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•• A•••• M••••••••• L••
Latest filing Feb 23, 2026
First filing on the tape Mar 28, 2017 · 20 filings
SEC status approved since Apr 18, 2017
RAUM
$414M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$406M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$414M as of Feb 23, 2026
Mar 9, 2018$200M then
HNW client RAUM$365M as of Feb 23, 2026
Mar 9, 2018$161M then
State-registered IARs (5.B.3)4 as of Feb 23, 2026
Mar 9, 20184 then
Employees (5.A)4 as of Feb 23, 2026
Mar 9, 20184 then
Private funds: no history
RAUM +8.0% over the last fiscal year+9.8% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 23, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $602,300derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $345MreportedItem 5.I
- Custody
- $106M, 121 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$365M88%
- Individuals$41.1M9.9%
- Pension and profit-sharing plans$7.6M1.8%
- Corporations and businesses$181,8490.0%
- Charitable organizations$174,9530.0%
- Individual clients
- 118reported
- HNW clients
- 124reported
- Pension plan clients
- 4reported
- Charitable clients
- 1reported
- Accounts
- 687reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $106M for 121 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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••• T••••• N•• | Westlake Village, Ca | May 8, 2017 | 42 y | 2 |
| J•••• M•••• R••••••• | Westlake Village, Ca | May 8, 2017 | 42 y | 2 |
| D•••• B•••• W••••• | Flagstaff, Az | May 8, 2017 | 40 y | 2 |
| T••••• J••••• R•••••••• | Westlake Village, Ca | May 8, 2017 | 29 y | 2 |
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
- T••••• J••••• R•••••••• from W•••• F•••• A•••••••May 8, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••• T••••• N•• from W•••• F•••• A•••••••May 8, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J•••• M•••• R••••••• from W•••• F•••• A•••••••May 8, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- D•••• B•••• W••••• from W•••• F•••• A•••••••May 8, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from W•••• F•••• A•••••••May 9, 2017 · Westlake Village, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••• J•••• T••••• · Managing Membercontrolsince 04/2017 · owns 25% to 50%
- R••••••••• T•••••• J••••• · Managing Membercontrolsince 04/2017 · owns 25% to 50%
- R•••••••• J••••• M•••• · Managing Member & Chief Compliance Officercontrolsince 04/2017 · owns 25% to 50%
- W•••••• D••••• B•••• · Ownercontrolsince 01/2020 · owns 25% to 50% of P•••••• A•••••••• L••
Entity owners
- P•••••• A•••••••• L•• · Managing Memberdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Westlake Village, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Flagstaff, AZ1 employees
- Las Vegas, NV1 employees
What changed
consecutive filings, newest first
- Accounts · 741 to 687Feb 19, 2025 to Feb 23, 2026
- Corporate clients · 3 to 4Feb 19, 2025 to Feb 23, 2026
- HNW clients · 120 to 124Feb 19, 2025 to Feb 23, 2026
- Individual clients · 132 to 118Feb 19, 2025 to Feb 23, 2026
- Pension plan clients · 7 to 4Feb 19, 2025 to Feb 23, 2026
- Assets in custody · $91.5M to $106MFeb 19, 2025 to Feb 23, 2026
- Discretionary RAUM · $383M to $414MFeb 19, 2025 to Feb 23, 2026
- HNW RAUM · $328M to $365MFeb 19, 2025 to Feb 23, 2026
- Individual RAUM · $41.2M to $41.1MFeb 19, 2025 to Feb 23, 2026
- Pension RAUM · $13.4M to $7.6MFeb 19, 2025 to Feb 23, 2026
- RAUM · $383M to $414MFeb 19, 2025 to Feb 23, 2026
- Accounts · 710 to 741Feb 29, 2024 to Feb 19, 2025
- Corporate clients · unset to 3.0Feb 29, 2024 to Feb 19, 2025
- HNW clients · 144 to 120Feb 29, 2024 to Feb 19, 2025
- Individual clients · 95 to 132Feb 29, 2024 to Feb 19, 2025
- Pension plan clients · 8 to 7Feb 29, 2024 to Feb 19, 2025
- Assets in custody · $57.8M to $91.5MFeb 29, 2024 to Feb 19, 2025
- Financial planning clients · 0 to Feb 29, 2024 to Feb 19, 2025
- Discretionary RAUM · $349M to $383MFeb 29, 2024 to Feb 19, 2025
- HNW RAUM · $315M to $328MFeb 29, 2024 to Feb 19, 2025
- Individual RAUM · $19.8M to $41.2MFeb 29, 2024 to Feb 19, 2025
- Pension RAUM · $13.4M to $13.4MFeb 29, 2024 to Feb 19, 2025
- RAUM · $349M to $383MFeb 29, 2024 to Feb 19, 2025
- Assets in custody · $163 to $57.8MMar 13, 2023 to Feb 29, 2024
- Discretionary RAUM · $312M to $349MMar 13, 2023 to Feb 29, 2024
- HNW RAUM · $284M to $315MMar 13, 2023 to Feb 29, 2024
- Individual RAUM · $17.7M to $19.8MMar 13, 2023 to Feb 29, 2024
- Pension RAUM · $10.0M to $13.4MMar 13, 2023 to Feb 29, 2024
- RAUM · $312M to $349MMar 13, 2023 to Feb 29, 2024
- Accounts · 683 to 710Mar 13, 2023 to Feb 29, 2024
- HNW clients · 156 to 144Mar 13, 2023 to Feb 29, 2024
- Individual clients · 83 to 95Mar 13, 2023 to Feb 29, 2024
- Pension plan clients · 6 to 8Mar 13, 2023 to Feb 29, 2024
- Accounts · 666 to 683Feb 11, 2022 to Mar 9, 2023
- Charity clients · 2 to 1Feb 11, 2022 to Mar 9, 2023
- HNW clients · 140 to 156Feb 11, 2022 to Mar 9, 2023
- Individual clients · 84 to 83Feb 11, 2022 to Mar 9, 2023
- Assets in custody · $160 to $163Feb 11, 2022 to Mar 9, 2023
- Discretionary RAUM · $353M to $312MFeb 11, 2022 to Mar 9, 2023
- HNW RAUM · $321M to $284MFeb 11, 2022 to Mar 9, 2023
Signals
2 dated events
- Brian David Watson (Owner) appeared on Schedule A of O•• A•••• M••••••••• L••May 1, 2020 · Control person joined · fact
- O•• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 28, 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
- Business email
- smcadam@oakasset.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 805-778-0818reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 805-778-0876reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/4045762reportedpublic record, Form ADV, Sep 19, 2026
- Website
- OAKASSET.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (805) 778-0818reportedpublic record, Form ADV, Feb 23, 2026
- Contact form
- oakasset.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- oakasset.com/meet-the-teamreportedpublished by the firm, firm site, Sep 15, 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
- $103Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026