DFX Intelligence

P••••••• 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 100m 1b

P••••••• C•••••• A•••••••• I•••

CRD 115758

OKLAHOMA CITY, OK

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3b7e53c6-6608-7340-8244-509e5e849875

Data as of Mar 26, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 40
Dated events: 15
On other graphs: 1
Observed: Mar 1, 2012 to Mar 26, 2024
30 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

P••••••• C•••••• A•••••••• I•••

Investment consultant · key crd, shared crd

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: $589M••• Locked
Discretionary RAUM: $145M
Private client RAUM: $153Mderived••• Locked
Private client share: 26%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 17

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P•••••••• T•••••••• S••••••••	PRESIDENT, CHIEF COMPLIANCE OFFICER	Na	yes	02/1990	Mar 1, 2012	Mar 26, 2024
C••••• K••••• L•••••••	Secretary	Na	no	01/2019	Mar 28, 2019	Mar 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••• C•••••••••	n/a	n/a	n/a	N	no	n/a
T••• P••••••• I••••••••• I•••	n/a	n/a	n/a	N	yes	n/a
T•••• H••••••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
RIO RANCHO	Nm	United States	1	yes
Duncan	Ok	United States	1	yes
Tulsa	Ok	United States	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$589M	$515M	14.4%	$456M	8.9%	17	17	3	3

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T••••••• S••••••• A•••••••	12	Jun 28, 2024	Jan 1, 2025	OKLAHOMA CITY, OK	Firm absorbed	RIA to ibd	92.3%
L•• F•••••••• L••	6	Nov 1, 2019	Oct 31, 2019

Relationships

Owns (6)

← T••••• J••••• J•••OwnerOWNER, ownership code F, individual
Apr 26, 2023 to presentfactForm ADV
← C••••• K••••• L•••••••OwnerSECRETARY, ownership code NA, individual
Mar 28, 2019 to presentfactForm ADV
← R•••••••• M••••••• M•••OwnerOWNER, ownership code F, individual
Apr 26, 2023 to presentfactForm ADV
← P•••••• R••••••• W•••••OwnerOWNER, ownership code C, individual
Apr 26, 2023 to presentfact

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 28, 2024
Firm absorbed
••• Locked
Form ADVobserved 8 days ago
12 advisors
Occurred
Jun 28, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 28, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3b7e53c6-6608-7340-8244-509e5e849875
First observed: Mar 1, 2012
Last observed: Mar 26, 2024 30 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.