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••• L•••• F•••••••• G••••
Legal name O••• L••••• L••
Latest filing Sep 8, 2026
First filing on the tape Jul 25, 2017 · 19 filings
SEC status approved since Aug 24, 2017
RAUM
$459M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
79%
$363M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$115M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$459M as of Jul 17, 2026
Mar 8, 2018$124M then
HNW client RAUM$185M as of Jul 17, 2026
Mar 8, 2018$67.2M then
State-registered IARs (5.B.3)4 as of Jul 17, 2026
Mar 8, 20182 then
Employees (5.A)7 as of Jul 17, 2026
Mar 8, 20182 then
Private funds: no history
RAUM +34% over the last fiscal year+25% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Sep 8, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $115MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 210derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $304,083derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +44%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $42.6M, 128 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- 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)
- 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
- High-net-worth individuals$185M48%
- Individuals$179M46%
- Corporations and businesses$23.6M6.1%
- Charitable organizations$112,4120.0%
- Individual clients
- 779reported
- HNW clients
- 61reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 1,509reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $42.6M for 128 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.79 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| W•••••• D• C••• | Elizabethtown, Ky | Feb 10, 2024 | 19 y | 0 |
| J•••• H••••••• O••• | Elizabethtown, Ky | Nov 14, 2024 | 18 y | 4 |
| R••••• B••••••• L•••• | Elizabethtown, Ky | Dec 2, 2024 | 32 y | 3 |
| B••• T••••• | Elizabethtown, Ky | May 19, 2025 | 42 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
- B••• T••••• from C•••••• I••••••••• M••••••••• I•••May 19, 2025 · Other
- R••••• B••••••• L•••• from P•••••• C••••• S•••••••• L••Dec 2, 2024 · RIA to RIA
- J•••• H••••••• O••• from L•• F•••••••• L••Nov 14, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• R•••••• B••••••• · Managing Member, Ccocontrolsince 07/2017 · owns 25% to 50%
- O•••• J••••• H••••••• · Managing Membercontrolsince 07/2017 · owns 25% to 50%
- M••••••• S••••• J••••• · Membercontrolsince 11/2019 · owns 50% to 75% of P••• K••• H••••••• L••
- M•••••• J•••• C••••••• · Membercontrolsince 11/2019 · owns 25% to 50% of P••• K••• H••••••• L••
Entity owners
- T•• C••••••• B••• · Memberdirect · owns 25% to 50%
- F•••• C••••••• B••••••• I•• · Ownerindirect · owns 75% or more of T•• C••••••• B•••
- P••• K••• H••••••• L•• · Shareholderindirect · owns 25% to 50% of F•••• C••••••• B••••••• I••
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 |
|---|---|---|---|---|---|
| Elizabethtown, Ky · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Sep 8, 2026insurance affiliate (Item 7.A.10): no on the filing of 2026-07-17, yes on the filing of 2026-09-08peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Jul 17, 2026 to Sep 8, 2026
- Related insurance company · false to trueJul 17, 2026 to Sep 8, 2026
- Succession · false to unsetJul 17, 2026 to Sep 8, 2026
- Accounts · 1,064 to 1,509Mar 22, 2025 to Mar 10, 2026
- HNW clients · 45 to 61Mar 22, 2025 to Mar 10, 2026
- Individual clients · 538 to 779Mar 22, 2025 to Mar 10, 2026
- Financial planning clients · 11-25 to 0Mar 22, 2025 to Mar 10, 2026
- Discretionary RAUM · $282M to $387MMar 22, 2025 to Mar 10, 2026
- HNW RAUM · $148M to $185MMar 22, 2025 to Mar 10, 2026
- Individual RAUM · $113M to $179MMar 22, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $61.6M to $71.7MMar 22, 2025 to Mar 10, 2026
- RAUM · $343M to $459MMar 22, 2025 to Mar 10, 2026
- Accounts · 951 to 1,064May 28, 2024 to Mar 22, 2025
- Corporate clients · 10 to 8May 28, 2024 to Mar 22, 2025
- HNW clients · 42 to 45May 28, 2024 to Mar 22, 2025
- Individual clients · 464 to 538May 28, 2024 to Mar 22, 2025
- Pension plan clients · 11 to 0May 28, 2024 to Mar 22, 2025
- Financial planning clients · 11-25 to 11-25May 28, 2024 to Mar 22, 2025
- Discretionary RAUM · $220M to $282MMay 28, 2024 to Mar 22, 2025
- HNW RAUM · $120M to $148MMay 28, 2024 to Mar 22, 2025
- Individual RAUM · $86.3M to $113MMay 28, 2024 to Mar 22, 2025
- Non-discretionary RAUM · $53.0M to $61.6MMay 28, 2024 to Mar 22, 2025
- Pension RAUM · $53.0M to $0May 28, 2024 to Mar 22, 2025
- RAUM · $273M to $343MMay 28, 2024 to Mar 22, 2025
- Accounts · 978 to 951Feb 7, 2024 to Mar 27, 2024
- Advisory employees · 3 to 4Feb 7, 2024 to Mar 27, 2024
- Corporate clients · 3 to 10Feb 7, 2024 to Mar 27, 2024
- HNW clients · 33 to 42Feb 7, 2024 to Mar 27, 2024
- Individual clients · 417 to 464Feb 7, 2024 to Mar 27, 2024
- Pension plan clients · 8 to 11Feb 7, 2024 to Mar 27, 2024
- Assets in custody · $57.6M to $42.6MFeb 7, 2024 to Mar 27, 2024
- Employees · 4 to 7Feb 7, 2024 to Mar 27, 2024
- Financial planning clients · 1-10 to 11-25Feb 7, 2024 to Mar 27, 2024
- State-registered IARs · 3 to 4Feb 7, 2024 to Mar 27, 2024
- Discretionary RAUM · $189M to $220MFeb 7, 2024 to Mar 27, 2024
- HNW RAUM · $94.1M to $120MFeb 7, 2024 to Mar 27, 2024
- Individual RAUM · $92.6M to $86.3MFeb 7, 2024 to Mar 27, 2024
- Non-discretionary RAUM · $45.4M to $53.0MFeb 7, 2024 to Mar 27, 2024
- Pension RAUM · $45.4M to $53.0MFeb 7, 2024 to Mar 27, 2024
- RAUM · $235M to $273MFeb 7, 2024 to Mar 27, 2024
Signals
4 dated events
- O••• L•••• F•••••••• G•••• reported RAUM $458.9M, up 34% from $343.1M (2025-03-22 to 2026-03-10)Mar 10, 2026 · RAUM change · derived
- J••••• S•••• M•••••• (Member) appeared on Schedule A of O••• L•••• F•••••••• G••••May 28, 2024 · Control person joined · fact
- C••••••• J••• M••••• (Member) appeared on Schedule A of O••• L•••• F•••••••• G••••May 28, 2024 · Control person joined · fact
- O••• L••••• L•• filed its initial SEC registration (Form ADV)Jul 25, 2017 · 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 email
- i•••@o••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- a•••••@o••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- b••@o••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- c•••••@o••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j••@o••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j••@o••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 270-234-9215reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 270-769-9995reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-441-9569reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/22304044reportedpublic record, Form ADV, Sep 18, 2026
- Website
- O•••L••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 270-769-9995reportedpublic record, Form ADV, Sep 8, 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
- $115Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026