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••••• P•••••• W••••• M•••••••••
Legal name O••••• P•••••• W••••• M••••••••• L••
Latest filing Jan 29, 2026
First filing on the tape Aug 2, 2021 · 33 filings
SEC status approved since Sep 2, 2021
RAUM
$156M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
96%
$150M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$39.1M
derived; firm RAUM over IAPD count
Employees
5
4 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$156M as of Jan 29, 2026
Feb 22, 2022$139M then
HNW client RAUM$78.5M as of Jan 29, 2026
Feb 22, 2022$70.0M then
State-registered IARs (5.B.3)4 as of Jan 29, 2026
Feb 22, 20224 then
Employees (5.A)5 as of Jan 29, 2026
Feb 22, 20226 then
Private funds: no history
RAUM -11% over the last fiscal year+5.0% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jan 29, 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
- 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
- $39.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $294,993derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -52%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$78.5M50%
- Individuals$71.6M46%
- Charitable organizations$4.0M2.5%
- Corporations and businesses$1.4M0.9%
- Pension and profit-sharing plans$880,2510.6%
- Individual clients
- 229reported
- HNW clients
- 36reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 530reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• J•••• G•••••Certified Financial Planner | Florence, Or | Jan 26, 2024 | 16 y | 1 |
| A••••• B••••••• C••••••••• | Medford, Or | Jan 26, 2024 | 29 y | 7 |
| A••••• R•••••••• C•••• | Medford, Or | Jan 26, 2024 | 23 y | 2 |
| G••••••• M•••••• B•••• | Medford, Or | Feb 9, 2024 | 12 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A••••• R•••••••• C•••• from L•• F•••••••• L••Jul 1, 2016 · Other
- A••••• B••••••• C••••••••• from S••••• I••••••••• M••••••••• L••Jun 16, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• A•••••• B••••••• · Chief Investment Officercontrolsince 06/2016 · owns less than 5%
- C••••• A•••••• R•••••••• · Chief Compliance Officercontrolsince 06/2016 · owns less than 5%
Entity owners
- O••••• P•••••• B•••••• C•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- O••••• P•••••• B•••••• C••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Medford, Or · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Florence, OR2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Jan 29, 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 $174,925,372 to $156,346,247, advisors 4 to 4, private clients 549 to 265, offices 1 to 1 (2025-04-15 to 2026-01-29)peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Jan 29, 2026individual and HNW clients (Item 5.D) moved from 549.0 to 265.0 (-52.0%) between the annual amendments of 2025-04-15 and 2026-01-29; the peer median change was +3.0% (3309 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 1.5% percentile
What changed
consecutive filings, newest first
- Accounts · 556 to 530Nov 3, 2025 to Jan 29, 2026
- Charity clients · 5 to 3Nov 3, 2025 to Jan 29, 2026
- Corporate clients · 2 to 3Nov 3, 2025 to Jan 29, 2026
- Individual clients · 513 to 229Nov 3, 2025 to Jan 29, 2026
- Pension plan clients · 0 to 1Nov 3, 2025 to Jan 29, 2026
- Financial planning clients · 26-50 to 11-25Nov 3, 2025 to Jan 29, 2026
- Discretionary RAUM · $173M to $155MNov 3, 2025 to Jan 29, 2026
- HNW RAUM · $91.9M to $78.5MNov 3, 2025 to Jan 29, 2026
- Individual RAUM · $77.3M to $71.6MNov 3, 2025 to Jan 29, 2026
- Non-discretionary RAUM · $1.9M to $1.2MNov 3, 2025 to Jan 29, 2026
- Pension RAUM · $0 to $880,251Nov 3, 2025 to Jan 29, 2026
- RAUM · $175M to $156MNov 3, 2025 to Jan 29, 2026
- Financial planning clients · 26-50 to 26-50Apr 15, 2025 to Jul 30, 2025
- Advisory employees · 5 to 4Feb 5, 2025 to Apr 15, 2025
- Employees · 6 to 5Feb 5, 2025 to Apr 15, 2025
- State-registered IARs · 5 to 4Feb 5, 2025 to Apr 15, 2025
- Accounts · 541 to 556Feb 28, 2024 to Jan 29, 2025
- HNW clients · 35 to 36Feb 28, 2024 to Jan 29, 2025
- Individual clients · 238 to 513Feb 28, 2024 to Jan 29, 2025
- Discretionary RAUM · $154M to $173MFeb 28, 2024 to Jan 29, 2025
- HNW RAUM · $80.3M to $91.9MFeb 28, 2024 to Jan 29, 2025
- Individual RAUM · $69.2M to $77.3MFeb 28, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $1.2M to $1.9MFeb 28, 2024 to Jan 29, 2025
- RAUM · $155M to $175MFeb 28, 2024 to Jan 29, 2025
- Wrap assets (manager) · 3600000.0 to unsetFeb 28, 2024 to Jan 29, 2025
- Wrap assets (sponsor) · 0.0 to unsetFeb 28, 2024 to Jan 29, 2025
- Accounts · 506 to 541Feb 14, 2024 to Feb 28, 2024
- Charity clients · 4 to 5Feb 14, 2024 to Feb 28, 2024
- Corporate clients · 4 to 2Feb 14, 2024 to Feb 28, 2024
- HNW clients · 31 to 35Feb 14, 2024 to Feb 28, 2024
- Individual clients · 220 to 238Feb 14, 2024 to Feb 28, 2024
- Financial planning clients · 51-100 to 26-50Feb 14, 2024 to Feb 28, 2024
- Discretionary RAUM · $135M to $154MFeb 14, 2024 to Feb 28, 2024
- HNW RAUM · $69.0M to $80.3MFeb 14, 2024 to Feb 28, 2024
- Individual RAUM · $59.0M to $69.2MFeb 14, 2024 to Feb 28, 2024
- Non-discretionary RAUM · $0 to $1.2MFeb 14, 2024 to Feb 28, 2024
- RAUM · $135M to $155MFeb 14, 2024 to Feb 28, 2024
- Advisory employees · 4 to 5Jan 26, 2024 to Feb 14, 2024
- Employees · 5 to 6Jan 26, 2024 to Feb 14, 2024
- State-registered IARs · 4 to 5Jan 26, 2024 to Feb 14, 2024
Signals
1 dated events
- O••••• P•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Aug 2, 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 email
- t•••@o•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- a•••••••••@o•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 541-301-5672reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 541-326-0836reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 541-858-0166reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/62923809/admin/notifications/allreportedpublic record, Form ADV, Sep 18, 2026
- Website
- O•••••P••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 541-858-0166reportedpublic record, Form ADV, Jan 29, 2026
- Contact form
- o•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- o•••••••••.comreportedpublished 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
- $39.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026