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••• W••••• M••••••••• L••
Latest filing May 11, 2026
First filing on the tape Jul 20, 2020 · 19 filings
SEC status approved since Aug 20, 2020
RAUM
$224M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
76%
$170M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$224M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$224M as of May 11, 2026
Mar 3, 2021$132M then
HNW client RAUM$149M as of May 11, 2026
Mar 3, 2021$86.6M then
State-registered IARs (5.B.3)1 as of May 11, 2026
Mar 3, 20211 then
Employees (5.A)3 as of May 11, 2026
Mar 3, 20213 then
Private funds: no history
RAUM +16% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 11, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $224MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 406derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $676,015derivedHNW RAUM over HNW clients
- Average account
- $528,003derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $442MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$149M67%
- Corporations and businesses$50.8M23%
- Individuals$20.3M9.0%
- Pension and profit-sharing plans$2.8M1.2%
- Charitable organizations$1.2M0.5%
- Individual clients
- 185reported
- HNW clients
- 221reported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 425reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $224M sponsored, $217M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.76 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• D••••• O•••••••• | Kitty Hawk, Nc | Jul 30, 2021 | 34 y | 4 |
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
- K•••••• D••••• O•••••••• from W•••• F•••• A•••••••Oct 19, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••••• K••••••• D••••• · Managing Member, Chief Compliance Officercontrolsince 07/2020 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Kitty Hawk, NC1 employees
What changed
consecutive filings, newest first
- Employees · 2 to 3Mar 31, 2026 to May 11, 2026
- Accounts · 428 to 425Oct 31, 2025 to Mar 31, 2026
- Corporate clients · 13 to 15Oct 31, 2025 to Mar 31, 2026
- HNW clients · 212 to 221Oct 31, 2025 to Mar 31, 2026
- Individual clients · 200 to 185Oct 31, 2025 to Mar 31, 2026
- Pension plan clients · 2 to 3Oct 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $190M to $223MOct 31, 2025 to Mar 31, 2026
- HNW RAUM · $129M to $149MOct 31, 2025 to Mar 31, 2026
- Individual RAUM · $22.6M to $20.3MOct 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $3.6M to $1.8MOct 31, 2025 to Mar 31, 2026
- Pension RAUM · $1.9M to $2.8MOct 31, 2025 to Mar 31, 2026
- RAUM · $194M to $224MOct 31, 2025 to Mar 31, 2026
- Wrap assets (manager) · $187M to $217MOct 31, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · $194M to $224MOct 31, 2025 to Mar 31, 2026
- Accounts · 441 to 428Jun 21, 2024 to Mar 6, 2025
- Corporate clients · 12 to 13Jun 21, 2024 to Mar 6, 2025
- HNW clients · 177 to 212Jun 21, 2024 to Mar 6, 2025
- Individual clients · 248 to 200Jun 21, 2024 to Mar 6, 2025
- Financial planning clients · 0 to 11-25Jun 21, 2024 to Mar 6, 2025
- Discretionary RAUM · $169M to $190MJun 21, 2024 to Mar 6, 2025
- HNW RAUM · $108M to $129MJun 21, 2024 to Mar 6, 2025
- Individual RAUM · $28.4M to $22.6MJun 21, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $2.3M to $3.6MJun 21, 2024 to Mar 6, 2025
- Pension RAUM · $1.7M to $1.9MJun 21, 2024 to Mar 6, 2025
- RAUM · $171M to $194MJun 21, 2024 to Mar 6, 2025
- Wrap assets (manager) · $165M to $187MJun 21, 2024 to Mar 6, 2025
- Wrap assets (sponsor) · $171M to $194MJun 21, 2024 to Mar 6, 2025
- Employees · 3 to 2Feb 22, 2024 to Jun 21, 2024
- Accounts · 424 to 441May 11, 2023 to Feb 22, 2024
- HNW clients · 155 to 177May 11, 2023 to Feb 22, 2024
- Individual clients · 253 to 248May 11, 2023 to Feb 22, 2024
- Pension plan clients · 3 to 2May 11, 2023 to Feb 22, 2024
- Discretionary RAUM · $150M to $169MMay 11, 2023 to Feb 22, 2024
- HNW RAUM · $76.8M to $108MMay 11, 2023 to Feb 22, 2024
- Individual RAUM · $36.9M to $28.4MMay 11, 2023 to Feb 22, 2024
- Non-discretionary RAUM · $1.7M to $2.3MMay 11, 2023 to Feb 22, 2024
- Pension RAUM · $1.5M to $1.7MMay 11, 2023 to Feb 22, 2024
- RAUM · $151M to $171MMay 11, 2023 to Feb 22, 2024
- Wrap assets (manager) · $146M to $165MMay 11, 2023 to Feb 22, 2024
- Wrap assets (sponsor) · $146M to $171MMay 11, 2023 to Feb 22, 2024
Signals
3 dated events
- Marie Dawn Roy (Chief Compliance Officer) no longer on Schedule A of O••• W••••• M••••••••• L•• (listed 2021-03-03, absent 2021-06-28)Jun 28, 2021 · Control person left · inference
- Marie Dawn Roy (Chief Compliance Officer) appeared on Schedule A of O••• W••••• M••••••••• L••Dec 9, 2020 · Control person joined · fact
- O••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 20, 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 email
- info@orcawealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 727-938-1600reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- orcawealth.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 727-938-1600reportedpublic record, Form ADV, May 11, 2026
- Contact form
- orcawealth.com/contactreportedpublished 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
- $224Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026