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
Octavia Wealth Advisors LLC
Latest filing Jul 2, 2026
First filing on the tape Jan 15, 2020 · 27 filings
SEC status approved since Feb 18, 2020
RAUM
$2.2B
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
83%
$1.8B individuals and HNW
Advisors
32
registered through the firm on IAPD
RAUM per advisor
$67.3M
derived; firm RAUM over IAPD count
Employees
45
31 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$2.2B as of Jul 2, 2026
Jan 19, 2021$881M then
HNW client RAUM$1.1B as of Jul 2, 2026
Jan 19, 2021$290M then
State-registered IARs (5.B.3)31 as of Jul 2, 2026
Jan 19, 202124 then
Employees (5.A)45 as of Jul 2, 2026
Jan 19, 202135 then
Private funds: no history
RAUM +20% over the last fiscal year+26% a year over threeIARs 34 to 31
Practice profile
derived from the filing of Jul 2, 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
- RAUM per advisor
- $67.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $316,921derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 6.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- -8.8%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $717M, 1,445 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B50%
- Individuals$709M33%
- Pension and profit-sharing plans$328M15%
- Corporations and businesses$32.0M1.5%
- State and municipal entities$1.0M0.0%
- Individual clients
- 3,212reported
- HNW clients
- 460reported
- Pension plan clients
- 96reported
- Charitable clients
- n/areported
- Accounts
- 6,795reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $717M for 1,445 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.83 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=26.0derived
Advisors registered through the firm
32 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ryan Charles MorseCertified Financial Planner | San Diego, Ca | Jun 12, 2020 | 26 y | 1 |
| Marc Edward WagnerCertified Financial Planner | Cincinnati, Oh | Jun 12, 2020 | 24 y | 1 |
| Glynnis Reinhart | Cincinnati, Oh | Jun 12, 2020 | 24 y | 1 |
| Andrew Erik Seni | Cincinnati, Oh | Jun 12, 2020 | 23 y | 1 |
| Michael Wyatt IngramCertified Financial Planner | San Diego, Ca | Jun 12, 2020 | 22 y | 1 |
| Justin Andrew SetzekornCertified Financial Planner | Cincinnati, Oh | Jun 12, 2020 | 21 y | 1 |
| David L YeazellCertified Financial Planner | Cincinnati, Oh | Jun 12, 2020 | 20 y | 1 |
| Nicholas Daniel Wheeler | Cincinnati, Oh | Jun 12, 2020 | 19 y | 1 |
| Kurt Volker | San Diego, Ca | Jun 12, 2020 | 10 y | 2 |
| Eric James BlackhallPersonal Financial Specialist | San Diego, Ca | Jun 12, 2020 | 26 y | 1 |
| Bradley Michael Lauch | Cincinnati, Oh | Jun 12, 2020 | 17 y | 1 |
| Jordan Alexander ColmanCertified Financial Planner | San Diego, Ca | Jun 12, 2020 | 15 y | 1 |
| Ashley Dawn Seyberth | Cincinnati, Oh | Jun 12, 2020 | 11 y | 1 |
| Joshua Nathan Aldus | San Diego, Ca | Jun 12, 2020 | 14 y | 1 |
| Luis Marck StrohmeierCertified Financial Planner, Chartered Financial Consultant | Cincinnati, Oh | Jun 12, 2020 | 30 y | 1 |
| Dana Peacock McgrathCertified Financial Planner | San Diego, Ca | Jun 12, 2020 | 11 y | 1 |
| Mark Joseph BodnarCertified Financial Planner, Chartered Financial Consultant | Cincinnati, Oh | Jun 12, 2020 | 41 y | 1 |
| Maxim Ian MeyersCertified Financial Planner, Chartered Financial Consultant | Cincinnati, Oh | Jun 12, 2020 | 38 y | 1 |
| Donald Wade Hughett | Cincinnati, Oh | Jun 12, 2020 | 27 y | 1 |
| Kseniya MendozaCertified Financial Planner | San Diego, Ca | Dec 4, 2020 | 17 y | 1 |
| Xavier Mendoza | Cincinnati, Oh | Dec 4, 2020 | 16 y | 1 |
| Susan Marie Mchugh | Cincinnati, Oh | Aug 6, 2021 | 33 y | 2 |
| Susan M Farlow | Cincinnati, Oh | Sep 28, 2021 | 13 y | 3 |
| Brian Mitchell PriceChartered Financial Analyst | St. Charles, Mo | Aug 9, 2022 | 11 y | 0 |
| Ryan Christopher SellarsCertified Financial Planner | Cincinnati, Oh | May 11, 2023 | 13 y | 0 |
| Christopher Mario BertorelliCertified Financial Planner | San Diego, Ca | Aug 2, 2023 | 28 y | 5 |
| Charles Richard KorgerCertified Financial Planner | Cincinnati, Oh | Aug 15, 2023 | 27 y | 5 |
| Mariano Farid Llosa | Miami, Fl | Jan 10, 2024 | 13 y | 3 |
| Logan Andrew Snow | Cincinnati, Oh | Oct 22, 2024 | 12 y | 0 |
| Jacob FlaspohlerCertified Financial Planner | Cincinnati, Oh | May 30, 2025 | 10 y | 0 |
| Nicholas Vincent Geraci | San Diego, Ca | Jun 30, 2025 | 11 y | 0 |
| Daniela Marina Cronin | Cincinnati, Oh | Jul 16, 2025 | 12 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 3.1% of current headcount4 left over 36 months
Left, latest
- Christopher Michael Lamb to LPL Financial LLCDec 31, 2025 · RIA to affiliated broker-dealer or bank
- Noah Stomberg to RBC Securities, Inc.Feb 14, 2025 · RIA to RIA
- Peter Ivan Michael Shusterman to Cooper McmanusJan 21, 2025 · RIA to RIA
- Stephanie Stegmuller to Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 2, 2024 · RIA to wirehouse
- Omar A Morillo to Mariner IndependentMay 16, 2022 · RIA to RIA
- Jennifer A Duarte to Morgan StanleyApr 16, 2021 · RIA to wirehouse
Joined, latest
- Noah Stomberg from Equitable Advisors, LLCJul 16, 2024 · Affiliated broker-dealer or bank to independent RIA
- Mariano Farid Llosa from Equitable Advisors, LLCJan 10, 2024 · Affiliated broker-dealer or bank to independent RIA
- Peter Ivan Michael Shusterman from Osaic Wealth, Inc.Oct 19, 2023 · Affiliated broker-dealer or bank to independent RIA
- Charles Richard Korger from AretéAug 15, 2023 · Other
- Christopher Mario Bertorelli from John Hancock Investment Management LLCAug 2, 2023 · Other
- Susan M Farlow from UBS Financial Services Inc.Sep 28, 2021 · Wirehouse to independent RIA
- Susan Marie Mchugh from On Investment Management CoAug 6, 2021 · Affiliated broker-dealer or bank to independent RIA
- Omar A Morillo from Proxy Wealth Advisors LLCFeb 22, 2021 · RIA to RIA
- Xavier Mendoza from Equitable Advisors, LLCDec 4, 2020 · Affiliated broker-dealer or bank to independent RIA
- Kseniya Mendoza from Equitable Advisors, LLCDec 4, 2020 · Affiliated broker-dealer or bank to independent RIA
- Jennifer A Duarte from Merrill Lynch, Pierce, Fenner & Smith IncorporatedDec 1, 2020 · Wirehouse to independent RIA
- Mark Joseph Bodnar from Equitable Advisors, LLCJun 12, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- Maxim Ian Meyers from Equitable Advisors, LLCJun 12, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- Ryan Charles Morse from Equitable Advisors, LLCJun 12, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- Marc Edward Wagner from Equitable Advisors, LLCJun 12, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Equitable Advisors, LLCDec 9, 2020 · San Diego, Ca
- 10 joined from Equitable Advisors, LLCJul 10, 2020 · Blue Ash, Oh
- 8 joined from Equitable Advisors, LLCJul 7, 2020 · San Diego, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph Mark Bodnar · Chief Investment Officercontrolsince 05/2022 · owns less than 5%
- Jude Joseph Hoefer · Chief Investment Officercontrolsince 01/2026 · owns less than 5%
- Ian Maxim Meyers · Principal, Chief Executive Officer And Chief Compliance Officercontrolsince 06/2020 · owns less than 5%
- Edward Marc Wagner · Chief Financial Officercontrolsince 06/2020 · owns less than 5%
- Marck Luis Strohmeier · Membercontrolsince 06/2020 · owns 25% to 50% of Hong Kong Holdings, LLC
Entity owners
- Octavia Financial Holdings, · Holding Companydirect · owns 75% or more
- Octavia Financial Holdings, LLC · Holding Companydirect · owns 75% or more
- Hong Kong Holdings, LLC · Memberindirect · owns 75% or more of Octavia Financial Holdings, LLC
Related persons
Schedule D 7.A
- Octavia Risk Management, LLCreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 26 | 0 | 0 | ||
| San Diego, Ca | 11 | 0 | 1 | ||
| Miami, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Diego, CA10 employees
- Miami, FL2 employees
- Los Angeles, CA1 employees
- Sarasota, FL1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 2, 2026HOEFER, JOSEPH, JUDE (CHIEF INVESTMENT OFFICER) appeared on Schedule A between the filings of 2022-06-14 and 2026-07-02peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jul 2, 2026BODNAR, MARK, JOSEPH (CHIEF INVESTMENT OFFICER) left Schedule A between the filings of 2022-06-14 and 2026-07-02peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jul 2, 2026STROHMEIER, LUIS, MARCK (MEMBER) left Schedule A between the filings of 2022-06-14 and 2026-07-02peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 6,332 to 6,795Feb 21, 2025 to Jan 27, 2026
- Advisory employees · 34 to 31Feb 21, 2025 to Jan 27, 2026
- BD registered reps · 28 to 26Feb 21, 2025 to Jan 27, 2026
- HNW clients · 355 to 460Feb 21, 2025 to Jan 27, 2026
- Individual clients · 2,981 to 3,212Feb 21, 2025 to Jan 27, 2026
- Pension plan clients · 97 to 96Feb 21, 2025 to Jan 27, 2026
- Assets in custody · $586M to $717MFeb 21, 2025 to Jan 27, 2026
- Employees · 49 to 45Feb 21, 2025 to Jan 27, 2026
- State-registered IARs · 34 to 31Feb 21, 2025 to Jan 27, 2026
- Discretionary RAUM · $1.5B to $1.8BFeb 21, 2025 to Jan 27, 2026
- HNW RAUM · $809M to $1.1BFeb 21, 2025 to Jan 27, 2026
- Individual RAUM · $680M to $709MFeb 21, 2025 to Jan 27, 2026
- Non-discretionary RAUM · $334M to $389MFeb 21, 2025 to Jan 27, 2026
- Pension RAUM · $278M to $328MFeb 21, 2025 to Jan 27, 2026
- RAUM · $1.8B to $2.2BFeb 21, 2025 to Jan 27, 2026
- Accounts · 5,444 to 6,332Aug 16, 2024 to Feb 21, 2025
- Advisory employees · 28 to 34Aug 16, 2024 to Feb 21, 2025
- BD registered reps · 26 to 28Aug 16, 2024 to Feb 21, 2025
- Corporate clients · 34 to 35Aug 16, 2024 to Feb 21, 2025
- HNW clients · 266 to 355Aug 16, 2024 to Feb 21, 2025
- Individual clients · 2,577 to 2,981Aug 16, 2024 to Feb 21, 2025
- Pension plan clients · 261 to 97Aug 16, 2024 to Feb 21, 2025
- Assets in custody · $439M to $586MAug 16, 2024 to Feb 21, 2025
- Employees · 42 to 49Aug 16, 2024 to Feb 21, 2025
- Financial planning clients · 1-10 to 1-10Aug 16, 2024 to Feb 21, 2025
- State-registered IARs · 28 to 34Aug 16, 2024 to Feb 21, 2025
- Discretionary RAUM · $1.2B to $1.5BAug 16, 2024 to Feb 21, 2025
- HNW RAUM · $583M to $809MAug 16, 2024 to Feb 21, 2025
- Individual RAUM · $570M to $680MAug 16, 2024 to Feb 21, 2025
- Non-discretionary RAUM · $277M to $334MAug 16, 2024 to Feb 21, 2025
- Pension RAUM · $271M to $278MAug 16, 2024 to Feb 21, 2025
- RAUM · $1.4B to $1.8BAug 16, 2024 to Feb 21, 2025
- Accounts · 4,781 to 5,444Jan 3, 2024 to Feb 8, 2024
- Advisory employees · 26 to 28Jan 3, 2024 to Feb 8, 2024
- Corporate clients · 30 to 34Jan 3, 2024 to Feb 8, 2024
- HNW clients · 175 to 266Jan 3, 2024 to Feb 8, 2024
- Individual clients · 2,141 to 2,577Jan 3, 2024 to Feb 8, 2024
- Pension plan clients · 134 to 261Jan 3, 2024 to Feb 8, 2024
- Assets in custody · $312M to $439MJan 3, 2024 to Feb 8, 2024
- Employees · 40 to 42Jan 3, 2024 to Feb 8, 2024
Signals
18 dated events
- Christopher Michael Lamb left Octavia Wealth Advisors Llc for Lpl Financial Llc (registered 2025-04-03)Dec 31, 2025 · Advisor changed firm · fact
- Noah Stomberg left Octavia Wealth Advisors Llc for Rbc Securities, Inc. (registered 2025-07-01)Feb 14, 2025 · Advisor changed firm · fact
- Peter Ivan Michael Shusterman left Octavia Wealth Advisors Llc for Cooper Mcmanus (registered 2025-11-26)Jan 21, 2025 · Advisor changed firm · fact
- Octavia Wealth Advisors Llc reported RAUM $1.4B, up 35% from $1.1B (2024-01-03 to 2024-02-08)Feb 8, 2024 · RAUM change · derived
- Stephanie Stegmuller left Octavia Wealth Advisors Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-05-03)Feb 2, 2024 · Advisor changed firm · fact
- Dean Robert Ridgley (Chief Investment Officer) no longer on Schedule A of Octavia Wealth Advisors Llc (listed 2022-05-26, absent 2022-06-14)Jun 14, 2022 · Control person left · inference
- Joseph Mark Bodnar (Chief Investment Officer) appeared on Schedule A of Octavia Wealth Advisors LlcJun 14, 2022 · Control person joined · fact
- Omar A Morillo left Octavia Wealth Advisors Llc for Mariner Independent (registered 2022-05-24)May 16, 2022 · Advisor changed firm · fact
- Octavia Wealth Advisors Llc reported RAUM $1.2B, up 33% from $881.1M (2021-09-22 to 2022-02-25)Feb 25, 2022 · RAUM change · derived
- Octavia Wealth Advisors Llc reported RAUM $881.1M, up 26% from $699.4M (2020-10-01 to 2021-01-19)Jan 19, 2021 · RAUM change · derived
- Edward Marc Wagner (Chief Financial Officer) appeared on Schedule A of Octavia Wealth Advisors LlcJan 19, 2021 · Control person joined · fact
- Octavia Wealth Advisors Llc reported RAUM $699.4M, up 363% from $151.0M (2020-08-28 to 2020-10-01)Oct 1, 2020 · RAUM change · derived
- Ian Conor Anderson (Chief Compliance Officer) no longer on Schedule A of Octavia Wealth Advisors Llc (listed 2020-02-05, absent 2020-06-12)Jun 12, 2020 · Control person left · inference
- Ian Maxim Meyers (Principal And Chief Compliance Officer) appeared on Schedule A of Octavia Wealth Advisors LlcJun 12, 2020 · Control person joined · fact
- Dean Robert Ridgley (Chief Investment Officer) appeared on Schedule A of Octavia Wealth Advisors LlcJun 12, 2020 · Control person joined · fact
- Marck Luis Strohmeier (Member) appeared on Schedule A of Octavia Wealth Advisors LlcJun 12, 2020 · Control person joined · fact
- Octavia Wealth Advisors Llc reported 23 state-registered advisory representatives, up from 0 (2020-02-05 to 2020-06-12)Jun 12, 2020 · Advisor headcount change · derived
- Octavia Wealth Advisors Llc filed its initial SEC registration (Form ADV)Jan 15, 2020 · 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
- 513-762-7701reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/octavia-wealth-advisorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- OCTAVIAWA.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (513) 762-7701reportedpublic record, Form ADV, Jul 2, 2026
- Team page
- octaviawa.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $67.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026