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.
Former SEC-registered adviser
Southern Oak Capital, LLC
Latest filing Jul 17, 2023
First filing on the tape Jan 26, 2022 · 16 filings
RAUM
$52.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
3.6%
$1.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$50.7M gross assets
History
16 filings and snapshots on the tape
RAUM$52.5M as of Jul 17, 2023
Jan 26, 2022$159M then
HNW client RAUM$1.9M as of Jul 17, 2023
Jan 26, 2022$0 then
State-registered IARs (5.B.3)2 as of Jul 17, 2023
Jan 26, 20222 then
Employees (5.A)3 as of Jul 17, 2023
Jan 26, 20224 then
Private funds3 as of Jul 17, 2023
Jan 26, 20223 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 17, 2023; every figure names its basis
- RAUM per advisor
- $26.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $937,500derivedHNW RAUM over HNW clients
- Average account
- $10.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $50.0M, 3 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$50.7M96%
- High-net-worth individuals$1.9M3.6%
- Individual clients
- 0reported
- HNW clients
- 2reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $50.0M for 3 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Andrew Chipman to Alliancebernstein L.P.Feb 2, 2022 · Other
Joined, latest
- Andrew Chipman from John Hancock Investment Management LLCSep 10, 2021 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Soc Income Fund LP | Hedge Fund | $25.7M | 3 | Jan 26, 2022 |
| Soc Core Cre Fund LP | Hedge Fund | $22.4M | 5 | Jan 26, 2022 |
| Soc Multi-Strat Income & Growth Fund LP | Hedge Fund | $2.6M | 10 | Jan 26, 2022 |
Owners and control persons
Schedule A and B, latest filing
- Anthony Kevin Price · Member, Portfolio Manager And Chief Compliance Officercontrolsince 12/2020 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7 to 5Dec 5, 2022 to Mar 22, 2023
- Corporate clients · unset to 0.0Dec 5, 2022 to Mar 22, 2023
- HNW clients · 0 to 2Dec 5, 2022 to Mar 22, 2023
- Pooled vehicle clients · 3 to 4Dec 5, 2022 to Mar 22, 2023
- Assets in custody · $60.7M to $50.0MDec 5, 2022 to Mar 22, 2023
- Discretionary RAUM · $159M to $52.5MDec 5, 2022 to Mar 22, 2023
- HNW RAUM · $0 to $1.9MDec 5, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $49.8M to $50.7MDec 5, 2022 to Mar 22, 2023
- RAUM · $159M to $52.5MDec 5, 2022 to Mar 22, 2023
- Advisory activities · 3 to 4Jul 11, 2022 to Dec 5, 2022
- Financial planning clients · unset to 0Jul 11, 2022 to Dec 5, 2022
- Related bank · true to falseJun 7, 2022 to Jun 10, 2022
- HQ city · BIRMINGHAM to HOOVERMay 18, 2022 to Jun 7, 2022
- Advisory employees · 2 to 1Apr 25, 2022 to Apr 29, 2022
- Employees · 4 to 3Apr 25, 2022 to Apr 29, 2022
- State-registered IARs · 3 to 2Apr 25, 2022 to Apr 29, 2022
- Advisory employees · 1 to 2Apr 14, 2022 to Apr 25, 2022
- Employees · 3 to 4Apr 14, 2022 to Apr 25, 2022
- State-registered IARs · 2 to 3Apr 14, 2022 to Apr 25, 2022
- State-registered IARs · 1 to 2Feb 2, 2022 to Apr 14, 2022
- Related bank · false to trueFeb 2, 2022 to Apr 14, 2022
- Advisory employees · 2 to 1Jan 26, 2022 to Feb 2, 2022
- Employees · 4 to 3Jan 26, 2022 to Feb 2, 2022
- State-registered IARs · 2 to 1Jan 26, 2022 to Feb 2, 2022
Signals
6 dated events
- Southern Oak Capital, Llc reported RAUM $52.5M, down 67% from $158.5M (2022-12-05 to 2023-03-22)Mar 22, 2023 · RAUM change · derived
- Todd Ayers (General Partner) no longer on Schedule A of Southern Oak Capital, Llc (listed 2022-04-29, absent 2022-05-18)May 18, 2022 · Control person left · inference
- Christopher Devine (General Partner) no longer on Schedule A of Southern Oak Capital, Llc (listed 2022-04-29, absent 2022-05-18)May 18, 2022 · Control person left · inference
- Clayton Mobley (General Partner) no longer on Schedule A of Southern Oak Capital, Llc (listed 2022-04-29, absent 2022-05-18)May 18, 2022 · Control person left · inference
- Andrew Chipman left Southern Oak Capital, Llc for Alliancebernstein L.P. (registered 2022-04-06)Feb 2, 2022 · Advisor changed firm · fact
- Southern Oak Capital, Llc filed its initial SEC registration (Form ADV)Jan 26, 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
- Firm profile
- linkedin.com/company/southern-oak-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- southernoakcap.comreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda 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