Broker-dealer firm · Topeka, KS
OFG Financial Services, Inc.
SEC-registered investment adviser · CRD 23940 · SEC 801-127727
At a glance
OFG Financial Services, Inc. is an SEC-registered investment adviser based in Topeka, Kansas, with $271 million in regulatory assets under management as of its Form ADV filed March 26, 2026. Its largest client group by assets is individuals, and it reports 850 individual clients. By Form ADV it is a broker-dealer firm, ranked 265th of 391 broker-dealer firms and 10,690th of 17,210 SEC-registered advisers by assets.
Main office 785-233-4071ofgfinancial.comAs filed on Form ADV
- Regulatory AUM
- $271M
- Rank among broker-dealer firms
- #265 of 391
- Rank among all SEC RIAs
- #10,690 of 17,210
- Rank in Kansas
- #85 of 134
- Individual clients
- 850
- High-net-worth clients
- 0
- Accounts
- 850
- Discretionary
- 0% of AUM
- Employees
- 30
- Advisory staff
- 30
- Offices
- 5
Owners and executives on its Form ADV
- James Kenneth OgdonPresident & Director
- Todd Matthew PayneSecretary-Treasurer, Director & CCO
- Tyler John McMasterSenior Vice President
Custody and brokerage
Custodian
OFG Financial Services, Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
OFG Financial Services, Inc. is a hybrid RIA: 30 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 850 | $210M | 77% |
| Corporations or other businesses | 5 | $61M | 23% |
Disciplinary disclosures
OFG Financial Services, Inc. answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗ofgfinancial.com ↗
AtlasMembers
The full record on OFG Financial Services, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 2 years of filings
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- Growth over one, three and five years
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- Rank against 161 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does OFG Financial Services, Inc. manage?
OFG Financial Services, Inc. reports $271 million in regulatory assets under management across 850 accounts, on its Form ADV filed March 26, 2026.
What kind of firm is OFG Financial Services, Inc.?
OFG Financial Services, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are OFG Financial Services, Inc.’s clients?
By assets, its largest client types are individuals ($210 million, 850 clients); corporations or other businesses ($61 million, 5 clients).
Does OFG Financial Services, Inc. have any disciplinary history?
OFG Financial Services, Inc. answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is OFG Financial Services, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-26), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →