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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
F•••• O•• W••••• M••••••••• L••
Latest filing Aug 26, 2026
First filing on the tape Mar 29, 2018 · 32 filings
SEC status approved since Apr 27, 2018
RAUM
$316M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
65%
$204M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$316M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$316M as of Aug 26, 2026
Feb 28, 2019$152M then
HNW client RAUM$183M as of Aug 26, 2026
Feb 28, 2019$70.2M then
State-registered IARs (5.B.3)1 as of Aug 26, 2026
Feb 28, 20193 then
Employees (5.A)3 as of Aug 26, 2026
Feb 28, 20194 then
Private funds: no history
RAUM +18% over the last fiscal year+17% a year over threeIARs 3 to 1
Practice profile
derived from the filing of Aug 26, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $316MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 149derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $715,325derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -24%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$183M58%
- Corporations and businesses$102M32%
- Individuals$21.6M6.8%
- Charitable organizations$8.7M2.7%
- Pension and profit-sharing plans$1.1M0.3%
- Individual clients
- 69reported
- HNW clients
- 80reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 442reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.65 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| R••• P••• T•••••• | Raleigh, Nc | May 3, 2017 | 17 y | 3 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount2 left over 36 months
Left, latest
- A••••• R••••• H••••• to C••••••• P•••••••Oct 2, 2025 · RIA to RIA
- G•••• M•••• K•••• to S••••• W••••• A•••••••• I•••Jan 3, 2025 · Other
- A•••• A•••••••• A•••••• to C••••• U•••• I••••••••• S•••••••May 13, 2021 · RIA to a state-registered adviser
Joined, latest
- A••••• R••••• H••••• from A•••• I••••••••• A•••••••• L••Mar 5, 2024 · RIA to RIA
- G•••• M•••• K•••• from M••••• S••••••Oct 18, 2018 · Wirehouse to independent RIA
- A•••• A•••••••• A•••••• from H••••• R••••Jun 21, 2017 · Other
- R••• P••• T•••••• from H••••• R••••May 3, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••• R•••• P••• · Managing Member, Chief Compliance Officercontrolsince 01/2017 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Raleigh, Nc · principal | 1 | 0 | 1 | ||
| Parker, Co | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 12, 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 $267,565,831 to $316,173,544, advisors 3 to 1, private clients 197 to 149, offices 0 to 0 (2025-03-24 to 2026-03-12)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 527 to 442Nov 18, 2025 to Mar 12, 2026
- Advisory employees · 2 to 1Nov 18, 2025 to Mar 12, 2026
- HNW clients · 86 to 80Nov 18, 2025 to Mar 12, 2026
- Individual clients · 111 to 69Nov 18, 2025 to Mar 12, 2026
- Employees · 6 to 3Nov 18, 2025 to Mar 12, 2026
- State-registered IARs · 3 to 1Nov 18, 2025 to Mar 12, 2026
- Discretionary RAUM · $264M to $316MNov 18, 2025 to Mar 12, 2026
- HNW RAUM · $152M to $183MNov 18, 2025 to Mar 12, 2026
- Individual RAUM · $23.1M to $21.6MNov 18, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $3.7M to $0Nov 18, 2025 to Mar 12, 2026
- Pension RAUM · $1.4M to $1.1MNov 18, 2025 to Mar 12, 2026
- RAUM · $268M to $316MNov 18, 2025 to Mar 12, 2026
- Accounts · 609 to 527Mar 6, 2024 to Mar 24, 2025
- Advisory employees · 3 to 2Mar 6, 2024 to Mar 24, 2025
- Corporate clients · 9 to 5Mar 6, 2024 to Mar 24, 2025
- HNW clients · 54 to 86Mar 6, 2024 to Mar 24, 2025
- Individual clients · 125 to 111Mar 6, 2024 to Mar 24, 2025
- Employees · 5 to 6Mar 6, 2024 to Mar 24, 2025
- Insurance-licensed employees · 3 to 0Mar 6, 2024 to Mar 24, 2025
- Financial planning clients · 11-25 to 11-25Mar 6, 2024 to Mar 24, 2025
- State-registered IARs · 4 to 3Mar 6, 2024 to Mar 24, 2025
- Other offices · 1 to 0Mar 6, 2024 to Mar 24, 2025
- Discretionary RAUM · $253M to $264MMar 6, 2024 to Mar 24, 2025
- HNW RAUM · $114M to $152MMar 6, 2024 to Mar 24, 2025
- Individual RAUM · $54.6M to $23.1MMar 6, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $0 to $3.7MMar 6, 2024 to Mar 24, 2025
- Pension RAUM · $1.1M to $1.4MMar 6, 2024 to Mar 24, 2025
- RAUM · $253M to $268MMar 6, 2024 to Mar 24, 2025
- Accounts · 647 to 609Nov 8, 2023 to Mar 6, 2024
- Advisory employees · 2 to 3Nov 8, 2023 to Mar 6, 2024
- HNW clients · 48 to 54Nov 8, 2023 to Mar 6, 2024
- Individual clients · 140 to 125Nov 8, 2023 to Mar 6, 2024
- Pension plan clients · 17 to 0Nov 8, 2023 to Mar 6, 2024
- Employees · 4 to 5Nov 8, 2023 to Mar 6, 2024
- Insurance-licensed employees · 0 to 3Nov 8, 2023 to Mar 6, 2024
- Financial planning clients · 26-50 to 11-25Nov 8, 2023 to Mar 6, 2024
- State-registered IARs · 3 to 4Nov 8, 2023 to Mar 6, 2024
- Discretionary RAUM · $197M to $253MNov 8, 2023 to Mar 6, 2024
- HNW RAUM · $93.4M to $114MNov 8, 2023 to Mar 6, 2024
- Individual RAUM · $27.7M to $54.6MNov 8, 2023 to Mar 6, 2024
Signals
5 dated events
- A••••• R••••• H••••• left F•••• O•• W••••• M••••••••• L•• for C••••••• P••••••• (registered 2025-10-02)Oct 2, 2025 · Advisor changed firm · fact
- G•••• M•••• K•••• left F•••• O•• W••••• M••••••••• L•• for S••••• W••••• A•••••••• I••• (registered 2025-01-16)Jan 3, 2025 · Advisor changed firm · fact
- Alexander Airis Abolins (Member) no longer on Schedule A of F•••• O•• W••••• M••••••••• L•• (listed 2021-06-15, absent 2021-08-04)Aug 4, 2021 · Control person left · inference
- Alexander Airis Abolins (Member) appeared on Schedule A of F•••• O•• W••••• M••••••••• L••Jun 11, 2021 · Control person joined · fact
- F•••• O•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 29, 2018 · ria f•••• adv filing · 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 phone
- 919-421-1555reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/F••••OAKreportedpublic record, Form ADV, Sep 18, 2026
- Website
- F••••OAK.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-421-1555reportedpublic record, Form ADV, Aug 26, 2026
- Team page
- firstoak.com/our-teamreportedpublished 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
- $316Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026