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

Oasis Advisors

Independent wealth managerForest City, IowaCRD 335555SEC 801-132394websiteIAPD
Legal name Oasis Advisors, LLC
Latest filing Jun 17, 2026
First filing on the tape Mar 12, 2025 · 6 filings
SEC status approved since Apr 11, 2025
RAUM
$278M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$270M individuals and HNW
Advisors
22
registered through the firm on IAPD
RAUM per advisor
$12.6M
derived; firm RAUM over IAPD count
Employees
27
22 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$278M as of Jun 17, 2026
Mar 12, 2025$0 then
HNW client RAUM$4.6M as of Jun 17, 2026
Oct 22, 2025$45.0M then
State-registered IARs (5.B.3)22 as of Jun 17, 2026
Mar 12, 202511 then
Employees (5.A)27 as of Jun 17, 2026
Mar 12, 202513 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 11 to 22offices 3 to 8
Practice profile
derived from the filing of Jun 17, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
RAUM per advisor
$12.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
227derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$171,296derivedHNW RAUM over HNW clients
Average account
$54,966derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
2.4derived9 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+91%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Financial planning clients
5,000reportedItem 5.H
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
  • Individuals$265M95%
  • High-net-worth individuals$4.6M1.7%
  • Corporations and businesses$4.3M1.6%
  • Pension and profit-sharing plans$3.7M1.3%
Individual clients
4,960reported
HNW clients
27reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
5,052reported
Financial planning clients
5,000reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
20 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Janelle Johnson ThompsonForest City, Ia May 23, 202536 y2
Brian Robert EckertLynchburg, Va May 27, 202520 y2
William Mitchell ZerilloLititz, Pa May 27, 202520 y2
Timothy Andrew ThompsonForest City, Ia May 28, 202536 y2
Ryan Biesinger WallWashington, Ut May 28, 202512 y2
Rukmini SunkaraForest City, Ia May 29, 202511 y1
William Carlisle BoneAthens, Tx May 29, 202551 y2
Narsing Venkat KommireddiMount Juliet, Tn May 29, 202528 y2
Klaine Michael DoucetteGilbert, Az May 29, 202533 y2
Dustin Lee WrightBartlesville, Ok May 29, 202517 y1
Korey John DoucetteFlagstaff, Az May 29, 202533 y2
Karen L DinsWausau, Wi May 29, 202532 y2
Paul Richard DebuhrWausau, Wi May 30, 202521 y2
Larry Alexander CelayaForest City, Ia May 30, 202533 y2
Seth Thomas KelleyMount Juliet, Tn Jun 3, 202526 y0
Karter Michael DoucetteGilbert, Az Jun 4, 202512 y1
Gregory Kent DiamondForest City, IaJun 4, 202519 y2
Marcus Joel WhiteForest City, Ia Jun 10, 202511 y2
Johannes Jacobus ShawForest City, IaJun 10, 202610 y0
Andrew Eddy KernForest City, Ia Aug 4, 202619 y2
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 9.1% of current headcount2 left over 36 months
Left, latest
Joined, 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
    • Matthew Bryan Dewhurst · Presidentcontrol
      since 02/2025 · owns less than 5%
    • Johnson Janelle Thompson · Chief People Officercontrol
      since 02/2025 · owns less than 5%
    • Jesse Taylor Thompson · Chief Investment Officercontrol
      since 02/2025 · owns less than 5%
    • Andrew Timothy Thompson · Ceocontrol
      since 02/2025 · owns less than 5%
    • David James May · Chief Compliance Officer
      since 01/2026 · owns less than 5%
    Entity owners
    • Oasis Capital Hold Co · Managing Member
      direct · owns 75% or more
    • Amglobe Partners, LLC · Consultant
      direct · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Forest City, Ia · principal2222
    Wausau, Wi500
    Gilbert, Az400
    Mount Juliet, Tn300
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    3 against comparable advisers; where to look, not conclusions
    • advisor count surgeChange between filings · filing Mar 23, 2026
      advisory representatives (Item 5.B.3) moved from 11.0 to 21.0 (+91.0%) between the annual amendments of 2025-03-12 and 2026-03-23; the peer median change was 0.0% (965 comparable advisers, 100.0th percentile of changes)
      peers: independent wealth managers, $100M to $500M (965) · 100% percentile
    • employee count surgeChange between filings · filing Mar 23, 2026
      employees (Item 5.A) moved from 13.0 to 26.0 (+100.0%) between the annual amendments of 2025-03-12 and 2026-03-23; the peer median change was 0.0% (507 comparable advisers, 99.0th percentile of changes)
      peers: independent wealth managers, $100M to $500M (507) · 99% percentile
    • office count surgeChange between filings · filing Mar 23, 2026
      offices other than the principal office (Item 1.F.5) moved from 3.0 to 8.0 (+167.0%) between the annual amendments of 2025-03-12 and 2026-03-23; the peer median change was 0.0% (450 comparable advisers, 100.0th percentile of changes)
      peers: independent wealth managers, $100M to $500M (450) · 100% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Advisory employees · 21 to 22
      Mar 23, 2026 to Jun 17, 2026
    • Employees · 26 to 27
      Mar 23, 2026 to Jun 17, 2026
    • State-registered IARs · 21 to 22
      Mar 23, 2026 to Jun 17, 2026
    • Accounts · 1,867 to 5,052
      Oct 22, 2025 to Mar 23, 2026
    • Corporate clients · 9 to 63
      Oct 22, 2025 to Mar 23, 2026
    • HNW clients · 26 to 27
      Oct 22, 2025 to Mar 23, 2026
    • Individual clients · 1,831 to 4,960
      Oct 22, 2025 to Mar 23, 2026
    • Financial planning clients · 0 to More than 500
      Oct 22, 2025 to Mar 23, 2026
    • Discretionary RAUM · $239M to $278M
      Oct 22, 2025 to Mar 23, 2026
    • HNW RAUM · $45.0M to $4.6M
      Oct 22, 2025 to Mar 23, 2026
    • Individual RAUM · $190M to $265M
      Oct 22, 2025 to Mar 23, 2026
    • Pension RAUM · $348,279 to $3.7M
      Oct 22, 2025 to Mar 23, 2026
    • RAUM · $239M to $278M
      Oct 22, 2025 to Mar 23, 2026
    • Accounts · 0 to 1,867
      Jun 23, 2025 to Oct 22, 2025
    • Advisory employees · 22 to 21
      Jun 23, 2025 to Oct 22, 2025
    • Charity clients · unset to 0.0
      Jun 23, 2025 to Oct 22, 2025
    • Corporate clients · unset to 9.0
      Jun 23, 2025 to Oct 22, 2025
    • HNW clients · unset to 26.0
      Jun 23, 2025 to Oct 22, 2025
    • Individual clients · unset to 1831.0
      Jun 23, 2025 to Oct 22, 2025
    • Pension plan clients · unset to 1.0
      Jun 23, 2025 to Oct 22, 2025
    • Pooled vehicle clients · unset to 0.0
      Jun 23, 2025 to Oct 22, 2025
    • Employees · 27 to 26
      Jun 23, 2025 to Oct 22, 2025
    • Financial planning clients · 0 to 0
      Jun 23, 2025 to Oct 22, 2025
    • State-registered IARs · 22 to 21
      Jun 23, 2025 to Oct 22, 2025
    • Discretionary RAUM · $0 to $239M
      Jun 23, 2025 to Oct 22, 2025
    • HNW RAUM · unset to 44962911.0
      Jun 23, 2025 to Oct 22, 2025
    • Individual RAUM · unset to 189944431.0
      Jun 23, 2025 to Oct 22, 2025
    • Pension RAUM · unset to 348279.0
      Jun 23, 2025 to Oct 22, 2025
    • Pooled vehicle RAUM · unset to 0.0
      Jun 23, 2025 to Oct 22, 2025
    • RAUM · $0 to $239M
      Jun 23, 2025 to Oct 22, 2025
    • Advisory employees · 11 to 22
      May 22, 2025 to Jun 23, 2025
    • BD registered reps · 0 to 6
      May 22, 2025 to Jun 23, 2025
    • Employees · 13 to 27
      May 22, 2025 to Jun 23, 2025
    • State-registered IARs · 11 to 22
      May 22, 2025 to Jun 23, 2025
    • Other offices · 3 to 8
      May 22, 2025 to Jun 23, 2025
    Signals
    7 dated events
    • Michael D Mcdonald left Oasis Advisors for Cetera Investment Advisers Llc (registered 2026-02-27)
      Mar 25, 2026 · Advisor changed firm · fact
    • Julio Rodriguez left Oasis Advisors for Lpl Financial Llc (registered 2025-10-07)
      Oct 13, 2025 · Advisor changed firm · fact
    • 8 advisors left Terra Wealth (High Point, NC) for Oasis Advisors on the same day
      Aug 27, 2025 · Team lift-out · derived
    • 2 advisors left Terra Wealth (MT Juliet, TN) for Oasis Advisors on the same day
      Aug 27, 2025 · Team lift-out · derived
    • 3 advisors left Terra Wealth (Gilbert, AZ) for Oasis Advisors on the same day
      Aug 27, 2025 · Team lift-out · derived
    • Oasis Advisors reported 22 state-registered advisory representatives, up from 11 (2025-05-22 to 2025-06-23)
      Jun 23, 2025 · Advisor headcount change · derived
    • Oasis Advisors reported 8 offices beyond its principal office, up from 3 (2025-05-22 to 2025-06-23)
      Jun 23, 2025 · Office count change · derived
    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/107855978/admin/dashboardreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    641-251-6001reportedpublic record, Form ADV, Jun 17, 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
    $12.6Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026