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
R•••••• O•• C•••••• L••
Latest filing Aug 12, 2026
First filing on the tape Mar 1, 2017 · 21 filings
SEC status approved since Mar 15, 2017
RAUM
$875M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
51%
$450M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$175M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$875M as of Aug 12, 2026
Mar 31, 2018$207M then
HNW client RAUM$450M as of Aug 12, 2026
Mar 31, 2018$160M then
State-registered IARs (5.B.3)3 as of Aug 12, 2026
Mar 31, 20181 then
Employees (5.A)3 as of Aug 12, 2026
Mar 31, 20182 then
Private funds1 as of Mar 27, 2020
Mar 31, 20181 then
RAUM +6.3% over the last fiscal year+29% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Aug 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 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
- $175MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 203derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $442,716derivedHNW RAUM over HNW clients
- Average account
- $845,160derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$450M51%
- Investment companies$368M42%
- Corporations and businesses$48.1M5.5%
- Charitable organizations$8.5M1.0%
- Individual clients
- 0reported
- HNW clients
- 1,017reported
- Pension plan clients
- 0reported
- Charitable clients
- 10reported
- Accounts
- 1,035reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $454M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.51 fund_share=0.42 institutional_share=0.01 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 |
|---|---|---|---|---|
| J•••••• D•••• B•••••• | Minneapolis, Mn | Dec 7, 2021 | 23 y | 2 |
| L••••••• C••• | Windermere, Fl | Jun 7, 2022 | 21 y | 0 |
| Y•• S••• W••• | Arlington, Va | Sep 29, 2022 | 10 y | 0 |
| T••••••• J••••• G•••••• | Scarborough, Me | Feb 11, 2025 | 13 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
- S••• L••••••• C••••••• to M•••• G•••• W••••• M••••••••• I•••Dec 31, 2017 · Other
Joined, latest
- J•••••• D•••• B•••••• from P•••••••• A•••• M•••••••••Dec 7, 2021 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••••••• G••••• I• M••••• F••• L••no longer reported | Hedge Fund | $5.7M | 31 | Mar 31, 2018 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• S•••• L••••••• · Managing Membercontrolsince 07/2012 · owns 75% or more
- B••••••• J••••••• D•••• · Chief Compliance Officersince 09/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Minneapolis, Mn · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 2 to 3Jul 2, 2026 to Aug 12, 2026
- HQ city · EDINA to MINNEAPOLISJul 2, 2026 to Aug 12, 2026
- State-registered IARs · 2 to 3Jul 2, 2026 to Aug 12, 2026
- Accounts · 1,039 to 1,035Mar 17, 2025 to Mar 4, 2026
- Corporate clients · 41 to 7Mar 17, 2025 to Mar 4, 2026
- HNW clients · 987 to 1,017Mar 17, 2025 to Mar 4, 2026
- Discretionary RAUM · $800M to $845MMar 17, 2025 to Mar 4, 2026
- HNW RAUM · $496M to $450MMar 17, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $22.3M to $30.2MMar 17, 2025 to Mar 4, 2026
- RAUM · $823M to $875MMar 17, 2025 to Mar 4, 2026
- Wrap assets (manager) · $507M to $454MMar 17, 2025 to Mar 4, 2026
- Accounts · 853 to 1,039Feb 13, 2024 to Mar 17, 2025
- Advisory activities · 3 to 2Feb 13, 2024 to Mar 17, 2025
- Charity clients · 2 to 10Feb 13, 2024 to Mar 17, 2025
- Corporate clients · 38 to 41Feb 13, 2024 to Mar 17, 2025
- HNW clients · 812 to 987Feb 13, 2024 to Mar 17, 2025
- Financial planning clients · unset to Feb 13, 2024 to Mar 17, 2025
- Discretionary RAUM · $523M to $800MFeb 13, 2024 to Mar 17, 2025
- HNW RAUM · $383M to $496MFeb 13, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $11.2M to $22.3MFeb 13, 2024 to Mar 17, 2025
- RAUM · $534M to $823MFeb 13, 2024 to Mar 17, 2025
- Wrap assets (manager) · $431M to $507MFeb 13, 2024 to Mar 17, 2025
- Accounts · 856 to 853Jun 7, 2023 to Feb 13, 2024
- Charity clients · 6 to 2Jun 7, 2023 to Feb 13, 2024
- Corporate clients · 28 to 38Jun 7, 2023 to Feb 13, 2024
- HNW clients · 754 to 812Jun 7, 2023 to Feb 13, 2024
- Discretionary RAUM · $398M to $523MJun 7, 2023 to Feb 13, 2024
- HNW RAUM · $348M to $383MJun 7, 2023 to Feb 13, 2024
- Non-discretionary RAUM · $6.4M to $11.2MJun 7, 2023 to Feb 13, 2024
- RAUM · $404M to $534MJun 7, 2023 to Feb 13, 2024
- Wrap assets (manager) · $352M to $431MJun 7, 2023 to Feb 13, 2024
- Advisory activities · 2 to 3Mar 22, 2023 to Jun 7, 2023
- HNW clients · 764 to 754Mar 22, 2023 to Jun 7, 2023
- HNW RAUM · $350M to $348MMar 22, 2023 to Jun 7, 2023
- Accounts · 653 to 856Nov 30, 2022 to Mar 22, 2023
- HNW clients · 619 to 764Nov 30, 2022 to Mar 22, 2023
- Discretionary RAUM · $379M to $398MNov 30, 2022 to Mar 22, 2023
- HNW RAUM · $315M to $350MNov 30, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $800,000 to $6.4MNov 30, 2022 to Mar 22, 2023
- RAUM · $379M to $404MNov 30, 2022 to Mar 22, 2023
Signals
3 dated events
- R•••••• O•• C•••••• L•• reported RAUM $822.8M, up 54% from $533.7M (2024-02-13 to 2025-03-17)Mar 17, 2025 · RAUM change · derived
- R•••••• O•• C•••••• L•• reported RAUM $533.7M, up 32% from $403.9M (2023-06-07 to 2024-02-13)Feb 13, 2024 · RAUM change · derived
- R•••••• O•• C•••••• L•• filed its initial SEC registration (Form ADV)Mar 1, 2017 · 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
- Firm profile
- linkedin.com/company/running-oak-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- runningoaketfs.com/indexreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-656-3712reportedpublic record, Form ADV, Aug 12, 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
- $175Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026