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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Former SEC-registered adviser

O••• W••••• M••••••••• G••••

Former SEC-registered adviserLisle, IllinoisCRD 176525SEC 801-93175IAPD
Legal name O••• W••••• P•••••••• L••
Latest filing Apr 20, 2020
First filing on the tape Apr 10, 2015 · 29 filings
RAUM
$246M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$246M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$246M as of Apr 1, 2020
Feb 8, 2016$208M then
HNW client RAUM$90.6M as of Apr 1, 2020
Mar 6, 2018$180M then
State-registered IARs (5.B.3)6 as of Apr 1, 2020
Feb 8, 20168 then
Employees (5.A)8 as of Apr 1, 2020
Feb 8, 201611 then
Private funds: no history
RAUM -31% over the last fiscal year+4.3% a year over threeIARs 8 to 6
Practice profile
derived from the filing of Apr 20, 2020; every figure names its basis
RAUM per advisor
$41.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
112derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$226,673derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-31%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 5.B.3 between annual amendments
Client growth, one year
-46%derived
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, selection of other advisersreportedItem 5.G
Wrap fee program
$111MreportedItem 5.I
Custody
$31.5M, 60 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$156M63%
  • High-net-worth individuals$90.6M37%
  • Charitable organizations$94,3880.0%
Individual clients
598reported
HNW clients
72reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,086reported
Financial planning clients
251-500reported
Wrap fee programs
$1.7M sponsored, $0 managedreported
Custody of client assets
$31.5M for 60 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
  • H•••••• J••••••• B•••• · Chief Compliance Officercontrol
    since 04/2015 · owns less than 5%
Entity owners
  • L•••• F••• A••••••• S••••••• · Owner
    direct · owns 75% or more
  • L•••• F••• G••••• L•• · Owner
    indirect · owns 75% or more of L•••• F••• A••••••• S•••••••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Chocowinity, NC1 employees
What changed
consecutive filings, newest first
  • Related adviser · false to true
    Apr 1, 2020 to Apr 14, 2020
  • Accounts · 2,190 to 1,086
    May 24, 2019 to Apr 1, 2020
  • Advisory employees · 8 to 6
    May 24, 2019 to Apr 1, 2020
  • BD registered reps · 12 to 8
    May 24, 2019 to Apr 1, 2020
  • Charity clients · 4.0 to unset
    May 24, 2019 to Apr 1, 2020
  • HNW clients · 108 to 72
    May 24, 2019 to Apr 1, 2020
  • Individual clients · 1,142 to 598
    May 24, 2019 to Apr 1, 2020
  • Assets in custody · unset to 31475710.0
    May 24, 2019 to Apr 1, 2020
  • Custody of client assets · false to true
    May 24, 2019 to Apr 1, 2020
  • Employees · 12 to 8
    May 24, 2019 to Apr 1, 2020
  • Financial planning clients · 0 to 251-500
    May 24, 2019 to Apr 1, 2020
  • State-registered IARs · 8 to 6
    May 24, 2019 to Apr 1, 2020
  • Discretionary RAUM · $358M to $246M
    May 24, 2019 to Apr 1, 2020
  • HNW RAUM · $185M to $90.6M
    May 24, 2019 to Apr 1, 2020
  • Individual RAUM · $173M to $156M
    May 24, 2019 to Apr 1, 2020
  • RAUM · $358M to $246M
    May 24, 2019 to Apr 1, 2020
  • Wrap assets (sponsor) · $2.0M to $1.7M
    May 24, 2019 to Apr 1, 2020
  • Accounts · 1,843 to 2,190
    Dec 26, 2018 to Mar 11, 2019
  • Advisory employees · 20 to 8
    Dec 26, 2018 to Mar 11, 2019
  • BD registered reps · 23 to 12
    Dec 26, 2018 to Mar 11, 2019
  • HNW clients · 105 to 108
    Dec 26, 2018 to Mar 11, 2019
  • Individual clients · 1,055 to 1,142
    Dec 26, 2018 to Mar 11, 2019
  • Employees · 23 to 12
    Dec 26, 2018 to Mar 11, 2019
  • State-registered IARs · 20 to 8
    Dec 26, 2018 to Mar 11, 2019
  • Discretionary RAUM · $347M to $358M
    Dec 26, 2018 to Mar 11, 2019
  • HNW RAUM · $180M to $185M
    Dec 26, 2018 to Mar 11, 2019
  • Individual RAUM · $166M to $173M
    Dec 26, 2018 to Mar 11, 2019
  • Pension RAUM · 900000.0 to unset
    Dec 26, 2018 to Mar 11, 2019
  • RAUM · $347M to $358M
    Dec 26, 2018 to Mar 11, 2019
  • Wrap assets (sponsor) · $0 to $2.0M
    Dec 26, 2018 to Mar 11, 2019
  • Accounts · 1,596 to 1,843
    Nov 1, 2017 to Mar 6, 2018
  • Advisory employees · 21 to 20
    Nov 1, 2017 to Mar 6, 2018
  • BD registered reps · 24 to 23
    Nov 1, 2017 to Mar 6, 2018
  • Charity clients · unset to 4.0
    Nov 1, 2017 to Mar 6, 2018
  • HNW clients · 100 to 105
    Nov 1, 2017 to Mar 6, 2018
  • Individual clients · 1,081 to 1,055
    Nov 1, 2017 to Mar 6, 2018
  • Employees · 25 to 23
    Nov 1, 2017 to Mar 6, 2018
  • State-registered IARs · 21 to 20
    Nov 1, 2017 to Mar 6, 2018
  • Discretionary RAUM · $291M to $347M
    Nov 1, 2017 to Mar 6, 2018
  • HNW RAUM · $131M to $180M
    Nov 1, 2017 to Mar 6, 2018
Signals
3 dated events
  • O••• W••••• M••••••••• G•••• reported RAUM $246.2M, down 31% from $357.9M (2019-05-24 to 2020-04-01)
    Apr 1, 2020 · RAUM change · derived
  • O••• W••••• M••••••••• G•••• reported 8 state-registered advisory representatives, down from 20 (2018-12-26 to 2019-03-11)
    Mar 11, 2019 · Advisor headcount change · derived
  • O••• W••••• M••••••••• G•••• filed its initial SEC registration (Form ADV)
    Apr 10, 2015 · 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