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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

H••••••• O•• W••••• A•••••••

Independent wealth managerSanta Rosa Beach, FloridaCRD 323925SEC 801-126940websiteIAPD
Legal name H••••••• O•• W••••• A••••••• L••
Latest filing Feb 25, 2026
First filing on the tape Oct 25, 2022 · 15 filings
SEC status approved since Nov 28, 2022
RAUM
$347M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$347M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$69.5M
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$347M as of Feb 25, 2026
Jan 11, 2023$0 then
HNW client RAUM$272M as of Feb 25, 2026
Mar 5, 2024$149M then
State-registered IARs (5.B.3)4 as of Feb 25, 2026
Jan 11, 20235 then
Employees (5.A)11 as of Feb 25, 2026
Jan 11, 20235 then
Private funds4 as of Feb 25, 2026
Apr 15, 20251 then
RAUM +20% over the last fiscal yearIARs 5 to 4
Practice profile
derived from the filing of Feb 25, 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
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
  • RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
RAUM per advisor
$69.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
48derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.3MderivedHNW RAUM over HNW clients
Average account
$501,281derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.2derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.7%derived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$272M78%
  • Individuals$75.4M22%
  • Corporations and businesses$129,2800.0%
Individual clients
177reported
HNW clients
63reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
693reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
S•••• G•••• B•••••••••Rogers, ArApr 4, 202317 y1
M•••• G•••••Santa Rosa Beach, FlNov 11, 202422 y2
S••• A••• M••••Santa Rosa Beach, Fl Oct 7, 202510 y0
C•••• R••••• L•••••••Rogers, ArJan 2, 202610 y1
R••• M•••••• M••••••Rogers, Ar Sep 1, 202610 y0
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G•••••• M•••• · Cco And Managing Membercontrol
      since 10/2022 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Rogers, Ar430
    Santa Rosa Beach, Fl · principal320
    Offices
    Schedule D 1.F, the 25 largest
    • Rogers, AR3 employees
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • wealth RIA private fund surgeCombination · filing Feb 25, 2026
      a wealth manager (private-client share at least 50 percent) whose private fund count grew by three or more and 50 percent or more. RAUM $289,910,705 to $347,388,042, advisors 5 to 4, private clients 236 to 240, offices 1 to 1 (2025-04-15 to 2026-02-25)
      peers: independent wealth managers, $100M to $500M (5,676)
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 604 to 693
      Oct 16, 2025 to Feb 25, 2026
    • Advisory employees · 4 to 5
      Oct 16, 2025 to Feb 25, 2026
    • Corporate clients · 2 to 1
      Oct 16, 2025 to Feb 25, 2026
    • HNW clients · 67 to 63
      Oct 16, 2025 to Feb 25, 2026
    • Individual clients · 169 to 177
      Oct 16, 2025 to Feb 25, 2026
    • Employees · 5 to 11
      Oct 16, 2025 to Feb 25, 2026
    • Private funds · 2 to 4
      Oct 16, 2025 to Feb 25, 2026
    • Discretionary RAUM · $290M to $347M
      Oct 16, 2025 to Feb 25, 2026
    • HNW RAUM · $236M to $272M
      Oct 16, 2025 to Feb 25, 2026
    • Individual RAUM · $53.9M to $75.4M
      Oct 16, 2025 to Feb 25, 2026
    • RAUM · $290M to $347M
      Oct 16, 2025 to Feb 25, 2026
    • Advisory employees · 5 to 4
      Aug 19, 2025 to Oct 16, 2025
    • State-registered IARs · 5 to 4
      Aug 19, 2025 to Oct 16, 2025
    • Private funds · 1 to 2
      Aug 19, 2025 to Oct 16, 2025
    • Financial planning clients · 1-10 to 1-10
      Feb 28, 2025 to Apr 15, 2025
    • Private funds · unset to 1
      Feb 28, 2025 to Apr 15, 2025
    • Accounts · 489 to 604
      Nov 11, 2024 to Feb 28, 2025
    • Charity clients · 1.0 to unset
      Nov 11, 2024 to Feb 28, 2025
    • HNW clients · 40 to 67
      Nov 11, 2024 to Feb 28, 2025
    • Individual clients · 217 to 169
      Nov 11, 2024 to Feb 28, 2025
    • Financial planning clients · 0 to 1-10
      Nov 11, 2024 to Feb 28, 2025
    • Discretionary RAUM · $178M to $290M
      Nov 11, 2024 to Feb 28, 2025
    • HNW RAUM · $149M to $236M
      Nov 11, 2024 to Feb 28, 2025
    • Individual RAUM · $28.8M to $53.9M
      Nov 11, 2024 to Feb 28, 2025
    • RAUM · $178M to $290M
      Nov 11, 2024 to Feb 28, 2025
    • Accounts · 464 to 489
      May 31, 2023 to Mar 5, 2024
    • Charity clients · unset to 1.0
      May 31, 2023 to Mar 5, 2024
    • Corporate clients · 1 to 2
      May 31, 2023 to Mar 5, 2024
    • HNW clients · 52 to 40
      May 31, 2023 to Mar 5, 2024
    • Individual clients · 155 to 217
      May 31, 2023 to Mar 5, 2024
    • Discretionary RAUM · $170M to $178M
      May 31, 2023 to Mar 5, 2024
    • HNW RAUM · $123M to $149M
      May 31, 2023 to Mar 5, 2024
    • Individual RAUM · $46.5M to $28.8M
      May 31, 2023 to Mar 5, 2024
    • RAUM · $170M to $178M
      May 31, 2023 to Mar 5, 2024
    • Accounts · 0 to 464
      Mar 31, 2023 to May 31, 2023
    • Corporate clients · unset to 1.0
      Mar 31, 2023 to May 31, 2023
    • HNW clients · unset to 52.0
      Mar 31, 2023 to May 31, 2023
    • Individual clients · unset to 155.0
      Mar 31, 2023 to May 31, 2023
    • Discretionary RAUM · $0 to $170M
      Mar 31, 2023 to May 31, 2023
    • HNW RAUM · unset to 123473293.0
      Mar 31, 2023 to May 31, 2023
    Signals
    4 dated events
    • H••••••• O•• W••••• A••••••• reported RAUM $289.9M, up 63% from $177.8M (2024-11-11 to 2025-02-28)
      Feb 28, 2025 · RAUM change · derived
    • M•••••• T••••• F•••••• left H••••••• O•• W••••• A••••••• for L•• F•••••••• L•• (registered 2025-01-17)
      Jan 6, 2025 · Advisor changed firm · fact
    • 4 advisors left S••••• M••••••••• (North Little Rock, AR) for H••••••• O•• W••••• A••••••• on the same day
      May 1, 2023 · Team lift-out · derived
    • H••••••• O•• W••••• A••••••• filed its initial SEC registration (Form ADV)
      Oct 25, 2022 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    How to reach
    public business contact points only, each with its source
    Business phone
    479-230-3113reportedpublished by the firm, firm site, Sep 15, 2026
    Firm profile
    linkedin.com/company/35658750reportedpublic record, Form ADV, Sep 18, 2026
    Website
    heritageoakwealthadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    (479) 230-3113reportedpublic record, Form ADV, Feb 25, 2026
    Team page
    heritageoakwealthadvisors.com/meet-the-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
    $69.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026