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••• F•••••••• L••
Latest filing Jan 9, 2026
First filing on the tape Oct 31, 2024 · 4 filings
SEC status approved since Nov 29, 2024
RAUM
$117M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
94%
$110M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$117M as of Jan 9, 2026
Feb 27, 2025$105M then
HNW client RAUM$73.6M as of Jan 9, 2026
Feb 27, 2025$77.8M then
State-registered IARs (5.B.3)1 as of Jan 9, 2026
Feb 27, 20251 then
Employees (5.A)2 as of Jan 9, 2026
Feb 27, 20252 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 9, 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
- RAUM per advisor
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 526derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $640,082derivedHNW RAUM over HNW clients
- Average account
- $153,425derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- 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$73.6M63%
- Individuals$36.3M31%
- Corporations and businesses$7.0M6.0%
- Individual clients
- 411reported
- HNW clients
- 115reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 762reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• D••••• V•••••••Certified Financial Planner | Madison, Wi | Dec 18, 2014 | 16 y | 1 |
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 headcount1 left over 36 months
Left, latest
- C•••••• D•••• C•••• to C•••••• S••••• • C••• I•••Jan 31, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- C•••••• D•••• C•••• from L•• F•••••••• L••Nov 4, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V•••••••• A•••••• D••••• · Managing Principal / Ccocontrolsince 06/2021 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Madison, Wi · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 607 to 762Aug 4, 2025 to Jan 9, 2026
- HNW clients · 93 to 115Aug 4, 2025 to Jan 9, 2026
- Individual clients · 403 to 411Aug 4, 2025 to Jan 9, 2026
- Discretionary RAUM · $103M to $115MAug 4, 2025 to Jan 9, 2026
- HNW RAUM · $77.8M to $73.6MAug 4, 2025 to Jan 9, 2026
- Individual RAUM · $21.7M to $36.3MAug 4, 2025 to Jan 9, 2026
- Non-discretionary RAUM · $1.6M to $1.6MAug 4, 2025 to Jan 9, 2026
- RAUM · $105M to $117MAug 4, 2025 to Jan 9, 2026
- Financial planning clients · 0 to 0Feb 27, 2025 to Aug 4, 2025
- Accounts · 884 to 607Oct 31, 2024 to Feb 27, 2025
- Corporate clients · 7.0 to unsetOct 31, 2024 to Feb 27, 2025
- HNW clients · 100 to 93Oct 31, 2024 to Feb 27, 2025
- Individual clients · 500 to 403Oct 31, 2024 to Feb 27, 2025
- Financial planning clients · 1-10 to 0Oct 31, 2024 to Feb 27, 2025
- Discretionary RAUM · $93.5M to $103MOct 31, 2024 to Feb 27, 2025
- HNW RAUM · $75.3M to $77.8MOct 31, 2024 to Feb 27, 2025
- Individual RAUM · $22.3M to $21.7MOct 31, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $12.5M to $1.6MOct 31, 2024 to Feb 27, 2025
- RAUM · $106M to $105MOct 31, 2024 to Feb 27, 2025
Signals
2 dated events
- O••• F•••••••• L•• filed its initial SEC registration (Form ADV)Oct 31, 2024 · First SEC registration · fact
- C•••••• D•••• C•••• left O••• F•••••••• L•• for C•••••• S••••• • C••• I••• (registered 2024-04-26)Jan 31, 2024 · Advisor changed firm · 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
- 608-467-4333reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/omni-financial-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- YOURO•••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 608-467-4333reportedpublic record, Form ADV, Jan 9, 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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026