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.

Former SEC-registered adviser

Oak Tree Financial Services, LLC

Former SEC-registered adviserHuntsville, AlabamaCRD 175281SEC 801-123562IAPD
Legal name Gps Planning Solutions, LLC
Latest filing Oct 12, 2023
First filing on the tape Feb 28, 2022 · 6 filings
RAUM
$112M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$110M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$112M as of Oct 12, 2023
Feb 28, 2022$124M then
HNW client RAUM$72.2M as of Oct 12, 2023
Feb 28, 2022$72.3M then
State-registered IARs (5.B.3)2 as of Oct 12, 2023
Feb 28, 20224 then
Employees (5.A)2 as of Oct 12, 2023
Feb 28, 20224 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 12, 2023; every figure names its basis
RAUM per advisor
$56.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
172derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$668,415derivedHNW RAUM over HNW clients
Average account
$320,676derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 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, pension consultingreportedItem 5.G
Wrap fee program
$10.9MreportedItem 5.I
Custody
$73.6M, 219 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$72.2M65%
  • Individuals$37.9M34%
  • Corporations and businesses$1.5M1.3%
  • Charitable organizations$401,9810.4%
Individual clients
236reported
HNW clients
108reported
Pension plan clients
0reported
Charitable clients
n/areported
Accounts
349reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$73.6M for 219 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Paul Ronnie Moody · President / Managing Principalcontrol
      since 05/2009 · owns 75% or more
    Related persons
    Schedule D 7.A
    • Brian Moody
      insurancey
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Huntsville, Al · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 4 to 2
      Mar 15, 2023 to Oct 12, 2023
    • BD registered reps · 4 to 2
      Mar 15, 2023 to Oct 12, 2023
    • Assets in custody · unset to 73556880.0
      Mar 15, 2023 to Oct 12, 2023
    • Custody of client assets · false to true
      Mar 15, 2023 to Oct 12, 2023
    • Employees · 4 to 2
      Mar 15, 2023 to Oct 12, 2023
    • State-registered IARs · 4 to 2
      Mar 15, 2023 to Oct 12, 2023
    • Accounts · 462 to 349
      Aug 11, 2022 to Mar 15, 2023
    • Charity clients · 0.0 to unset
      Aug 11, 2022 to Mar 15, 2023
    • Corporate clients · 0.0 to unset
      Aug 11, 2022 to Mar 15, 2023
    • HNW clients · 41 to 108
      Aug 11, 2022 to Mar 15, 2023
    • Individual clients · 421 to 236
      Aug 11, 2022 to Mar 15, 2023
    • Financial planning clients · 1-10 to 0
      Aug 11, 2022 to Mar 15, 2023
    • Discretionary RAUM · $124M to $112M
      Aug 11, 2022 to Mar 15, 2023
    • HNW RAUM · $72.3M to $72.2M
      Aug 11, 2022 to Mar 15, 2023
    • Individual RAUM · $52.1M to $37.9M
      Aug 11, 2022 to Mar 15, 2023
    • RAUM · $124M to $112M
      Aug 11, 2022 to Mar 15, 2023
    Signals
    7 dated events
    • Brian Andrew Moody left Oak Tree Financial Services, Llc for Ifg Advisory, Llc (registered 2023-12-11)
      Dec 31, 2023 · Advisor changed firm · fact
    • Ronnie Paul Moody left Oak Tree Financial Services, Llc for Ifg Advisory, Llc (registered 2023-12-11)
      Dec 31, 2023 · Advisor changed firm · fact
    • 2 advisors left Oak Tree Financial Services, LLC (Huntsville, AL) for Ifg Advisory, LLC on the same day
      Dec 31, 2023 · Team lift-out · derived
    • Daniel Richard Gregory (Chief Compliance Officer) no longer on Schedule A of Oak Tree Financial Services, Llc (listed 2023-03-15, absent 2023-10-12)
      Oct 12, 2023 · Control person left · inference
    • Richard Daniel Gregory left Oak Tree Financial Services, Llc for Cambridge Investment Research Advisors, Inc. (registered 2023-10-04)
      Oct 2, 2023 · Advisor changed firm · fact
    • Jonathan Scott Hornsby left Oak Tree Financial Services, Llc for Cambridge Investment Research Advisors, Inc. (registered 2023-08-01)
      Sep 6, 2023 · Advisor changed firm · fact
    • Oak Tree Financial Services, Llc filed its initial SEC registration (Form ADV)
      Feb 28, 2022 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026