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

Oxford Financial Partners

Former SEC-registered adviserCincinnati, OhioCRD 282843SEC 801-107713IAPD
Legal name Siena Capital, LLC
Latest filing Oct 31, 2022
First filing on the tape Apr 13, 2016 · 23 filings
RAUM
$278M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$258M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$278M as of Feb 24, 2022
Feb 23, 2017$168M then
HNW client RAUM$210M as of Feb 24, 2022
Feb 2, 2018$150M then
State-registered IARs (5.B.3)3 as of Feb 24, 2022
Feb 23, 20172 then
Employees (5.A)5 as of Feb 24, 2022
Feb 23, 20174 then
Private funds: no history
RAUM +20% over the last fiscal year+14% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Oct 31, 2022; every figure names its basis
RAUM per advisor
$92.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
79derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$529,281derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 5.B.3 between annual amendments
Client growth, one year
+10%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$210M76%
  • Individuals$48.1M17%
  • Pension and profit-sharing plans$19.4M7.0%
Individual clients
150reported
HNW clients
86reported
Pension plan clients
6reported
Charitable clients
n/areported
Accounts
525reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
  • James Erik Christman · Managing Membercontrol
    since 09/2010 · owns 75% or more
  • Joseph Patrick Walsh · Chief Compliance Officercontrol
    since 03/2016 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 478 to 525
    Feb 19, 2021 to Feb 24, 2022
  • HNW clients · 75 to 86
    Feb 19, 2021 to Feb 24, 2022
  • Individual clients · 139 to 150
    Feb 19, 2021 to Feb 24, 2022
  • State-registered IARs · 4 to 3
    Feb 19, 2021 to Feb 24, 2022
  • Discretionary RAUM · $232M to $278M
    Feb 19, 2021 to Feb 24, 2022
  • HNW RAUM · $170M to $210M
    Feb 19, 2021 to Feb 24, 2022
  • Individual RAUM · $45.9M to $48.1M
    Feb 19, 2021 to Feb 24, 2022
  • Pension RAUM · $15.9M to $19.4M
    Feb 19, 2021 to Feb 24, 2022
  • RAUM · $232M to $278M
    Feb 19, 2021 to Feb 24, 2022
  • Accounts · 462 to 478
    Sep 15, 2020 to Feb 19, 2021
  • HNW clients · 70 to 75
    Sep 15, 2020 to Feb 19, 2021
  • Individual clients · 135 to 139
    Sep 15, 2020 to Feb 19, 2021
  • Employees · 6 to 5
    Sep 15, 2020 to Feb 19, 2021
  • Other offices · 1 to 0
    Sep 15, 2020 to Feb 19, 2021
  • Discretionary RAUM · $218M to $232M
    Sep 15, 2020 to Feb 19, 2021
  • HNW RAUM · $112M to $170M
    Sep 15, 2020 to Feb 19, 2021
  • Individual RAUM · $91.9M to $45.9M
    Sep 15, 2020 to Feb 19, 2021
  • Pension RAUM · $13.8M to $15.9M
    Sep 15, 2020 to Feb 19, 2021
  • RAUM · $218M to $232M
    Sep 15, 2020 to Feb 19, 2021
  • Advisory activities · 4 to 3
    Jun 17, 2020 to Sep 15, 2020
  • Accounts · 477 to 462
    May 3, 2019 to Feb 21, 2020
  • HNW clients · 69 to 70
    May 3, 2019 to Feb 21, 2020
  • Individual clients · 147 to 135
    May 3, 2019 to Feb 21, 2020
  • Pension plan clients · unset to 6.0
    May 3, 2019 to Feb 21, 2020
  • Employees · 5 to 6
    May 3, 2019 to Feb 21, 2020
  • Financial planning clients · 0 to 101-250
    May 3, 2019 to Feb 21, 2020
  • State-registered IARs · 2 to 4
    May 3, 2019 to Feb 21, 2020
  • Discretionary RAUM · $186M to $218M
    May 3, 2019 to Feb 21, 2020
  • HNW RAUM · $139M to $112M
    May 3, 2019 to Feb 21, 2020
  • Individual RAUM · $47.2M to $91.9M
    May 3, 2019 to Feb 21, 2020
  • Pension RAUM · unset to 13757159.0
    May 3, 2019 to Feb 21, 2020
  • RAUM · $186M to $218M
    May 3, 2019 to Feb 21, 2020
  • Accounts · 452 to 477
    Aug 22, 2018 to Mar 15, 2019
  • Advisory employees · 3 to 4
    Aug 22, 2018 to Mar 15, 2019
  • HNW clients · 73 to 69
    Aug 22, 2018 to Mar 15, 2019
  • Individual clients · 110 to 147
    Aug 22, 2018 to Mar 15, 2019
  • Employees · 4 to 5
    Aug 22, 2018 to Mar 15, 2019
  • Discretionary RAUM · $191M to $186M
    Aug 22, 2018 to Mar 15, 2019
  • HNW RAUM · $150M to $139M
    Aug 22, 2018 to Mar 15, 2019
  • Individual RAUM · $40.9M to $47.2M
    Aug 22, 2018 to Mar 15, 2019
Signals
6 dated events
  • Harrison Alexander Wolfe left Oxford Financial Partners for Buckingham Strategic Wealth, Llc (registered 2023-02-24)
    Feb 24, 2023 · Advisor changed firm · fact
  • Erik James Christman left Oxford Financial Partners for Buckingham Strategic Wealth, Llc (registered 2023-02-24)
    Feb 24, 2023 · Advisor changed firm · fact
  • Patrick Joseph Walsh left Oxford Financial Partners for Buckingham Strategic Wealth, Llc (registered 2023-02-24)
    Feb 24, 2023 · Advisor changed firm · fact
  • 2 advisors left Oxford Financial Partners (Cincinnati, OH) for Buckingham Strategic Wealth, LLC on the same day
    Feb 24, 2023 · Team lift-out · derived
  • Tyler Scott Henderson left Oxford Financial Partners for Monterey Wealth (registered 2022-12-16)
    Dec 19, 2022 · Advisor changed firm · fact
  • Oxford Financial Partners, Llc filed its initial SEC registration (Form ADV)
    Apr 13, 2016 · 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