October Effect Ltd.
- Regulatory AUM
- $146M
- Discretionary
- $146M
- Clients
- 597
- Avg AUM / client
- $244K
- Accounts
- 597
- Employees
- 4
AUM over time
Annual snapshots from Form ADV filings · as of Jun 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 574 | $99.1M | 68.1% |
| High net worth individuals | 22 | $46.1M | 31.7% |
| Investment companies | 1 | $318K | 0.22% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Frank David Tehel | Registered representative | CFP | Nov 2015 (11y) | |
| Neely Kathleen Elstrodt | Registered representative | Nov 2017 (9y) | ||
| Kevin Stephen Moravek | Registered representative | Jan 2020 (7y) | ||
| Kevin Matthew James | Registered representative | Mar 2023 (3y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/25/2026 | 1.15 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Performance-based fees
- • Other fees
- • REFERRAL FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $145M (100% of AUM) Jun 2026
- Absolute Capital $318K (0% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 25, 2026.
View current Form ADV (SEC/IAPD) ↗