DFX Intelligence

W••••••••• G••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

W••••••••• G••••• I•••

CRD 127465

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 graphs

Data as of Sep 21, 2012 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 9:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 23, 2011 to Sep 21, 2012
10 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: $53.6M••• Locked
Discretionary RAUM: $53.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $26.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B••••••• D••••• K••••••	n/a	OKLAHOMA CIITY, OK	13	39	2	no
B••••••• D••••• K••••••	n/a	NICHOLS HILLS, OK	12	14

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••••••• B•••••••• D•••••	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	11/2002	Nov 23, 2011	Sep 21, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 29, 2012	$53.6M	$53.6M	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	$53.6M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Registered with (3)

← B••••••• D••••• K••••••Advisorregistration: current employment
Jul 1, 2014 to presentfactForm ADV
← B••••••• D••••• K••••••Advisorregistration: current employment
Oct 12, 2012 to presentfactForm ADV
← A•••• D••• E•••••••Advisorregistration: previous registration
Feb 4, 2011 to Jul 6, 2012factForm ADV

Controls (1)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 23, 2011
Last observed: Sep 21, 2012 170 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.