DFX Intelligence

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

James Augustus Shaw

Advisor at BOK FINANCIAL ADVISORS

Tulsa, OK | 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:68f00a57-6767-4a1c-2712-d44055610cf8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 1
Observed: Dec 15, 2011 to Sep 15, 2026

Across DFX

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

Private Equityidentity

James Augustus Shaw

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

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

Current firm: BOK FINANCIAL ADVISORS
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 2, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 1
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jul 2, 1984
First registration: Dec 15, 2011
Dual registered: yes, broker-dealer
Other names: JIM SHAW
IAPD individual key: 1264136

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
BOK FINANCIAL ADVISORS	Bd affiliated wealth	Mar 1, 2018	n/a	yes	Tulsa, OK\|Oklahoma City, OK	Current employment
EQUITABLE ADVISORS, LLC	National bd RIA	Dec 15, 2011	Jul 11, 2017	no	OKLAHOMA CITY, OK	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
EQUITABLE ADVISORS, LLC	BOK FINANCIAL ADVISORS	Jul 11, 2017	Mar 1, 2018	233	Firm change	Ibd to ibd

Relationships

Registered with (2)

→ BOK FINANCIAL ADVISORSRegistered adviserregistration: current employment
Mar 1, 2018 to presentfactForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 15, 2011 to Jul 11, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:68f00a57-6767-4a1c-2712-d44055610cf8
First observed: Dec 15, 2011
Last observed: Sep 15, 2026 4 days ago
Source families: Federal regulator filings
1 registered feed 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.

James Augustus Shaw

Advisor at BOK FINANCIAL ADVISORS

Tulsa, OK | 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:68f00a57-6767-4a1c-2712-d44055610cf8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:05 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

BOK FINANCIAL ADVISORS

Bd affiliated wealth

Mar 1, 2018

n/a

yes

Tulsa, OK|Oklahoma City, OK

Current employment

EQUITABLE ADVISORS, LLC

National bd RIA

Dec 15, 2011

Jul 11, 2017

OKLAHOMA CITY, OK

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

EQUITABLE ADVISORS, LLC

BOK FINANCIAL ADVISORS

Jul 11, 2017

Mar 1, 2018

233

Firm change

Ibd to ibd