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.

Former SEC-registered adviser

Woodstock Financial Group, Inc.

Former SEC-registered adviserWoodstock, GeorgiaCRD 38095SEC 801-65881IAPD
Latest filing Nov 9, 2018
First filing on the tape Mar 29, 2012 · 10 filings
RAUM
$246M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$238M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
60
29 advisory (5.B.1)
Offices
26
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$246M as of Mar 30, 2018
Mar 29, 2012$143M then
HNW client RAUM: $105M
State-registered IARs (5.B.3)29 as of Mar 30, 2018
Mar 29, 20120 then
Employees (5.A)60 as of Mar 30, 2018
Mar 26, 201327 then
Private funds: no history
RAUM +17% over the last fiscal year+6.1% a year over threeIARs 26 to 29
Practice profile
derived from the filing of Nov 9, 2018; every figure names its basis
RAUM per advisor
$8.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
31derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$132,291derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.1derivedItem 5.A over advisors
Advisors per office
1.1derived27 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+12%derivedItem 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, selection of other advisersreportedItem 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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$132M54%
  • High-net-worth individuals$105M43%
  • Corporations and businesses$5.4M2.2%
  • Pension and profit-sharing plans$2.7M1.1%
Individual clients
865reported
HNW clients
43reported
Pension plan clients
11reported
Charitable clients
n/areported
Accounts
1,857reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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
    • William Jasper III Raike · President / Ceocontrol
      since 03/1995 · owns less than 5%
    • Anthony Douglas Branca · Chief Compliance Officer Of Bd
      since 06/2009 · owns less than 5%
    • Melissa Lynn Whitley · Chief Financial Officer / Finop
      since 07/2003 · owns less than 5%
    Entity owners
    • Woodstock Holdings Inc · Holding Company
      direct · owns 75% or more · public reporting company
    • Woodstock Holdings Inc. · Active
      indirect · owns 75% or more of Woodstock Financial Group, Inc. · public reporting company
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Boca Raton, FL2 employees
    • Mountainside, NJ2 employees
    • Milledgeville, GA2 employees
    • , 1 employees
    • , 1 employees
    • Madison, NJ1 employees
    • , 1 employees
    • , 1 employees
    • , 1 employees
    • Atlanta, GA1 employees
    • Kingston, PA1 employees
    • , 1 employees
    • , 1 employees
    • Hawthorne, NY1 employees
    • , 1 employees
    • , 1 employees
    • , 1 employees
    • Cypress, TX1 employees
    • Annapolis, MD1 employees
    • Wall Township, NJ1 employees
    • , 1 employees
    • , 1 employees
    • , 1 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,694 to 1,857
      Apr 28, 2017 to Mar 30, 2018
    • Advisory employees · 26 to 29
      Apr 28, 2017 to Mar 30, 2018
    • BD registered reps · 60 to 54
      Apr 28, 2017 to Mar 30, 2018
    • Corporate clients · unset to 15.0
      Apr 28, 2017 to Mar 30, 2018
    • HNW clients · unset to 43.0
      Apr 28, 2017 to Mar 30, 2018
    • Individual clients · unset to 865.0
      Apr 28, 2017 to Mar 30, 2018
    • Pension plan clients · unset to 11.0
      Apr 28, 2017 to Mar 30, 2018
    • Employees · 62 to 60
      Apr 28, 2017 to Mar 30, 2018
    • Financial planning clients · 1-10 to 0
      Apr 28, 2017 to Mar 30, 2018
    • State-registered IARs · 26 to 29
      Apr 28, 2017 to Mar 30, 2018
    • Other offices · unset to 26.0
      Apr 28, 2017 to Mar 30, 2018
    • Discretionary RAUM · $211M to $246M
      Apr 28, 2017 to Mar 30, 2018
    • HNW RAUM · unset to 105119914.0
      Apr 28, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 132383958.0
      Apr 28, 2017 to Mar 30, 2018
    • Pension RAUM · unset to 2731329.0
      Apr 28, 2017 to Mar 30, 2018
    • RAUM · $211M to $246M
      Apr 28, 2017 to Mar 30, 2018
    • Related adviser · false to true
      Apr 28, 2017 to Mar 30, 2018
    • Accounts · 1,399 to 1,694
      Mar 28, 2016 to Mar 30, 2017
    • Advisory employees · 23 to 26
      Mar 28, 2016 to Mar 30, 2017
    • BD registered reps · 21 to 60
      Mar 28, 2016 to Mar 30, 2017
    • Employees · 23 to 62
      Mar 28, 2016 to Mar 30, 2017
    • State-registered IARs · 22 to 26
      Mar 28, 2016 to Mar 30, 2017
    • Discretionary RAUM · $200M to $211M
      Mar 28, 2016 to Mar 30, 2017
    • RAUM · $200M to $211M
      Mar 28, 2016 to Mar 30, 2017
    • Related broker-dealer · true to false
      Mar 28, 2016 to Mar 30, 2017
    • Accounts · 1,273 to 1,399
      Feb 29, 2016 to Mar 28, 2016
    • Advisory employees · 24 to 23
      Feb 29, 2016 to Mar 28, 2016
    • BD registered reps · 23 to 21
      Feb 29, 2016 to Mar 28, 2016
    • Employees · 24 to 23
      Feb 29, 2016 to Mar 28, 2016
    • State-registered IARs · 24 to 22
      Feb 29, 2016 to Mar 28, 2016
    • Discretionary RAUM · $205M to $200M
      Feb 29, 2016 to Mar 28, 2016
    • RAUM · $205M to $200M
      Feb 29, 2016 to Mar 28, 2016
    • Accounts · 1,215 to 1,273
      Mar 24, 2014 to Mar 23, 2015
    • Advisory employees · 25 to 24
      Mar 24, 2014 to Mar 23, 2015
    • BD registered reps · 24 to 23
      Mar 24, 2014 to Mar 23, 2015
    • Employees · 26 to 24
      Mar 24, 2014 to Mar 23, 2015
    • State-registered IARs · 23 to 24
      Mar 24, 2014 to Mar 23, 2015
    • Discretionary RAUM · $193M to $205M
      Mar 24, 2014 to Mar 23, 2015
    • RAUM · $193M to $205M
      Mar 24, 2014 to Mar 23, 2015
    • Accounts · 1,206 to 1,215
      Mar 26, 2013 to Mar 24, 2014
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026