEC 801-116667websiteIAPD
Legal name Oak Harvest Investment Services, LLC
Latest filing Apr 22, 2026
First filing on the tape Apr 22, 2019 · 76 filings
SEC status approved since May 22, 2019
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$1.0B individuals and HNW
Advisors
19
registered through the firm on IAPD
RAUM per advisor
$59.8M
derived; firm RAUM over IAPD count
Employees
44
19 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
76 filings and snapshots on the tape
RAUM$1.1B as of Apr 22, 2026
Mar 9, 2020$182M then
HNW client RAUM$713M as of Apr 22, 2026
Mar 9, 2020$117M then
State-registered IARs (5.B.3)19 as of Apr 22, 2026
Mar 9, 20209 then
Employees (5.A)44 as of Apr 22, 2026
Mar 9, 20209 then
Private funds: no history
RAUM +21% over the last fiscal year+27% a year over threeIARs 20 to 19
Practice profile
derived from the filing of Apr 22, 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
$59.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
51derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$388,371derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
19.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
-5.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for investment companies, pension consulting, educational seminarsreportedItem 5.G
Custody
$796M, 1,999 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$713M63%
  • Individuals$308M27%
  • Investment companies$91.1M8.0%
  • Charitable organizations$19.8M1.7%
  • Corporations and businesses$5.6M0.5%
Individual clients
564reported
HNW clients
404reported
Pension plan clients
0reported
Charitable clients
7reported
Accounts
2,927reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$796M for 1,999 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.9 fund_share=0.08 institutional_share=0.02 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
19 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Troy Robert SharpeCertified Financial PlannerHouston, TxJan 12, 201818 y1
James Andrew McfarlandHouston, TxJan 12, 201810 y1
Christopher Tran MyrickHouston, TxJan 12, 201812 y1
Jessica CannellaHouston, TxFeb 15, 201816 y0
Christopher PerrasChartered Financial Consultant, Chartered Financial AnalystHouston, TxApr 4, 201813 y2
Nicole May RineyCertified Financial PlannerHouston, TxDec 6, 201917 y0
Ryan Patrick KenneyHouston, TxFeb 18, 202011 y0
Edward J RossiCertified Financial PlannerHouston, TxFeb 25, 202033 y9
Chad Lee SchneiderHouston, TxOct 26, 202126 y2
Dustin HumrichChartered Financial ConsultantHouston, TxMar 7, 202211 y2
Elizabeth Anne KrogCertified Financial PlannerHouston, TxMar 29, 202211 y0
Charles David ScavoneChartered Financial AnalystHouston, TxJan 27, 202323 y3
Eric Luan-Trong NguyenCertified Financial PlannerHouston, TxApr 5, 202312 y4
Janice Jacqueline WhittenCertified Financial PlannerHouston, TxMay 24, 202329 y3
Tavis Gannon ParkersonHouston, TxSep 26, 202312 y1
Dwane Joseph BacakChartered Financial AnalystHouston, TxOct 10, 202331 y0
Larisa Anne KutacHouston, TxNov 24, 202510 y0
Heather Renee HofstetterChartered Financial ConsultantHouston, TxAug 26, 202618 y2
Tatum Isabella ArtherHouston, TxSep 1, 202611 y1
Advisor movement
2 left, 2 joined in 12 months
net 0 in 12 months1 left in 90 days2 joined in 90 daysdeparture rate 11% of current headcount4 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Nathan Christopher Kattner · Chief Compliance Officercontrol
    since 07/2022 · owns less than 5%
  • Cannella Jessica Sharpe · Presidentcontrol
    since 04/2018 · owns less than 5%
  • Robert Troy Sharpe · Chief Executive Officercontrol
    since 09/2014 · owns less than 5%
  • Cannella Jessica Sharpe · Ownercontrol
    since 05/2018 · owns 25% to 50% of Ohfg Management, Inc
  • Robert Troy Sharpe · Ownercontrol
    since 05/2018 · owns 50% to 75% of Ohfg Management, Inc
  • Christopher Perras · Chief Investment Officer
    since 04/2018 · owns less than 5%
  • David Charles Scavone · Chief Investment Officer
    since 01/2026 · owns less than 5%
Entity owners
  • Ohfg Ventures, LP · Holding Company
    direct · owns 75% or more
  • Ohfg Management, Inc · General Partner
    indirect · owns 75% or more of Ohfg Ventures, LP
Related persons
Schedule D 7.A
  • Oak Harvest Insurance Services, LLC
    real estaten
  • Oak Harvest Long/Short Hedged Equity Fund
    banky
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Houston, Tx · principal1932
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Assets in custody · $1.6M to $796M
    Mar 31, 2026 to Apr 22, 2026
  • Accounts · 2,633 to 2,927
    Aug 8, 2025 to Mar 31, 2026
  • Advisory employees · 22 to 19
    Aug 8, 2025 to Mar 31, 2026
  • Advisory activities · 4 to 5
    Aug 8, 2025 to Mar 31, 2026
  • BD registered reps · 20 to 0
    Aug 8, 2025 to Mar 31, 2026
  • Corporate clients · unset to 2.0
    Aug 8, 2025 to Mar 31, 2026
  • HNW clients · 387 to 404
    Aug 8, 2025 to Mar 31, 2026
  • Individual clients · 509 to 564
    Aug 8, 2025 to Mar 31, 2026
  • Assets in custody · $724M to $1.6M
    Aug 8, 2025 to Mar 31, 2026
  • Employees · 39 to 44
    Aug 8, 2025 to Mar 31, 2026
  • Financial planning clients · More than 500 to 1-10
    Aug 8, 2025 to Mar 31, 2026
  • State-registered IARs · 20 to 19
    Aug 8, 2025 to Mar 31, 2026
  • Discretionary RAUM · $941M to $1.1B
    Aug 8, 2025 to Mar 31, 2026
  • HNW RAUM · $643M to $713M
    Aug 8, 2025 to Mar 31, 2026
  • Individual RAUM · $264M to $308M
    Aug 8, 2025 to Mar 31, 2026
  • RAUM · $941M to $1.1B
    Aug 8, 2025 to Mar 31, 2026
  • Financial planning clients · More than 500 to More than 500
    Apr 29, 2025 to Jun 20, 2025
  • Accounts · 817 to 2,633
    Nov 13, 2024 to Mar 3, 2025
  • BD registered reps · 0 to 20
    Nov 13, 2024 to Mar 3, 2025
  • Corporate clients · 2.0 to unset
    Nov 13, 2024 to Mar 3, 2025
  • HNW clients · 334 to 387
    Nov 13, 2024 to Mar 3, 2025
  • Individual clients · 473 to 509
    Nov 13, 2024 to Mar 3, 2025
  • Discretionary RAUM · $729M to $941M
    Nov 13, 2024 to Mar 3, 2025
  • HNW RAUM · $494M to $643M
    Nov 13, 2024 to Mar 3, 2025
  • Individual RAUM · $204M to $264M
    Nov 13, 2024 to Mar 3, 2025
  • RAUM · $729M to $941M
    Nov 13, 2024 to Mar 3, 2025
  • Advisory employees · 23 to 22
    Jul 15, 2024 to Aug 14, 2024
  • Employees · 40 to 39
    Jul 15, 2024 to Aug 14, 2024
  • State-registered IARs · 21 to 20
    Jul 15, 2024 to Aug 14, 2024
  • Advisory employees · 22 to 23
    Apr 22, 2024 to Jul 15, 2024
  • Employees · 37 to 40
    Apr 22, 2024 to Jul 15, 2024
  • State-registered IARs · 20 to 21
    Apr 22, 2024 to Jul 15, 2024
  • State-registered IARs · 19 to 20
    Dec 21, 2023 to Mar 22, 2024
  • Accounts · 728 to 817
    Dec 21, 2023 to Mar 22, 2024
  • Advisory employees · 21 to 22
    Dec 21, 2023 to Mar 22, 2024
  • Advisory activities · 3 to 4
    Dec 21, 2023 to Mar 22, 2024
  • Charity clients · 0 to 7
    Dec 21, 2023 to Mar 22, 2024
  • Corporate clients · 0 to 2
    Dec 21, 2023 to Mar 22, 2024
  • HNW clients · 312 to 334
    Dec 21, 2023 to Mar 22, 2024
  • Individual clients · 416 to 473
    Dec 21, 2023 to Mar 22, 2024
Signals
18 dated events
  • Nicholas Casanova left Oak Harvest Investment Services for Willis Johnson Wealth (registered 2026-08-14)
    Jul 15, 2026 · Advisor changed firm · fact
  • Marcel John Kelley left Oak Harvest Investment Services for Alloy Investment Management (registered 2026-01-09)
    Jan 7, 2026 · Advisor changed firm · fact
  • Michael Stuart left Oak Harvest Investment Services for Omnistar Financial Group, Inc. (registered 2026-05-11)
    Aug 26, 2025 · Advisor changed firm · fact
  • Oak Harvest Investment Services reported RAUM $940.8M, up 29% from $728.8M (2024-11-13 to 2025-03-03)
    Mar 3, 2025 · RAUM change · derived
  • John Lucas Vaclavik left Oak Harvest Investment Services for Quotient Wealth Partners, Llc (registered 2024-11-08)
    Aug 14, 2024 · Advisor changed firm · fact
  • Oak Harvest Investment Services reported RAUM $728.8M, up 31% from $555.0M (2023-12-21 to 2024-03-22)
    Mar 22, 2024 · RAUM change · derived
  • Anna V Dashkevich left Oak Harvest Investment Services for Mml Investors Services, Llc (registered 2023-05-18)
    May 3, 2023 · Advisor changed firm · fact
  • D Jared Kenney (Vice President) no longer on Schedule A of Oak Harvest Investment Services (listed 2022-11-01, absent 2023-02-09)
    Feb 9, 2023 · Control person left · inference
  • Jared D Kenney left Oak Harvest Investment Services for Avidian Wealth Solutions (registered 2022-11-04)
    Dec 7, 2022 · Advisor changed firm · fact
  • Amy Michele Zamikovsky left Oak Harvest Investment Services for Woodson Wealth Management (registered 2023-04-04)
    Sep 14, 2022 · Advisor changed firm · fact
  • Jennifer Zittel left Oak Harvest Investment Services for Park Avenue Securities Llc (registered 2023-05-10)
    Jul 25, 2022 · Advisor changed firm · fact
  • Nathan Christopher Kattner (Chief Compliance Officer) appeared on Schedule A of Oak Harvest Investment Services
    Jul 12, 2022 · Control person joined · fact
  • Karen Sotallaro left Oak Harvest Investment Services for Cresset Asset Management, Llc (registered 2022-03-15)
    Feb 16, 2022 · Advisor changed firm · fact
  • Oak Harvest Investment Services reported RAUM $544.8M, up 76% from $308.7M (2021-12-22 to 2022-02-15)
    Feb 15, 2022 · RAUM change · derived
  • Oak Harvest Investment Services reported RAUM $308.7M, up 69% from $182.5M (2021-02-01 to 2021-03-15)
    Mar 15, 2021 · RAUM change · derived
  • D Jared Kenney (Vice President) appeared on Schedule A of Oak Harvest Investment Services
    Mar 4, 2020 · Control person joined · fact
  • Cannella Jessica Sharpe (President) appeared on Schedule A of Oak Harvest Investment Services
    May 7, 2019 · Control person joined · fact
  • Oak Harvest Investment Services filed its initial SEC registration (Form ADV)
    Apr 22, 2019 · 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
833-549-4121reportedpublished by the firm, firm site, Sep 17, 2026
Business phone
877-513-0756reportedpublished by the firm, firm site, Sep 17, 2026
Firm profile
linkedin.com/company/oak-harvest-financial-group/mycompanyreportedpublic record, Form ADV, Sep 18, 2026
Firm profile
linkedin.com/company/oak-harvest-financial-groupreportedpublic record, Form ADV, Sep 18, 2026
Website
oakharvestfunds.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
281-822-1350reportedpublic record, Form ADV, Apr 22, 2026
Contact form
oakharvestfunds.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
$59.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026