SourcingSourcing

OCTOBER EFFECT LTD.

A65
CRD 281369·SEC 801-132795·VIRGINIA BEACH, VA
AUM
$138.9M
$100M-$500M
Est. Revenue
$1.4M
@ 1% on AUM
Est. EBITDA
$417K
@ 30% margin
Est. Deal Value
$3.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
OCTOBER EFFECT LTD.
CRD
281369
SEC file #
801-132795
EIN
462722575
DBA names
—

Economics

AUM
$138.9M
AUM band
$100M-$500M
AUM trajectory
'25'26
$111.7M → $138.9M▲ +24%
Client mix
Individuals Other343
Individuals High Net Worth17
Pension Profit Sharing Plans1

Operations

Employees (total)
4
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'25'26
4 advisors → 4 advisors▬ 0%
Primary office
VIRGINIA BEACH VA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingSelection of other advisers
Fee basis
% of AUMHourly chargesFixed feesPerformance-based fees

Filings

Latest ADV filing
02/16/2026
ADV-W filed at
—
Website
financialplanning-vab.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
TEHEL, FRANK, DAVID
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
TEHEL, FRANK, DAVID
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
FINANCIALPLANNING-VAB.COM
Rdap Domain Creation Date
2012-05-22T21:09:33Z
Rdap Firm Age Years
14
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002078353
Edgar Registered
Yes
Edgar Filing Count
5
Edgar First Filing Date
2025-08-11
Edgar Last Filing Date
2026-04-21
Edgar 13f Count
4
Edgar 13f Latest AUM Estimate
Filing Date2026-04-21
Accession0002078353-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
2
Bc Firm Active IA Count
4
Bc Firm IAR Count
4
Custodian Candidates
Full
Charles Schwab6
E*trade4
Lpl Financial1
Edgar Addresses
Mailing
ONE COLUMBUS CENTER STE 651AONE COLUMBUS CENTER STE 651AVIRGINIA BEACH, VA 23462
Business
ONE COLUMBUS CENTER STE 651AONE COLUMBUS CENTER STE 651AVIRGINIA BEACH, VA 23462
Edgar EIN
462722575
Edgar Recent Filings
13F-HR2026-04-21 · 0002078353-26-000002
13F-HR2026-01-20 · 0002078353-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-05-22T21:09:33Z
Rdap Domain Last Changed
2025-05-23T14:47:43Z
Rdap Nameservers
Ns77.domaincontrol.comNs78.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
1000595
Trust Company Affiliate
No

People (4)

4
TEHEL, FRANK, DAVID
IAR · Direct Owner · 87.5%
1000595
NEELY KATHLEEN ELSTRODT
IAR
5151667
KEVIN STEPHEN MORAVEK
IAR
3248248
KEVIN MATTHEW JAMES
IAR
4673199