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 Wealth Advisors, Inc.
Latest filing Apr 17, 2026
First filing on the tape Nov 3, 2014 · 33 filings
SEC status approved since Nov 20, 2014
RAUM
$618M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$609M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$309M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$618M as of Apr 17, 2026
Mar 13, 2015$443M then
HNW client RAUM$575M as of Apr 17, 2026
Mar 23, 2018$385M then
State-registered IARs (5.B.3)2 as of Apr 17, 2026
Mar 13, 20150 then
Employees (5.A)5 as of Apr 17, 2026
Mar 13, 20157 then
Private funds: no history
RAUM +17% over the last fiscal year+11% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Apr 17, 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
- RAUM per advisor
- $309MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 110derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $2.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, otherreportedItem 5.G
- Custody
- $229M, 126 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)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$575M93%
- Individuals$33.9M5.5%
- Pension and profit-sharing plans$6.0M1.0%
- Charitable organizations$3.3M0.5%
- Individual clients
- 48reported
- HNW clients
- 171reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 222reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $229M for 126 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Laura Anne BereiterCertified Financial Planner, Personal Financial Specialist | Minneapolis, Mn | Sep 29, 2016 | 10 y | 0 |
| Sharon Alison BloodworthCertified Financial Planner | Minneapolis, Mn | Oct 19, 2016 | 30 y | 0 |
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
- Elizabeth Lee England to Carlson Capital Management, LLCDec 31, 2023 · RIA to RIA
- William Alexander Duty to White Oaks Investment Management, IncNov 5, 2021 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
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
- National Advisors Trust Companycustodiann
- White Oaks Investment Management, Incinvestment adviseryRAUM $496M
Advisers that list White Oaks Wealth Advisors, Inc. as a related person
- 170016 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Minneapolis, Mn · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
What changed
consecutive filings, newest first
- Accounts · 228 to 222Mar 12, 2025 to Mar 24, 2026
- Advisory employees · 3 to 2Mar 12, 2025 to Mar 24, 2026
- HNW clients · 168 to 171Mar 12, 2025 to Mar 24, 2026
- Individual clients · 57 to 48Mar 12, 2025 to Mar 24, 2026
- Assets in custody · $199M to $229MMar 12, 2025 to Mar 24, 2026
- Employees · 6 to 5Mar 12, 2025 to Mar 24, 2026
- State-registered IARs · 3 to 2Mar 12, 2025 to Mar 24, 2026
- Discretionary RAUM · $530M to $618MMar 12, 2025 to Mar 24, 2026
- HNW RAUM · $485M to $575MMar 12, 2025 to Mar 24, 2026
- Individual RAUM · $36.8M to $33.9MMar 12, 2025 to Mar 24, 2026
- Pension RAUM · $5.6M to $6.0MMar 12, 2025 to Mar 24, 2026
- RAUM · $530M to $618MMar 12, 2025 to Mar 24, 2026
- Advisory employees · 2 to 3Apr 19, 2024 to Mar 12, 2025
- HNW clients · 159 to 168Apr 19, 2024 to Mar 12, 2025
- Individual clients · 66 to 57Apr 19, 2024 to Mar 12, 2025
- Assets in custody · $190M to $199MApr 19, 2024 to Mar 12, 2025
- Employees · 5 to 6Apr 19, 2024 to Mar 12, 2025
- Financial planning clients · 101-250 to 101-250Apr 19, 2024 to Mar 12, 2025
- State-registered IARs · 2 to 3Apr 19, 2024 to Mar 12, 2025
- Discretionary RAUM · $491M to $530MApr 19, 2024 to Mar 12, 2025
- HNW RAUM · $441M to $485MApr 19, 2024 to Mar 12, 2025
- Individual RAUM · $41.9M to $36.8MApr 19, 2024 to Mar 12, 2025
- Pension RAUM · $5.0M to $5.6MApr 19, 2024 to Mar 12, 2025
- RAUM · $491M to $530MApr 19, 2024 to Mar 12, 2025
- Accounts · 232 to 228Oct 26, 2023 to Feb 13, 2024
- Advisory employees · 3 to 2Oct 26, 2023 to Feb 13, 2024
- HNW clients · 156 to 159Oct 26, 2023 to Feb 13, 2024
- Individual clients · 73 to 66Oct 26, 2023 to Feb 13, 2024
- Assets in custody · $178M to $190MOct 26, 2023 to Feb 13, 2024
- Employees · 6 to 5Oct 26, 2023 to Feb 13, 2024
- State-registered IARs · 3 to 2Oct 26, 2023 to Feb 13, 2024
- Discretionary RAUM · $449M to $491MOct 26, 2023 to Feb 13, 2024
- HNW RAUM · $401M to $441MOct 26, 2023 to Feb 13, 2024
- Individual RAUM · $40.1M to $41.9MOct 26, 2023 to Feb 13, 2024
- Pension RAUM · $5.3M to $5.0MOct 26, 2023 to Feb 13, 2024
- RAUM · $449M to $491MOct 26, 2023 to Feb 13, 2024
- Accounts · 245 to 232Aug 17, 2022 to Mar 1, 2023
- HNW clients · 162 to 156Aug 17, 2022 to Mar 1, 2023
- Individual clients · 80 to 73Aug 17, 2022 to Mar 1, 2023
- Assets in custody · $233M to $178MAug 17, 2022 to Mar 1, 2023
Signals
4 dated events
- Elizabeth Lee England left White Oaks Wealth Advisors, Inc. for Carlson Capital Management, Llc (registered 2024-03-22)Dec 31, 2023 · Advisor changed firm · fact
- John Robert Klosterman (Founder And Advisor) no longer on Schedule A of White Oaks Wealth Advisors, Inc. (listed 2018-05-03, absent 2019-03-18)Mar 18, 2019 · Control person left · inference
- White Oaks Wealth Advisors, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 3, 2014 · Succession (Item 4) · fact
- White Oaks Wealth Advisors, Inc. filed its initial SEC registration (Form ADV)Nov 3, 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
- Business phone
- 612-455-6900reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 612-455-6901reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 941-361-9000reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/white-oaks-wealth-advisors-increportedpublic record, Form ADV, Sep 17, 2026
- Website
- WHITEOAKSWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 612-455-6900reportedpublic record, Form ADV, Apr 17, 2026
- Contact form
- whiteoakswealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- whiteoakswealth.com/about/teamreportedpublished by the firm, firm site, Sep 15, 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
- $309Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026