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OFC WEALTH MANAGEMENT

· CRD 133846 · IAPD ↗ · 973-258-1007

$182.8MRegulatory AUM
2Advisory reps
2Employees
15Clients
11-25Planning clients
0Private funds
5States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

58
March 2026 — OFC WEALTH MANAGEMENT reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
65
March 2026 — OFC WEALTH MANAGEMENT now reports custody of client assets ($170,731).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
60
March 2025 — OFC WEALTH MANAGEMENT reported RAUM up 25% ($122.2M -> $153.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
95
August 2024 — OFC WEALTH MANAGEMENT (location n/a) is newly SEC-registered with $122.2M RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.