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
Silver Oak Securities, Inc.
Legal name Silver Oak Securities Incorporated
Latest filing Sep 9, 2026
First filing on the tape Nov 17, 2011 · 100 filings
SEC status approved since Apr 16, 2010
RAUM
$2.4B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$2.4B individuals and HNW
Advisors
117
registered through the firm on IAPD
RAUM per advisor
$20.9M
derived; firm RAUM over IAPD count
Employees
103
103 advisory (5.B.1)
Offices
85
beyond the principal office
Private funds
0
reported on Schedule D
History
100 filings and snapshots on the tape
RAUM$2.4B as of Jul 21, 2026
Apr 25, 2012$92.0M then
HNW client RAUM$954M as of Jul 21, 2026
Mar 31, 2019$55.0M then
State-registered IARs (5.B.3)103 as of Jul 21, 2026
Apr 25, 20120 then
Employees (5.A)103 as of Jul 21, 2026
Feb 1, 201317 then
Private funds: no history
RAUM +21% over the last fiscal year+31% a year over threeIARs 106 to 103offices 82 to 85
Practice profile
derived from the filing of Sep 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $20.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $162,216derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 1.4derived86 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- -2.8%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.5%derived
- 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 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)
- 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$1.5B59%
- High-net-worth individuals$954M39%
- Corporations and businesses$37.2M1.5%
- Charitable organizations$3.4M0.1%
- Individual clients
- 8,183reported
- HNW clients
- 448reported
- Pension plan clients
- 0reported
- Charitable clients
- 23reported
- Accounts
- 15,093reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=95.0derived
Advisors registered through the firm
108 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| William Elliston Hopkins | Creston, Ia | Feb 13, 2006 | 31 y | 0 |
| Robert Daniel VoegeliChartered Financial Consultant | Fulton, Ky | Feb 28, 2007 | 50 y | 0 |
| John E Banko | Parker, Co | Nov 19, 2007 | 23 y | 4 |
| Charles Franklin Gray | Memphis, Tn | Mar 3, 2008 | 39 y | 2 |
| Charlotte W. Gaines | Jackson, Tn | Jul 25, 2008 | 25 y | 0 |
| Jamison Carl Edward Bowman | Memphis, Tn | Aug 8, 2008 | 57 y | 2 |
| Martin Lawrence Hearn | Memphis, Tn | Nov 24, 2009 | 32 y | 3 |
| Grafton Paul NewmanChartered Financial Consultant | Santa Rosa Beach, Fl | Jan 19, 2011 | 41 y | 0 |
| Charles Jefferson ChristianCertified Financial Planner | Madisonville, La | Feb 3, 2012 | 28 y | 2 |
| Dwight W. Kimber | Sayner, Wi | Aug 28, 2012 | 20 y | 3 |
| Zachary Scott Buckland | Jackson, Tn | Nov 15, 2012 | 14 y | 0 |
| Tiberiu Negulescu | Knoxville, Tn | Feb 5, 2013 | 25 y | 0 |
| David Howard Eblen | Jackson, Tn | May 24, 2013 | 29 y | 0 |
| Edwin Henry JaffeCertified Financial Planner | Memphis, Tn | Sep 25, 2013 | 36 y | 2 |
| William Carlson Nagy | Cincinnati, Oh | Apr 7, 2015 | 32 y | 2 |
| William Jeffrey Bingham | Kingsport, Tn | Jan 8, 2016 | 36 y | 1 |
| Jonathan Dexter Polson | Greenville, Sc | Jan 27, 2016 | 19 y | 8 |
| Ed Tiencken McmanusChartered Financial Consultant | Chattanooga, Tn | Oct 25, 2016 | 48 y | 6 |
| Ryan Louis PittsCertified Financial Planner | Florence, Ky | Jun 21, 2017 | 18 y | 1 |
| Andrew D Martin | Nashville, Tn | Nov 8, 2017 | 41 y | 5 |
| Marc Victor RosenblumChartered Financial Consultant | Warminster, Pa | Feb 16, 2018 | 37 y | 2 |
| Robert William Jaffe | Memphis, Tn | Jun 28, 2018 | 13 y | 1 |
| Grant Mitchell Schrock | Nappanee, In | Sep 25, 2018 | 23 y | 2 |
| Kevin Dennis Biven | Louiisville, Ky | Sep 25, 2018 | 44 y | 1 |
| Sean Tyler Biven | Louiisville, Ky | Sep 25, 2018 | 14 y | 1 |
| Michael Eugene Moffitt | Creston, Ia | Oct 3, 2018 | 42 y | 4 |
| Paul Raymond TingleyCertified Financial Planner | Martinsville, In | Oct 25, 2018 | 40 y | 2 |
| Scott Brooks Wicker | Louisville, Ky | Aug 27, 2019 | 38 y | 1 |
| Craig R CokerChartered Financial Consultant | Midway, Ky | Sep 16, 2019 | 20 y | 6 |
| Jerald Anthony Bennett | Sellersburg, In | Dec 15, 2019 | 33 y | 4 |
| Michael Lee JonesCertified Financial Planner, Chartered Financial Consultant | Louisville, Ky | Jan 2, 2020 | 37 y | 5 |
| Andrew Robert WallaceCertified Financial Planner | Sevierville, Tn | Jan 17, 2020 | 25 y | 2 |
| Erik Steffen Hoffman | Florence, Ky | Feb 24, 2020 | 19 y | 0 |
| Dennis Edward Holliman | Columbus, Ms | Mar 20, 2020 | 40 y | 4 |
| Richard Gregory Grucz | Allen Park, Mi | Aug 19, 2020 | 40 y | 4 |
| James Marion Garrison | Chapel Hill, Tn | Sep 16, 2020 | 28 y | 2 |
| James C Kreid | Peoria, Il | Nov 12, 2020 | 30 y | 1 |
| Adam Robert Koson | Knoxville, Tn | Feb 24, 2021 | 17 y | 2 |
| Thomas George Lockmund | Floyds Knob, In | Mar 13, 2021 | 29 y | 3 |
| David Hudson Melendy | Knoxville, Tn | Mar 17, 2021 | 20 y | 1 |
Advisor movement
8 left, 13 joined in 12 months
net +5 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 6.8% of current headcount22 left over 36 months
Left, latest
- Vincent Dallo to Belpointe Asset Management LLCMay 7, 2026 · Affiliated broker-dealer or bank to independent RIA
- James Parnick Jennings to Unity Financial Planning Group LLCApr 13, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
- Autumn Mower to Rfg Advisory, LLCMar 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- Aubrey Damon Gibbs to Rfg Advisory, LLCMar 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- Ricky Allen Howard to Rfg Advisory, LLCMar 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- Ryan Griffin Ledden to Rfg Advisory, LLCMar 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- Nicholas Blake Morgan to Rfg Advisory, LLCMar 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- Bruce Alan Mazo to LPL Financial LLCJan 22, 2026 · Affiliated broker-dealer or bank to another
- Joanna R Habegger to Invite Wealth ManagementAug 11, 2025 · Other
- Russell George Luce to Chelsea Advisory Services, IncDec 31, 2024 · Affiliated broker-dealer or bank to independent RIA
- Curtis Clegg to Ama Financial Planning LLCDec 31, 2024 · Affiliated broker-dealer or bank to a state-registered adviser
- James Edward Wilson to Avantax Advisory ServicesDec 31, 2024 · Affiliated broker-dealer or bank to another
- Darrien Reasonover to Rather & Kittrell, Inc.Nov 1, 2024 · Affiliated broker-dealer or bank to independent RIA
- Michael Ray Ohmstede to Magnate Advisory Services, LLCJul 26, 2024 · Affiliated broker-dealer or bank to independent RIA
- Matthew Macha to Cetera Investment Advisers LLCMay 22, 2024 · Affiliated broker-dealer or bank to another
Joined, latest
- Nicolas George Dumas from Retirement Planning Group, LLCSep 1, 2026 · RIA to affiliated broker-dealer or bank
- Kyle Paul Mahle from Vanguard Advisers, Inc.Aug 21, 2026 · Affiliated broker-dealer or bank to another
- Robert Murry Young from LPL Financial LLCMay 19, 2026 · Affiliated broker-dealer or bank to another
- Joshua Smith from Osaic Wealth, Inc.May 18, 2026 · Affiliated broker-dealer or bank to another
- John Carroll Hutchins from Retirement Planning Solutions, LLCFeb 11, 2026 · RIA to affiliated broker-dealer or bank
- Marc Andre Noonan from Legacy Advisory ServicesFeb 10, 2026 · Other
- Charles Howard Fitzpatrick from United Advisor GroupDec 5, 2025 · RIA to affiliated broker-dealer or bank
- Preston Christian from Ameriprise Financial Services, LLCDec 1, 2025 · Affiliated broker-dealer or bank to another
- Bruce Alan Mazo from Cetera Investment Advisers LLCNov 5, 2025 · Affiliated broker-dealer or bank to another
- Robert Normand Richard from Cetera Investment Advisers LLCNov 4, 2025 · Affiliated broker-dealer or bank to another
- Vincent Dallo from Cetera Investment Advisers LLCNov 4, 2025 · Affiliated broker-dealer or bank to another
- Keith Edward Condemi from Cetera Investment Advisers LLCNov 3, 2025 · Affiliated broker-dealer or bank to another
- Lori Marceil Barone from Osaic Wealth, Inc.Oct 28, 2025 · Affiliated broker-dealer or bank to another
- James Douglas Anderson from Seacrest Wealth Management, LLCJul 1, 2025 · RIA to affiliated broker-dealer or bank
- Nicholas Anthony Pfeiffer from Seacrest Wealth Management, LLCJun 30, 2025 · RIA to affiliated broker-dealer or bank
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for Rfg Advisory, LLCMar 2, 2026 · Lawrenceville, Ga
- 2 left for Defining WealthOct 5, 2023 · Knoxville, Tn
- 2 joined from Cetera Investment Advisers LLCNov 6, 2025 · Webster, Ny
- 2 joined from Seacrest Wealth Management, LLCJun 30, 2025 · Purchase, Ny
- 2 joined from Cetera Investment Advisers LLCJan 8, 2025 · Wilmette, Il
- 2 joined from Faithward Advisors, LLCFeb 7, 2024 · Lancaster, Pa
- 2 joined from Securities America Advisors, Inc.Oct 17, 2023 · Urbandale, Ia
- 2 joined from Securities America Advisors, Inc.Sep 22, 2023 · Murfreesboro, Tn
- 2 joined from Osaic Fs, Inc.Mar 31, 2023 · Simpsonville, Sc
- 3 joined from Faithward Advisors, LLCMar 9, 2023 · Lancaster, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- George Thomas Allen III · Finop, Chief Financial Officercontrolsince 01/2000 · owns 10% to 25%
- William Elliston II Hopkins · President, Secretarycontrolsince 01/1998 · owns 25% to 50%
- David Hudson Melendy · Vice President Advisory Services Officercontrolsince 01/2022 · owns less than 5%
- William Nolan Reuther · Chief Compliance Officercontrolsince 11/2023 · owns less than 5%
- William Michael Roberts · Shareholdersince 05/2007 · owns 5% to 10%
- Jerry Dean Shobe · Shareholdersince 05/2006 · owns 5% to 10%
- Joshua Depaull Travis · Shareholdersince 02/2023 · owns 5% to 10%
- Andrew Robert Wallace · Shareholdersince 11/2024 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Knoxville, Tn | 16 | 2 | 0 | ||
| Jackson, Tn · principal | 15 | 2 | 0 | ||
| Louisville, Ky | 8 | 2 | 0 | ||
| Memphis, Tn | 5 | 0 | 0 | ||
| Lancaster, Pa | 5 | 1 | 0 | ||
| Creston, Ia | 4 | 0 | 0 | ||
| Wilmette, Il | 4 | 0 | 0 | ||
| Brentwood, Tn | 4 | 0 | 0 | ||
| Greenville, Sc | 4 | 0 | 0 | ||
| West Des Moines, Ia | 3 | 0 | 0 | ||
| Bowling Green, Ky | 3 | 0 | 0 | ||
| Florence, Ky | 3 | 0 | 0 | ||
| Bardstown, Ky | 2 | 0 | 0 | ||
| Chandler, Az | 2 | 0 | 0 | ||
| Colorado Springs, Co | 2 | 0 | 0 | ||
| Columbus, Ms | 2 | 0 | 0 | ||
| Grand Rapids, Mi | 2 | 0 | 0 | ||
| Greenwood, In | 2 | 0 | 0 | ||
| Louiisville, Ky | 2 | 0 | 0 | ||
| Madisonville, La | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Knoxville, TN5 employees
- Alpharetta, GA4 employees
- Greenville, SC3 employees
- Warminster, PA3 employees
- Mount Joy, PA3 employees
- Memphis, TN3 employees
- Lakewood, CO3 employees
- Colorado Springs, CO3 employees
- Bowling Green, KY3 employees
- Brentwood, TN3 employees
- , 2 employees
- Florence, KY2 employees
- Greenwood, IN2 employees
- , 2 employees
- Martinsville, IN2 employees
- Louisville, KY2 employees
- Memphis, TN2 employees
- Louiisville, KY2 employees
- , 2 employees
- Shelbyville, KY2 employees
- Chandler, AZ2 employees
- Sioux Falls, SD2 employees
- Louisville, KY2 employees
- Creston, IA2 employees
- Murfreesboro, TN2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 9, 2026REUTHER, WILLIAM NOLAN (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2023-11-03 and 2026-09-09peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Sep 9, 2026ALLEN III, GEORGE THOMAS (FINOP, CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2023-11-03 and 2026-09-09peers: affiliated wealth managers, $1B to $5B (56)
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250Jul 21, 2026 to Sep 9, 2026
- Succession · false to unsetJul 21, 2026 to Sep 9, 2026
- Accounts · 13,411 to 15,093Dec 5, 2025 to Mar 31, 2026
- Advisory employees · 106 to 103Dec 5, 2025 to Mar 31, 2026
- BD registered reps · 100 to 95Dec 5, 2025 to Mar 31, 2026
- Charity clients · 9 to 23Dec 5, 2025 to Mar 31, 2026
- Corporate clients · 71 to 92Dec 5, 2025 to Mar 31, 2026
- HNW clients · 659 to 448Dec 5, 2025 to Mar 31, 2026
- Individual clients · 7,932 to 8,183Dec 5, 2025 to Mar 31, 2026
- Employees · 106 to 103Dec 5, 2025 to Mar 31, 2026
- Insurance-licensed employees · 4 to 8Dec 5, 2025 to Mar 31, 2026
- Financial planning clients · 51-100 to 101-250Dec 5, 2025 to Mar 31, 2026
- State-registered IARs · 106 to 103Dec 5, 2025 to Mar 31, 2026
- Other offices · 82 to 85Dec 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.0B to $2.4BDec 5, 2025 to Mar 31, 2026
- HNW RAUM · $837M to $954MDec 5, 2025 to Mar 31, 2026
- Individual RAUM · $1.1B to $1.5BDec 5, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $44.5MDec 5, 2025 to Mar 31, 2026
- RAUM · $2.0B to $2.4BDec 5, 2025 to Mar 31, 2026
- Financial planning clients · 51-100 to 51-100Jun 10, 2025 to Jul 2, 2025
- Accounts · 10,311 to 13,411Feb 4, 2025 to Apr 16, 2025
- Advisory employees · 105 to 106Feb 4, 2025 to Apr 16, 2025
- BD registered reps · 99 to 100Feb 4, 2025 to Apr 16, 2025
- Charity clients · 0 to 9Feb 4, 2025 to Apr 16, 2025
- Corporate clients · 0 to 71Feb 4, 2025 to Apr 16, 2025
- HNW clients · 164 to 659Feb 4, 2025 to Apr 16, 2025
- Individual clients · 9,934 to 7,932Feb 4, 2025 to Apr 16, 2025
- Employees · 105 to 106Feb 4, 2025 to Apr 16, 2025
- Insurance-licensed employees · 8 to 4Feb 4, 2025 to Apr 16, 2025
- Financial planning clients · 101-250 to 51-100Feb 4, 2025 to Apr 16, 2025
- State-registered IARs · 105 to 106Feb 4, 2025 to Apr 16, 2025
- Other offices · 76 to 82Feb 4, 2025 to Apr 16, 2025
- Discretionary RAUM · $1.5B to $2.0BFeb 4, 2025 to Apr 16, 2025
- HNW RAUM · $391M to $837MFeb 4, 2025 to Apr 16, 2025
- Individual RAUM · $1.1B to $1.1BFeb 4, 2025 to Apr 16, 2025
- RAUM · $1.5B to $2.0BFeb 4, 2025 to Apr 16, 2025
- Accounts · 10,178 to 10,311Nov 3, 2023 to Mar 30, 2024
- Advisory employees · 96 to 105Nov 3, 2023 to Mar 30, 2024
- BD registered reps · 86 to 99Nov 3, 2023 to Mar 30, 2024
- HNW clients · 116 to 164Nov 3, 2023 to Mar 30, 2024
Signals
54 dated events
- Vincent Dallo left Silver Oak Securities, Inc. for Belpointe Asset Management Llc (registered 2026-04-15)May 7, 2026 · Advisor changed firm · fact
- James Parnick Jennings left Silver Oak Securities, Inc. for Unity Financial Planning Group Llc (registered 2026-03-17)Apr 13, 2026 · Advisor changed firm · fact
- Ryan Griffin Ledden left Silver Oak Securities, Inc. for Rfg Advisory, Llc (registered 2026-02-27)Mar 2, 2026 · Advisor changed firm · fact
- Nicholas Blake Morgan left Silver Oak Securities, Inc. for Rfg Advisory, Llc (registered 2026-02-27)Mar 2, 2026 · Advisor changed firm · fact
- Autumn Mower left Silver Oak Securities, Inc. for Rfg Advisory, Llc (registered 2026-03-03)Mar 2, 2026 · Advisor changed firm · fact
- Aubrey Damon Gibbs left Silver Oak Securities, Inc. for Rfg Advisory, Llc (registered 2026-03-03)Mar 2, 2026 · Advisor changed firm · fact
- Ricky Allen Howard left Silver Oak Securities, Inc. for Rfg Advisory, Llc (registered 2026-02-27)Mar 2, 2026 · Advisor changed firm · fact
- 5 advisors left Silver Oak Securities, Inc. (Alpharetta, GA) for Rfg Advisory, LLC on the same dayMar 2, 2026 · Team lift-out · derived
- Bruce Alan Mazo left Silver Oak Securities, Inc. for Lpl Financial Llc (registered 2026-01-26)Jan 22, 2026 · Advisor changed firm · fact
- 2 advisors left Cetera Investment Advisers LLC (Webster, NY) for Silver Oak Securities, Inc. within 5 daysNov 6, 2025 · Team lift-out · derived
- Joanna R Habegger left Silver Oak Securities, Inc. for Invite Wealth Management (registered 2021-07-13)Aug 11, 2025 · Advisor changed firm · fact
- 2 advisors left Seacrest Wealth Management, LLC (Purchase, NY) for Silver Oak Securities, Inc. on the same dayJun 30, 2025 · Team lift-out · derived
- Silver Oak Securities, Inc. reported RAUM $2.0B, up 39% from $1.5B (2025-02-04 to 2025-04-16)Apr 16, 2025 · RAUM change · derived
- Silver Oak Securities, Inc. reported 82 offices beyond its principal office, up from 76 (2025-02-04 to 2025-04-16)Apr 16, 2025 · Office count change · derived
- 2 advisors left Cetera Investment Advisers LLC (Wilmette, IL) for Silver Oak Securities, Inc. within 5 daysJan 8, 2025 · Team lift-out · derived
- James Edward Wilson left Silver Oak Securities, Inc. for Avantax Advisory Services (registered 2025-03-05)Dec 31, 2024 · Advisor changed firm · fact
- Russell George Luce left Silver Oak Securities, Inc. for Chelsea Advisory Services, Inc (registered 2025-01-13)Dec 31, 2024 · Advisor changed firm · fact
- Curtis Clegg left Silver Oak Securities, Inc. for Ama Financial Planning Llc (registered 2026-01-01)Dec 31, 2024 · Advisor changed firm · fact
- Darrien Reasonover left Silver Oak Securities, Inc. for Rather & Kittrell, Inc. (registered 2025-01-23)Nov 1, 2024 · Advisor changed firm · fact
- Michael Ray Ohmstede left Silver Oak Securities, Inc. for Magnate Advisory Services, Llc (registered 2025-05-14)Jul 26, 2024 · Advisor changed firm · fact
- Matthew Macha left Silver Oak Securities, Inc. for Cetera Investment Advisers Llc (registered 2024-05-17)May 22, 2024 · Advisor changed firm · fact
- Silver Oak Securities, Inc. reported RAUM $1.5B, up 34% from $1.1B (2023-11-03 to 2024-03-30)Mar 30, 2024 · RAUM change · derived
- Michael B Haney left Silver Oak Securities, Inc. for Gradient Wealth Management (registered 2024-03-18)Mar 15, 2024 · Advisor changed firm · fact
- David William Lamont left Silver Oak Securities, Inc. for Dmk Advisor Group, Inc. (registered 2026-01-26)Feb 8, 2024 · Advisor changed firm · fact
- 2 advisors left Faithward Advisors, LLC (Lancaster, PA) for Silver Oak Securities, Inc. on the same dayFeb 7, 2024 · Team lift-out · derived
- John Douglas Baxley left Silver Oak Securities, Inc. for Merit Financial Advisors (registered 2023-11-07)Nov 3, 2023 · Advisor changed firm · fact
- William Nolan Reuther (Chief Compliance Officer) appeared on Schedule A of Silver Oak Securities, Inc.Nov 3, 2023 · Control person joined · fact
- John Douglas Baxley (Chief Compliance Officer) no longer on Schedule A of Silver Oak Securities, Inc. (listed 2023-09-27, absent 2023-11-03)Nov 3, 2023 · Control person left · inference
- Bradley Bennett Kessler left Silver Oak Securities, Inc. for Jaffe Wealth Management & Consulting, Inc. (registered 2016-05-24)Oct 25, 2023 · Advisor changed firm · fact
- Joshua Depaull Travis left Silver Oak Securities, Inc. for Fisher Investments (registered 2026-01-13)Oct 17, 2023 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Silver Oak Securities, Inc. · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/silveroaksecuritiesreportedpublic record, Form ADV, Sep 17, 2026
- Website
- silveroaksecurities.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 731-668-3825reportedpublic record, Form ADV, Sep 9, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $20.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026