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
Asset One Wealth Management, LLC
Latest filing Sep 11, 2026
First filing on the tape Jun 30, 2025 · 9 filings
SEC status approved since Jun 6, 2025
RAUM
$983M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$941M individuals and HNW
Advisors
18
registered through the firm on IAPD
RAUM per advisor
$54.6M
derived; firm RAUM over IAPD count
Employees
19
9 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$983M as of Aug 28, 2026
Jun 30, 2025$0 then
HNW client RAUM$656M as of Aug 28, 2026
Jun 30, 2025$0 then
State-registered IARs (5.B.3)13 as of Aug 28, 2026
Jun 30, 20253 then
Employees (5.A)19 as of Aug 28, 2026
Jun 30, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 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
- RAUM per advisor
- $54.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $321,509derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 2.0derived9 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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$656M67%
- Individuals$284M29%
- Corporations and businesses$40.0M4.1%
- Charitable organizations$1.6M0.2%
- Individual clients
- 888reported
- HNW clients
- 282reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 3,056reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
18 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert Thomas PhillipsCertified Financial Planner | Bellevue, Wa | Jun 30, 2025 | 19 y | 2 |
| Austin Lawrence Velarde | Bellevue, Wa | Jun 30, 2025 | 14 y | 2 |
| Don J PetricicCertified Financial Planner | Bellevue, Wa | Jun 30, 2025 | 25 y | 2 |
| Denise Marie Petersen | Philomath, Or | Sep 24, 2025 | 36 y | 3 |
| James P FranklinCertified Financial Planner | Draper, Ut | Nov 4, 2025 | 10 y | 1 |
| James Thomas FerrinCertified Financial Planner | Draper, Ut | Nov 12, 2025 | 13 y | 3 |
| Leah N Cook | Findlay, Oh | Dec 15, 2025 | 14 y | 1 |
| Susanna Fraser | Bellevue, Wa | Dec 23, 2025 | 11 y | 0 |
| Rodney Michael Kramp | Findlay, Oh | Dec 26, 2025 | 25 y | 4 |
| Nicole Renee Wagner | Findlay, Oh | Dec 26, 2025 | 12 y | 1 |
| Titus David AllenCertified Financial Planner | Findlay, Oh | Dec 26, 2025 | 19 y | 5 |
| Marcy Rae Bibler | Findlay, Oh | Dec 26, 2025 | 16 y | 3 |
| James Andrew FerrinCertified Financial Planner | Draper, Ut | Feb 10, 2026 | 44 y | 3 |
| Bradley I Ward | Naples, Fl | Mar 23, 2026 | 12 y | 4 |
| Brian Lewis YatesCertified Financial Planner | Bridgeville, Pa | Apr 3, 2026 | 33 y | 3 |
| Rafael J. Yurk | Bridgeville, Pa | Apr 3, 2026 | 11 y | 1 |
| Stephen George BierkerChartered Financial Analyst | Bridgeville, Pa | Apr 3, 2026 | 22 y | 2 |
| Thomas Alan Hoffman | Lake Forest, Ca | Apr 22, 2026 | 45 y | 4 |
Advisor movement
0 left, 14 joined in 12 months
net +14 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
- Thomas Alan Hoffman from Rba Wealth Management, LLCApr 22, 2026 · RIA to RIA
- Brian Lewis Yates from Pittsburgh Financial Planners, Inc.Apr 3, 2026 · RIA to RIA
- Stephen George Bierker from Pittsburgh Financial Planners, Inc.Apr 3, 2026 · RIA to RIA
- Rafael J. Yurk from Pittsburgh Financial Planners, Inc.Apr 3, 2026 · RIA to RIA
- Bradley I Ward from Lifeworks Advisors, LLCMar 23, 2026 · RIA to RIA
- James Andrew Ferrin from LPL Financial LLCFeb 10, 2026 · Affiliated broker-dealer or bank to independent RIA
- Marcy Rae Bibler from Cetera Investment Advisers LLCDec 26, 2025 · Affiliated broker-dealer or bank to independent RIA
- Titus David Allen from Cetera Investment Advisers LLCDec 26, 2025 · Affiliated broker-dealer or bank to independent RIA
- Rodney Michael Kramp from Cetera Investment Advisers LLCDec 26, 2025 · Affiliated broker-dealer or bank to independent RIA
- Nicole Renee Wagner from Cetera Investment Advisers LLCDec 26, 2025 · Affiliated broker-dealer or bank to independent RIA
- Leah N Cook from Cetera Investment Advisers LLCDec 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- James Thomas Ferrin from LPL Financial LLCNov 12, 2025 · Affiliated broker-dealer or bank to independent RIA
- James P Franklin from LPL Financial LLCNov 4, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- Denise Marie Petersen from Nwf Advisory Services IncSep 24, 2025 · RIA to a newly registered adviser
- Don J Petricic from LPL Financial LLCJun 30, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Pittsburgh Financial Planners, Inc.Mar 17, 2026 · Bridgeville, Pa · Firm absorbed
- 5 joined from Cetera Investment Advisers LLCNov 18, 2025 · Findlay, Oh
- 3 joined from LPL Financial LLCJul 7, 2025 · Bellevue, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J Don Petricic · Managing Partnercontrolsince 02/2026 · owns less than 5%
- Thomas Robert Phillips · Managing Partnercontrolsince 02/2026 · owns less than 5%
- Lawrence Austin Velarde · Managing Partnercontrolsince 02/2026 · owns less than 5%
- Leeway Richard Chen · Chief Compliance Officersince 04/2025 · owns less than 5%
Entity owners
- Aowm Ventures LLC · Managing Memberdirect · 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 |
|---|---|---|---|---|---|
| Findlay, Oh | 5 | 5 | 0 | ||
| Bellevue, Wa · principal | 4 | 1 | 0 | ||
| Bridgeville, Pa | 3 | 3 | 0 | ||
| Draper, Ut | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Aug 28, 2026 to Sep 11, 2026
- Other offices · 6 to 8Aug 28, 2026 to Sep 11, 2026
- Succession · false to unsetAug 28, 2026 to Sep 11, 2026
- Other offices · 5 to 6Apr 10, 2026 to Jul 9, 2026
- Other offices · 4 to 5Mar 26, 2026 to Apr 10, 2026
- Accounts · 1,754 to 3,056Jan 13, 2026 to Mar 26, 2026
- Advisory employees · 7 to 9Jan 13, 2026 to Mar 26, 2026
- Advisory activities · 4 to 2Jan 13, 2026 to Mar 26, 2026
- Corporate clients · 0 to 1Jan 13, 2026 to Mar 26, 2026
- HNW clients · 119 to 282Jan 13, 2026 to Mar 26, 2026
- Individual clients · 471 to 888Jan 13, 2026 to Mar 26, 2026
- Employees · 13 to 19Jan 13, 2026 to Mar 26, 2026
- State-registered IARs · 7 to 13Jan 13, 2026 to Mar 26, 2026
- Other offices · 3 to 4Jan 13, 2026 to Mar 26, 2026
- Discretionary RAUM · $436M to $983MJan 13, 2026 to Mar 26, 2026
- HNW RAUM · $263M to $656MJan 13, 2026 to Mar 26, 2026
- Individual RAUM · $171M to $284MJan 13, 2026 to Mar 26, 2026
- RAUM · $436M to $983MJan 13, 2026 to Mar 26, 2026
- Other offices · 2 to 3Nov 12, 2025 to Jan 13, 2026
- Accounts · 0 to 1,754Jul 2, 2025 to Nov 12, 2025
- Advisory employees · 3 to 7Jul 2, 2025 to Nov 12, 2025
- BD registered reps · 3 to 6Jul 2, 2025 to Nov 12, 2025
- Charity clients · 0 to 2Jul 2, 2025 to Nov 12, 2025
- HNW clients · 0 to 119Jul 2, 2025 to Nov 12, 2025
- Individual clients · 0 to 471Jul 2, 2025 to Nov 12, 2025
- Employees · 5 to 13Jul 2, 2025 to Nov 12, 2025
- Financial planning clients · 0 to 0Jul 2, 2025 to Nov 12, 2025
- State-registered IARs · 3 to 7Jul 2, 2025 to Nov 12, 2025
- Other offices · 0 to 2Jul 2, 2025 to Nov 12, 2025
- Discretionary RAUM · $0 to $436MJul 2, 2025 to Nov 12, 2025
- HNW RAUM · $0 to $263MJul 2, 2025 to Nov 12, 2025
- Individual RAUM · $0 to $171MJul 2, 2025 to Nov 12, 2025
- RAUM · $0 to $436MJul 2, 2025 to Nov 12, 2025
Signals
4 dated events
- Asset One Wealth Management, Llc reported RAUM $982.5M, up 126% from $435.6M (2026-01-13 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- Pittsburgh Financial Planners, Inc.'s advisors moved to Asset One Wealth Management, LLC (Bridgeville, PA): 3 of 3 registered, on the same dayMar 17, 2026 · Firm absorbed (people side) · derived
- 5 advisors left Cetera Investment Advisers LLC (Findlay, OH) for Asset One Wealth Management, LLC within 7 daysNov 18, 2025 · Team lift-out · derived
- 3 advisors left LPL Financial LLC (Bellevue, WA) for Asset One Wealth Management, LLC on the same dayJul 7, 2025 · Team lift-out · 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
- Business email
- clientservices@assetone.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 425-504-8200reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 510-639-9080reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 801-756-2220reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- assetone.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (425) 504-8200reportedpublic record, Form ADV, Sep 11, 2026
- Contact form
- assetone.com/contactreportedpublished by the firm, firm site, Sep 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
- $54.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026