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•• S••••• I•••••••••
Legal name O•• S••••• I••••••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Apr 27, 2023 · 10 filings
SEC status approved since May 26, 2023
RAUM
$125M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
53%
$66.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$125M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
7
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$125M as of Mar 31, 2026
Mar 22, 2024$112M then
HNW client RAUM$58.9M as of Mar 31, 2026
Mar 22, 2024$23.7M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 22, 20241 then
Employees (5.A)1 as of Mar 31, 2026
Mar 22, 20241 then
Private funds7 as of Mar 31, 2026
Mar 22, 202415 then
RAUM +11% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 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
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $125MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $696,953derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 0.5derived2 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
- +23%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $59.5M, 7 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$59.1M47%
- High-net-worth individuals$58.9M47%
- Individuals$7.5M6.0%
- Individual clients
- 36reported
- HNW clients
- 29reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 180reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $59.5M for 7 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.53 fund_share=0.47 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• I•• M•••••Certified Financial Planner | Greenwood Village, Co | Feb 18, 2025 | 19 y | 1 |
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
- J•••• I•• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 18, 2025 · Wirehouse to independent RIA
Private funds
15 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I••••• I•••••••• O•• S••••••••• F•••• L•• | Private Equity Fund | $40.0M | 99 | Mar 22, 2024 |
| I••••• I•••••••• P••••••• O•• X•••• L•• | Private Equity Fund | $12.2M | 95 | Apr 27, 2023 |
| I••••• I•••••••• P••••••• O•• X••• | Private Equity Fund | $7.5M | 2 | Apr 27, 2023 |
| I••••• I•••••••• P••••••• O•• X•••• | Private Equity Fund | $6.5M | 85 | Apr 27, 2023 |
| I••••• I•••••••• P••••••• O•• X••• L•• | Private Equity Fund | $6.0M | 85 | Apr 27, 2023 |
| I••••• I•••••••• P••••••• O•• X•••••• | Private Equity Fund | $5.2M | 2 | Apr 27, 2023 |
| I••••• I•••••••• P••••••• O•• X•••••• L•• | Private Equity Fund | $4.1M | 72 | Apr 27, 2023 |
| I•• O•• X••• A• S••••• O• I••••• I•••••••• P••••••• O••• L•• | Private Equity Fund | $4.0M | 65 | Apr 27, 2023 |
| I•• O•• X•••• A• S••••• O• I••••• I•••••••• P••••••• O••• L•• | Private Equity Fund | $4.0M | 65 | Apr 27, 2023 |
| I••••• I•••••••• P••••••• O•• X••• L•• | Private Equity Fund | $4.0M | 71 | Apr 27, 2023 |
| I••••• I•••••••• P••••••• O•• X•••• L•• | Private Equity Fund | $3.0M | 56 | Apr 27, 2023 |
| I••••• I•••••••• P••••••• O•• X••••• L•• | Private Equity Fund | $2.0M | 42 | Apr 27, 2023 |
| I••••• I•••••••• P••••••• O•• X•••• L•• | Private Equity Fund | $1.8M | 23 | Apr 27, 2023 |
| I••••• I•••••••• P••••••• O•• X•••• | Private Equity Fund | $980,670 | 2 | Apr 27, 2023 |
| I••••• I•••••••• P••••••• O•• X•• L•• | Private Equity Fund | $725,000 | 38 | Apr 27, 2023 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• J••••• I•• · Managing Member/Chief Compliance Officercontrolsince 03/2017 · owns 75% or more
Related persons
Schedule D 7.A
- O•• S••••• C•••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- client mix shiftChange between filings · filing Mar 31, 2026private-client share of RAUM moved from 37.0% to 53.0% between the annual amendments of 2025-02-27 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,678)
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 31.0% to 47.0% between the annual amendments of 2025-02-27 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 152 to 180Feb 27, 2025 to Mar 31, 2026
- HNW clients · 20 to 29Feb 27, 2025 to Mar 31, 2026
- Individual clients · 33 to 36Feb 27, 2025 to Mar 31, 2026
- Pooled vehicle clients · 8 to 7Feb 27, 2025 to Mar 31, 2026
- Assets in custody · $71.0M to $59.5MFeb 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $113M to $125MFeb 27, 2025 to Mar 31, 2026
- HNW RAUM · $34.7M to $58.9MFeb 27, 2025 to Mar 31, 2026
- Individual RAUM · $7.1M to $7.5MFeb 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $71.0M to $59.1MFeb 27, 2025 to Mar 31, 2026
- RAUM · $113M to $125MFeb 27, 2025 to Mar 31, 2026
- Accounts · 141 to 152Oct 25, 2024 to Feb 27, 2025
- HNW clients · 17 to 20Oct 25, 2024 to Feb 27, 2025
- Pooled vehicle clients · 15 to 8Oct 25, 2024 to Feb 27, 2025
- Assets in custody · $80.3M to $71.0MOct 25, 2024 to Feb 27, 2025
- Financial planning clients · 26-50 to 26-50Oct 25, 2024 to Feb 27, 2025
- Private funds · 15 to 7Oct 25, 2024 to Feb 27, 2025
- Discretionary RAUM · $112M to $113MOct 25, 2024 to Feb 27, 2025
- HNW RAUM · $23.7M to $34.7MOct 25, 2024 to Feb 27, 2025
- Individual RAUM · $7.7M to $7.1MOct 25, 2024 to Feb 27, 2025
- Pooled vehicle RAUM · $80.3M to $71.0MOct 25, 2024 to Feb 27, 2025
- RAUM · $112M to $113MOct 25, 2024 to Feb 27, 2025
- Accounts · 129 to 141Dec 6, 2023 to Mar 22, 2024
- Advisory activities · 4 to 3Dec 6, 2023 to Mar 22, 2024
- HNW clients · 21 to 17Dec 6, 2023 to Mar 22, 2024
- Individual clients · 32 to 33Dec 6, 2023 to Mar 22, 2024
- Pooled vehicle clients · 14 to 15Dec 6, 2023 to Mar 22, 2024
- Assets in custody · unset to 80250000.0Dec 6, 2023 to Mar 22, 2024
- Custody of client assets · false to trueDec 6, 2023 to Mar 22, 2024
- Private funds · 14 to 15Dec 6, 2023 to Mar 22, 2024
- Discretionary RAUM · $102M to $112MDec 6, 2023 to Mar 22, 2024
- HNW RAUM · $31.1M to $23.7MDec 6, 2023 to Mar 22, 2024
- Individual RAUM · $8.7M to $7.7MDec 6, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $62.5M to $80.3MDec 6, 2023 to Mar 22, 2024
- RAUM · $102M to $112MDec 6, 2023 to Mar 22, 2024
- HQ city · CENTENNIAL to GREENWOOD VILLAGEApr 27, 2023 to Jun 13, 2023
Signals
1 dated events
- O•• S••••• I••••••••• filed its initial SEC registration (Form ADV)Apr 27, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O•• S••••• I••••••••• · Independent Sponsorsshared crd · capital_provider
- O•• S••••• I••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 720-515-6822reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- OAKS•••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (720) 515-6822reportedpublic record, Form ADV, Mar 31, 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
- $125Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026