DFX Intelligence

U•••• C•••••• A•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

U•••• C•••••• A•••••••• I•••

CRD 114841

TULSA, OK

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Search this name across graphsid dfx:ria:31a568ab-229e-bf97-4b4a-b5042817d8c3

Data as of Mar 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 23, 2011 to Mar 30, 2012
2 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $25.0M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 281
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T•••••• R•••••• G•••••	PRESIDENT/CEO	E	yes	04/2002	Dec 23, 2011	Mar 30, 2012
R••••••• C••••••• T•••••	VICE PRESIDENT, SECRETARY & CHIEF COMPLIANCE OFFICER	A	no	04/2002	Dec 23, 2011	Mar 30, 2012

Relationships

Owns (1)

← R••••••• C••••••• T•••••OwnerVICE PRESIDENT, SECRETARY & CHIEF COMPLIANCE OFFICER, ownership code A, individual
Dec 23, 2011 to presentfactForm ADV

Controls (1)

← T•••••• R•••••• G•••••OwnerPRESIDENT/CEO, ownership code E, individual
Dec 23, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:31a568ab-229e-bf97-4b4a-b5042817d8c3
First observed: Dec 23, 2011
Last observed: Mar 30, 2012 176 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.