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
R••••••• A•••• M••••••••• L••
Latest filing Sep 1, 2026
First filing on the tape Sep 29, 2025 · 7 filings
SEC status approved since Sep 23, 2025
RAUM
$112M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$112M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$12.4M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$112M as of Jun 18, 2026
Sep 29, 2025$0 then
HNW client RAUM$11.5M as of Jun 18, 2026
Feb 4, 2026$8.2M then
State-registered IARs (5.B.3)6 as of Jun 18, 2026
Sep 29, 20256 then
Employees (5.A)7 as of Jun 18, 2026
Sep 29, 20257 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 1, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $12.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $109,100derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$100M90%
- High-net-worth individuals$11.5M10%
- Corporations and businesses$3830.0%
- Individual clients
- 734reported
- HNW clients
- 8reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,026reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••• A•••••• W••••••••• | Grand Ledge, Mi | Sep 30, 2025 | 11 y | 0 |
| C••• R••••• | Dewitt, Mi | Oct 14, 2025 | 12 y | 0 |
| I•• A• E••••• | Grand Ledge, Mi | Oct 17, 2025 | 11 y | 1 |
| J••••• K•••• J•••••• | Grand Ledge, Mi | Oct 17, 2025 | 12 y | 1 |
| R••• J••• B•••••• | Grand Ledge, Mi | Oct 17, 2025 | 20 y | 2 |
| J••••• R••••• | Grand Ledge, Mi | Oct 20, 2025 | 15 y | 1 |
| A••• N••• M•••••• | Cumming, Ga | Feb 4, 2026 | 14 y | 0 |
| J••••• J••••••• S•••• | Louisville, Ky | Jun 5, 2026 | 11 y | 0 |
| B••• D•••• K•••• | Grand Ledge, Mi | Jun 29, 2026 | 10 y | 0 |
Advisor movement
0 left, 4 joined in 12 months
net +4 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
- J••••• R••••• from G••••••• W••••• M•••••••••Oct 20, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- R••• J••• B•••••• from G••••••• W••••• M•••••••••Oct 17, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••• K•••• J•••••• from G••••••• W••••• M•••••••••Oct 17, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- I•• A• E••••• from G••••••• W••••• M•••••••••Oct 17, 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 G••••••• W••••• M•••••••••Oct 24, 2025 · Arden Hills, Mn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Grand Ledge, Mi | 9 | 9 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Jun 18, 2026 to Sep 1, 2026
- HQ city · to unsetJun 18, 2026 to Sep 1, 2026
- HQ state · to unsetJun 18, 2026 to Sep 1, 2026
- Related adviser · false to unsetJun 18, 2026 to Sep 1, 2026
- Related bank · false to unsetJun 18, 2026 to Sep 1, 2026
- Related broker-dealer · false to unsetJun 18, 2026 to Sep 1, 2026
- Related insurance company · false to unsetJun 18, 2026 to Sep 1, 2026
- Succession · false to unsetJun 18, 2026 to Sep 1, 2026
- Accounts · 947 to 1,026Feb 4, 2026 to Mar 31, 2026
- HNW clients · 5 to 8Feb 4, 2026 to Mar 31, 2026
- Individual clients · 671 to 734Feb 4, 2026 to Mar 31, 2026
- Discretionary RAUM · $106M to $112MFeb 4, 2026 to Mar 31, 2026
- HNW RAUM · $8.2M to $11.5MFeb 4, 2026 to Mar 31, 2026
- Individual RAUM · $97.4M to $100MFeb 4, 2026 to Mar 31, 2026
- RAUM · $106M to $112MFeb 4, 2026 to Mar 31, 2026
- Accounts · 0 to 947Sep 29, 2025 to Feb 4, 2026
- HNW clients · unset to 5.0Sep 29, 2025 to Feb 4, 2026
- Individual clients · unset to 671.0Sep 29, 2025 to Feb 4, 2026
- Discretionary RAUM · $0 to $106MSep 29, 2025 to Feb 4, 2026
- HNW RAUM · unset to 8240246.0Sep 29, 2025 to Feb 4, 2026
- Individual RAUM · unset to 97402811.0Sep 29, 2025 to Feb 4, 2026
- RAUM · $0 to $106MSep 29, 2025 to Feb 4, 2026
Signals
1 dated events
- 3 advisors left G••••••• W••••• M••••••••• (Arden Hills, MN) for R••••••• A•••• M••••••••• L•• on the same dayOct 24, 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
- info@rightoakassetmanagement.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- druss@rightoakassetmanagement.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 616-970-7275reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 517-306-4884reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 517-643-1879reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- rightoakassetmanagement.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 517-306-4884reportedpublic record, Form ADV, Sep 1, 2026
- Contact form
- rightoakassetmanagement.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- rightoakassetmanagement.com/meet-the-teamreportedpublished 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
- $12.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026