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•• C•••• A•••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Feb 9, 2022 · 7 filings
SEC status approved since Mar 11, 2022
RAUM
$90.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$90.2M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$30.1M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$90.2M as of Mar 19, 2026
Mar 9, 2023$31.0M then
HNW client RAUM$54.7M as of Mar 19, 2026
Mar 9, 2023$20.0M then
State-registered IARs (5.B.3)3 as of Mar 19, 2026
Mar 9, 20233 then
Employees (5.A)3 as of Mar 19, 2026
Mar 9, 20233 then
Private funds: no history
RAUM +29% over the last fiscal year+43% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 19, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $30.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $197,743derivedRAUM 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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $13.9M, 30 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$54.7M61%
- Individuals$35.4M39%
- Individual clients
- 155reported
- HNW clients
- 33reported
- Pension plan clients
- 34reported
- Charitable clients
- 0reported
- Accounts
- 456reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13.9M for 30 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• T••••• S••••• | Rochester, Ny | May 27, 2021 | 15 y | 0 |
| B•••• M•••••• G•••Certified Financial Planner | Rochester, Ny | Jun 18, 2021 | 10 y | 0 |
| G•••••• P•••• M•••••• | Rochester, Ny | Jun 20, 2021 | 20 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• B••••• M•••••• · Member And Director Of Financial Planningcontrolsince 05/2019 · owns less than 5%
- M••••••• G••••••• P•••• · Managing Membercontrolsince 05/2019 · owns less than 5%
- S•••••• M••••••• T••••• · Member And Chief Compliance Officercontrolsince 11/2020 · owns less than 5%
- G•••• B••••• M•••••• · Managing Membercontrolsince 01/2024 · owns 75% or more of B•••• M• G•••• C•• P•
- M••••••• G••••••• P•••• · Managing Membercontrolsince 01/2024 · owns 75% or more of M•••••• C•••••• A•••••••• L••
- S•••••• M••••••• T••••• · Managing Membercontrolsince 01/2024 · owns 75% or more of S••••• F•••••••• M••••••••• L••
Entity owners
- B•••• M• G•••• C•• P• · Memberdirect · owns 25% to 50%
- M•••••• C•••••• A•••••••• L•• · Memberdirect · owns 25% to 50%
- S••••• F•••••••• M••••••••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- B•••• M• G•••• C•• P•••insurancen
- S••••• F•••••••• M••••••••• L••real estaten
Advisers that list O•• C•••• A•••••••• L•• as a related person
- 38751 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rochester, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 19, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-31, yes on the filing of 2026-03-19peers: independent wealth managers, under $100M (704)
- RAUM up 25 %Change between filings · filing Mar 19, 2026RAUM (Item 5.F) moved from $69,965,414 to $90,170,828 (+29.0%) between the annual amendments of 2025-03-31 and 2026-03-19; the peer median change was +8.0% (219 comparable advisers, 90.0th percentile of changes)peers: independent wealth managers, under $100M (219) · 90% percentile
What changed
consecutive filings, newest first
- Accounts · 404 to 456Mar 31, 2025 to Mar 19, 2026
- HNW clients · 24 to 33Mar 31, 2025 to Mar 19, 2026
- Individual clients · 125 to 155Mar 31, 2025 to Mar 19, 2026
- Pension plan clients · 29 to 34Mar 31, 2025 to Mar 19, 2026
- Assets in custody · unset to 13902073.0Mar 31, 2025 to Mar 19, 2026
- Custody of client assets · false to trueMar 31, 2025 to Mar 19, 2026
- Discretionary RAUM · $70.0M to $90.2MMar 31, 2025 to Mar 19, 2026
- HNW RAUM · $37.9M to $54.7MMar 31, 2025 to Mar 19, 2026
- Individual RAUM · $32.0M to $35.4MMar 31, 2025 to Mar 19, 2026
- RAUM · $70.0M to $90.2MMar 31, 2025 to Mar 19, 2026
- Accounts · 337 to 404Mar 27, 2024 to Mar 31, 2025
- HNW clients · 33 to 24Mar 27, 2024 to Mar 31, 2025
- Individual clients · 134 to 125Mar 27, 2024 to Mar 31, 2025
- Pension plan clients · 24 to 29Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $51.7M to $70.0MMar 27, 2024 to Mar 31, 2025
- HNW RAUM · $27.7M to $37.9MMar 27, 2024 to Mar 31, 2025
- Individual RAUM · $24.1M to $32.0MMar 27, 2024 to Mar 31, 2025
- Pension RAUM · unset to 0.0Mar 27, 2024 to Mar 31, 2025
- RAUM · $51.7M to $70.0MMar 27, 2024 to Mar 31, 2025
- Accounts · 236 to 337Mar 9, 2023 to Mar 27, 2024
- HNW clients · 24 to 33Mar 9, 2023 to Mar 27, 2024
- Individual clients · 87 to 134Mar 9, 2023 to Mar 27, 2024
- Pension plan clients · 21 to 24Mar 9, 2023 to Mar 27, 2024
- Discretionary RAUM · $31.0M to $51.7MMar 9, 2023 to Mar 27, 2024
- HNW RAUM · $20.0M to $27.7MMar 9, 2023 to Mar 27, 2024
- Individual RAUM · $11.1M to $24.1MMar 9, 2023 to Mar 27, 2024
- RAUM · $31.0M to $51.7MMar 9, 2023 to Mar 27, 2024
- Accounts · 184 to 236Sep 12, 2022 to Mar 9, 2023
- HNW clients · 16 to 24Sep 12, 2022 to Mar 9, 2023
- Individual clients · 75 to 87Sep 12, 2022 to Mar 9, 2023
- Pension plan clients · 0 to 21Sep 12, 2022 to Mar 9, 2023
- Financial planning clients · 101-250 to 0Sep 12, 2022 to Mar 9, 2023
- Discretionary RAUM · $30.3M to $31.0MSep 12, 2022 to Mar 9, 2023
- HNW RAUM · $18.8M to $20.0MSep 12, 2022 to Mar 9, 2023
- Individual RAUM · $12.2M to $11.1MSep 12, 2022 to Mar 9, 2023
- Non-discretionary RAUM · $715,324 to $0Sep 12, 2022 to Mar 9, 2023
- Pension RAUM · 0.0 to unsetSep 12, 2022 to Mar 9, 2023
- RAUM · $31.0M to $31.0MSep 12, 2022 to Mar 9, 2023
Signals
1 dated events
- O•• C•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 9, 2022 · 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 phone
- 585-250-0288reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 585-250-6846reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 585-563-1106reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- oakcrestadvisory.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 585-507-1681reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- oakcrestadvisory.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- oakcrestadvisory.com/team-member-01reportedpublished 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
- $30.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026