DFX Intelligence

W••••• I••••••••• 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

W••••• I••••••••• A•••••••• I••

CRD 118081

EDMOND, OK

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Search this name across graphsid dfx:ria:366ac339-b7e6-3a89-48c9-728e8ccb94a2

Data as of Jun 29, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Mar 5, 2012 to Jun 29, 2012
7 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: $49.6M••• Locked
Discretionary RAUM: $49.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $16.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
G•••••• K••• W•••••	n/a	EDMOND, OK	26	37	3	no
J•••••• S•••• B••••••	n/a	EDMOND, OK	19	20

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
W•••••• G••••••• K•••	PRESIDENT/TREAS./SEC.	E	yes	01/2000	Mar 5, 2012	Jun 29, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T•••••• C•••••• A•••• A••••••• L••	n/a	n/a	n/a	N	yes	n/a
W••••• A•••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 5, 2012	$49.6M	$49.6M	n/a	n/a	n/a	n/a	n/a

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$49.6M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (1)

← W•••••• G••••••• K•••OwnerPRESIDENT/TREAS./SEC., ownership code E, individual
Mar 5, 2012 to presentfactForm ADV

Registered with (5)

← R•••••• A••• F••••Advisorregistration: previous registration
Jan 12, 2009 to May 9, 2012factForm ADV
← J•••••• S•••• B••••••Advisorregistration: current employment
Apr 2, 2007 to presentfactForm ADV
← G•••••• K••• W•••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:366ac339-b7e6-3a89-48c9-728e8ccb94a2
First observed: Mar 5, 2012
Last observed: Jun 29, 2012 173 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.