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.
SEC-registered adviser
Opes Wealth Management, LLC
Latest filing May 5, 2026
First filing on the tape Nov 14, 2018 · 25 filings
SEC status approved since Dec 14, 2018
RAUM
$822M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$817M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$822M as of May 5, 2026
Mar 28, 2019$387M then
HNW client RAUM$730M as of May 5, 2026
Mar 28, 2019$344M then
State-registered IARs (5.B.3)6 as of May 5, 2026
Mar 28, 20196 then
Employees (5.A)8 as of May 5, 2026
Mar 28, 20198 then
Private funds: no history
RAUM +24% over the last fiscal year+20% a year over threeIARs 5 to 6
Practice profile
derived from the filing of May 5, 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
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $271M, 248 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$730M89%
- Individuals$86.8M11%
- Corporations and businesses$5.2M0.6%
- Individual clients
- 204reported
- HNW clients
- 215reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 420reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $271M for 248 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
6 left, 0 joined in 12 months
net -6 in 12 months6 left in 90 days0 joined in 90 days6 left over 36 months
Left, latest
- Mark Townsend Duvall to Ep Wealth AdvisorsAug 26, 2026 · RIA to RIA
- Erin Michael Whalen to Ep Wealth AdvisorsAug 7, 2026 · RIA to RIA
- Louis Lawrence Odette to Ep Wealth AdvisorsAug 7, 2026 · RIA to RIA
- Lyla Kristina Andrea Bonilla to Ep Wealth AdvisorsAug 7, 2026 · RIA to RIA
- Tracie Lynne Southerland to Ep Wealth AdvisorsAug 7, 2026 · RIA to RIA
- Kenji Bleicker to Ep Wealth AdvisorsAug 7, 2026 · RIA to RIA
- Justin A Arnold to Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 4, 2022 · RIA to wirehouse
- William James Steinberger to Think Different Financial PlanningMar 9, 2021 · RIA to RIA
- Kristie Dawn Cahill to Creativeone Wealth, LLCMar 28, 2019 · RIA to RIA
Joined, latest
- Lyla Kristina Andrea Bonilla from Neokai CapitalAug 28, 2025 · Other
- Kenji Bleicker from Opes Advisors, Inc.Feb 1, 2023 · Other
- Justin A Arnold from Opes Advisors, Inc.Feb 20, 2019 · Other
- Mark Townsend Duvall from Opes Advisors, Inc.Jan 10, 2019 · Other
- Erin Michael Whalen from Opes Advisors, Inc.Jan 9, 2019 · Other
- William James Steinberger from Buckingham Strategic Wealth, LLCJan 9, 2019 · Other
- Kristie Dawn Cahill from Opes Advisors, Inc.Dec 21, 2018 · Other
- Tracie Lynne Southerland from Opes Advisors, Inc.Dec 21, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Ep Wealth AdvisorsAug 7, 2026 · Menlo Park, Ca · Firm absorbed
- 6 joined from Opes Advisors, Inc.Jun 8, 2017 · Cupertino, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Townsend Mark Duvall · Co-Presidentcontrolsince 11/2018 · owns 25% to 50%
- Unesa Miguel · Chief Compliance Officercontrolsince 03/2019 · owns less than 5%
- Lawrence Louis Odette · Chief Investment Officercontrolsince 01/2024 · owns 5% to 10%
- Lynne Tracie Southerland · Wealth Advisorcontrolsince 01/2022 · owns 5% to 10%
- Michael Erin Whalen · Co-Presidentcontrolsince 11/2018 · 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 |
|---|---|---|---|---|---|
| Ashland, Or | 0 | 0 | 1 | ||
| Menlo Park, Ca · principal | 0 | 0 | 4 | ||
| Ewa Beach, Hi | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Ashland, OR1 employees
What changed
consecutive filings, newest first
- Accounts · 387 to 420Aug 28, 2025 to Mar 26, 2026
- Corporate clients · unset to 1.0Aug 28, 2025 to Mar 26, 2026
- HNW clients · 196 to 215Aug 28, 2025 to Mar 26, 2026
- Individual clients · 190 to 204Aug 28, 2025 to Mar 26, 2026
- Assets in custody · $197M to $271MAug 28, 2025 to Mar 26, 2026
- Employees · 9 to 8Aug 28, 2025 to Mar 26, 2026
- State-registered IARs · 5 to 6Aug 28, 2025 to Mar 26, 2026
- Discretionary RAUM · $665M to $822MAug 28, 2025 to Mar 26, 2026
- HNW RAUM · $583M to $730MAug 28, 2025 to Mar 26, 2026
- Individual RAUM · $77.4M to $86.8MAug 28, 2025 to Mar 26, 2026
- RAUM · $665M to $822MAug 28, 2025 to Mar 26, 2026
- Financial planning clients · 1-10 to 1-10Apr 21, 2025 to Jul 14, 2025
- Accounts · 364 to 387Apr 4, 2024 to Apr 21, 2025
- HNW clients · 177 to 196Apr 4, 2024 to Apr 21, 2025
- Individual clients · 186 to 190Apr 4, 2024 to Apr 21, 2025
- State-registered IARs · 4 to 5Apr 4, 2024 to Apr 21, 2025
- Discretionary RAUM · $590M to $665MApr 4, 2024 to Apr 21, 2025
- HNW RAUM · $506M to $583MApr 4, 2024 to Apr 21, 2025
- Individual RAUM · $80.0M to $77.4MApr 4, 2024 to Apr 21, 2025
- RAUM · $590M to $665MApr 4, 2024 to Apr 21, 2025
- Accounts · 303 to 364Sep 1, 2023 to Mar 14, 2024
- HNW clients · 150 to 177Sep 1, 2023 to Mar 14, 2024
- Individual clients · 152 to 186Sep 1, 2023 to Mar 14, 2024
- Assets in custody · $335M to $197MSep 1, 2023 to Mar 14, 2024
- Employees · 8 to 9Sep 1, 2023 to Mar 14, 2024
- State-registered IARs · 5 to 4Sep 1, 2023 to Mar 14, 2024
- Discretionary RAUM · $474M to $590MSep 1, 2023 to Mar 14, 2024
- HNW RAUM · $405M to $506MSep 1, 2023 to Mar 14, 2024
- Individual RAUM · $65.8M to $80.0MSep 1, 2023 to Mar 14, 2024
- RAUM · $474M to $590MSep 1, 2023 to Mar 14, 2024
- Accounts · 299 to 303Jan 24, 2023 to Mar 29, 2023
- Advisory employees · 4 to 5Jan 24, 2023 to Mar 29, 2023
- HNW clients · 162 to 150Jan 24, 2023 to Mar 29, 2023
- Individual clients · 136 to 152Jan 24, 2023 to Mar 29, 2023
- Assets in custody · $172M to $335MJan 24, 2023 to Mar 29, 2023
- Employees · 7 to 8Jan 24, 2023 to Mar 29, 2023
- State-registered IARs · 4 to 5Jan 24, 2023 to Mar 29, 2023
- Other offices · 0 to 1Jan 24, 2023 to Mar 29, 2023
- Discretionary RAUM · $509M to $474MJan 24, 2023 to Mar 29, 2023
- HNW RAUM · $443M to $405MJan 24, 2023 to Mar 29, 2023
Signals
15 dated events
- Mark Townsend Duvall left Opes Wealth Management, Llc for Ep Wealth Advisors (registered 2026-06-26)Aug 26, 2026 · Advisor changed firm · fact
- Louis Lawrence Odette left Opes Wealth Management, Llc for Ep Wealth Advisors (registered 2026-06-29)Aug 7, 2026 · Advisor changed firm · fact
- Lyla Kristina Andrea Bonilla left Opes Wealth Management, Llc for Ep Wealth Advisors (registered 2026-06-26)Aug 7, 2026 · Advisor changed firm · fact
- Kenji Bleicker left Opes Wealth Management, Llc for Ep Wealth Advisors (registered 2026-06-26)Aug 7, 2026 · Advisor changed firm · fact
- Tracie Lynne Southerland left Opes Wealth Management, Llc for Ep Wealth Advisors (registered 2026-06-29)Aug 7, 2026 · Advisor changed firm · fact
- Erin Michael Whalen left Opes Wealth Management, Llc for Ep Wealth Advisors (registered 2026-06-29)Aug 7, 2026 · Advisor changed firm · fact
- Opes Wealth Management, LLC's advisors moved to EP Wealth Advisors (Menlo Park, CA): 4 of 6 registered, on the same dayAug 7, 2026 · Firm absorbed (people side) · derived
- Lawrence Louis Odette (Senior Client Portfolio Manager) appeared on Schedule A of Opes Wealth Management, LlcMar 29, 2023 · Control person joined · fact
- Justin A Arnold left Opes Wealth Management, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-09-19)Aug 4, 2022 · Advisor changed firm · fact
- Kay Susan Mchan (Partner) no longer on Schedule A of Opes Wealth Management, Llc (listed 2021-04-26, absent 2022-01-14)Jan 14, 2022 · Control person left · inference
- Lynne Tracie Southerland (Partner) appeared on Schedule A of Opes Wealth Management, LlcJan 14, 2022 · Control person joined · fact
- Forrest David Firth (Vp Client Services) no longer on Schedule A of Opes Wealth Management, Llc (listed 2019-09-12, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
- Opes Wealth Management, Llc reported 6 state-registered advisory representatives, down from 21 (2019-02-14 to 2019-03-28)Mar 28, 2019 · Advisor headcount change · derived
- Unesa Miguel (Chief Compliance Officer) appeared on Schedule A of Opes Wealth Management, LlcMar 28, 2019 · Control person joined · fact
- Owm, Llc filed its initial SEC registration (Form ADV)Nov 14, 2018 · 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/opes-wealth-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- opeswealth.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 408-831-5800reportedpublic record, Form ADV, May 5, 2026
- Contact form
- epwealth.com/contact-an-advisorreportedpublished by the firm, firm site, Sep 17, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026