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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SEC-registered adviser
O••• F•••••••• S•••••••• L••
Latest filing Sep 8, 2026
First filing on the tape Jun 23, 2021 · 30 filings
SEC status approved since Jul 23, 2021
RAUM
$151M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
99%
$150M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$75.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$151M as of Jun 8, 2026
Mar 3, 2022$121M then
HNW client RAUM$127M as of Jun 8, 2026
Mar 3, 2022$94.8M then
State-registered IARs (5.B.3)3 as of Jun 8, 2026
Mar 3, 20223 then
Employees (5.A)4 as of Jun 8, 2026
Mar 3, 20223 then
Private funds: no history
RAUM +20% over the last fiscal year+6.3% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Sep 8, 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
- RAUM per advisor
- $75.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $299,291derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -26%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$127M85%
- Individuals$22.7M15%
- Individual clients
- 75reported
- HNW clients
- 61reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 504reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••• L••••• B••••Certified Financial Planner, Chartered Financial Analyst | Durango, Co | Jan 8, 2016 | 16 y | 3 |
| M•••••• M•••••• K••••Certified Financial Planner, Chartered Financial Analyst | Downers Grove, Il | May 10, 2017 | 17 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount2 left over 36 months
Left, latest
- M•••••• D•••• S•••• to W••• H••••••• A•••••••Sep 8, 2026 · RIA to a state-registered adviser
- J••• J•••••• to R••••••••• W••••• M••••••••• L••May 8, 2024 · RIA to RIA
Joined, latest
- J••• J•••••• from S•••••• W••••• M••••••••• L••Mar 16, 2020 · Other
- L••• L••••• B•••• from P••••••• F•••••••• G•••• L••Jan 8, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• L•••• L••••• · Principal/Ccocontrolsince 10/2015 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Downers Grove, Il · principal | 2 | 0 | 0 | ||
| Basalt, Co | 0 | 0 | 0 | ||
| Denver, Co | 0 | 0 | 1 | ||
| Upper St Clair, Pa | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boulder, CO2 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 16, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $125,250,884 to $150,842,783, advisors 3 to 3, private clients 185 to 136, offices 2 to 2 (2025-04-25 to 2026-03-16)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Jun 8, 2026 to Sep 8, 2026
- Employees · 4 to 2Jun 8, 2026 to Sep 8, 2026
- Financial planning clients · 11-25 to 11-25Jun 8, 2026 to Sep 8, 2026
- State-registered IARs · 3 to 2Jun 8, 2026 to Sep 8, 2026
- Succession · false to unsetJun 8, 2026 to Sep 8, 2026
- Accounts · 130 to 504Dec 11, 2025 to Mar 16, 2026
- HNW clients · 81 to 61Dec 11, 2025 to Mar 16, 2026
- Individual clients · 104 to 75Dec 11, 2025 to Mar 16, 2026
- Employees · 3 to 4Dec 11, 2025 to Mar 16, 2026
- Financial planning clients · 26-50 to 11-25Dec 11, 2025 to Mar 16, 2026
- Discretionary RAUM · $122M to $145MDec 11, 2025 to Mar 16, 2026
- HNW RAUM · $107M to $127MDec 11, 2025 to Mar 16, 2026
- Individual RAUM · $17.6M to $22.7MDec 11, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $2.9M to $5.8MDec 11, 2025 to Mar 16, 2026
- RAUM · $125M to $151MDec 11, 2025 to Mar 16, 2026
- Related adviser · true to falseDec 11, 2025 to Mar 16, 2026
- Accounts · 483 to 130Jun 21, 2024 to Apr 25, 2025
- Advisory employees · 2 to 3Jun 21, 2024 to Apr 25, 2025
- Advisory activities · 5 to 3Jun 21, 2024 to Apr 25, 2025
- Corporate clients · 1.0 to unsetJun 21, 2024 to Apr 25, 2025
- Pension plan clients · 1.0 to unsetJun 21, 2024 to Apr 25, 2025
- Employees · 2 to 3Jun 21, 2024 to Apr 25, 2025
- Financial planning clients · 26-50 to 26-50Jun 21, 2024 to Apr 25, 2025
- State-registered IARs · 2 to 3Jun 21, 2024 to Apr 25, 2025
- Discretionary RAUM · $146M to $122MJun 21, 2024 to Apr 25, 2025
- HNW RAUM · $119M to $107MJun 21, 2024 to Apr 25, 2025
- Individual RAUM · $30.7M to $17.6MJun 21, 2024 to Apr 25, 2025
- Non-discretionary RAUM · $5.1M to $2.9MJun 21, 2024 to Apr 25, 2025
- Pension RAUM · 408867.0 to unsetJun 21, 2024 to Apr 25, 2025
- RAUM · $151M to $125MJun 21, 2024 to Apr 25, 2025
- Advisory employees · 4 to 2Apr 26, 2024 to May 15, 2024
- Employees · 4 to 2Apr 26, 2024 to May 15, 2024
- Insurance-licensed employees · 2 to 0Apr 26, 2024 to May 15, 2024
- State-registered IARs · 4 to 2Apr 26, 2024 to May 15, 2024
- Other offices · 4 to 2Apr 26, 2024 to May 15, 2024
- Insurance-licensed employees · 0 to 2Mar 22, 2024 to Apr 26, 2024
- Related adviser · false to trueMar 22, 2024 to Apr 26, 2024
- Accounts · 454 to 483Feb 23, 2024 to Mar 22, 2024
- Advisory employees · 3 to 4Feb 23, 2024 to Mar 22, 2024
- Corporate clients · unset to 1.0Feb 23, 2024 to Mar 22, 2024
Signals
7 dated events
- M•••••• D•••• S•••• left O••• F•••••••• S•••••••• L•• for W••• H••••••• A••••••• (registered 2026-09-03)Sep 8, 2026 · Advisor changed firm · fact
- Katherine Lewis no longer registered at O••• F•••••••• S•••••••• L••; no later IA registration on IAPDMar 17, 2025 · Advisor departure · fact
- Brian Rodney Littlejohn no longer registered at O••• F•••••••• S•••••••• L••; no later IA registration on IAPDMay 24, 2024 · Advisor departure · fact
- J••• J•••••• left O••• F•••••••• S•••••••• L•• for R••••••••• W••••• M••••••••• L•• (registered 2024-04-05)May 8, 2024 · Advisor changed firm · fact
- J••• J•••••• (Cco) no longer on Schedule A of O••• F•••••••• S•••••••• L•• (listed 2024-02-23, absent 2024-03-22)Mar 22, 2024 · Control person left · inference
- J••• J•••••• (Cco) appeared on Schedule A of O••• F•••••••• S•••••••• L••Sep 23, 2022 · Control person joined · fact
- O••• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Jun 23, 2021 · 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
- 331-218-3737reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 331-260-0394reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 331-777-5449reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/opus-financial-solutions-llc-not-ltdreportedpublic record, Form ADV, Sep 18, 2026
- Website
- O•••FINANCIALS••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 331-777-5449reportedpublic record, Form ADV, Sep 8, 2026
- Team page
- OPUSFINANCIALSOLUTIONS.COM/team-member-01reportedpublished 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
- $75.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026