DFX Intelligence

Data Factory

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

REGENT WEALTH MANAGEMENT, INC.

CRD 150197

TULSA, 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:c6c1f562-9019-72ac-640f-bea08bd7334e

Data as of Jul 22, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 26, 2012 to Jul 22, 2019
17 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: $68.7MItem 5.F on the latest filing (2019-07-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $35.6M
Private client RAUM: $65.7MderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $17.2Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 292
Individual clients: 73
High net worth clients: 13
SEC number: 801-70180
CRD: 150197
Filings on the tape: 17
First filed: Mar 26, 2012
Latest filed: Jul 22, 2019
Organised: Corporation, Oklahoma

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
WILLIAM PAUL STITT	n/a	TULSA, OK	17	32	2	no
MARK LEONARD SPRINGER	n/a	TULSA, OK	17	27	3	no
HARVEY LEWIS LITTLE	n/a	TULSA, OK	17	50	2	no
THAD WALKER KENT	n/a	TULSA, OK	2	29	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
LITTLE, HARVEY, LEWIS	Shareholder	C	yes	05/2009	Mar 26, 2012	Jul 22, 2019
SPRINGER, MARK, LEONARD	CHIEF COMPLIANCE OFFICER - SHAREHOLDER-PRES	C	yes	05/2009	Mar 26, 2012	Jul 22, 2019
STITT, WILLIAM, PAUL	SHAREHOLDER-SECRETARY	C	yes	05/2009	Mar 26, 2012	Jul 22, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BRYAN, LITTLE, HALEY & KENT, PC	n/a	n/a	n/a	N	no	n/a
M SPRINGER AND COMPANY, PC	n/a	n/a	n/a	N	yes	Ok

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Bartlesville	Ok	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 29, 2019	$68.7M	$35.6M	3	3	1	n/a	n/a
2017	Mar 30, 2018	$90.7M	$47.2M	3	3	1	n/a	n/a
2016	Mar 24, 2017	$91.9M	$43.6M	3	3	n/a	n/a	n/a
2015	Apr 1, 2016	$93.0M	$55.5M	3	3	n/a	n/a	n/a
2014	Feb 27, 2015	$105M	$62.5M	3	3	n/a	n/a	n/a
2013	Mar 7, 2014	$110M	$65.3M	3	3	n/a	n/a	n/a
2012	Apr 1, 2013	$103M	$42.1M	3	3	n/a	n/a	n/a
2011	Mar 26, 2012	$91.7M	$2.0M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$68.7M	$90.7M	-24.2%	$93.0M	-9.6%	3	3	1	1

Relationships

Registered with (4)

← THAD WALKER KENTAdvisorregistration: current employment
Feb 5, 2024 to presentfactForm ADV
← WILLIAM PAUL STITTAdvisorregistration: current employment
Aug 3, 2009 to presentfactForm ADV
← MARK LEONARD SPRINGERAdvisorregistration: current employment
Aug 3, 2009 to presentfactForm ADV
← HARVEY LEWIS LITTLEAdvisorregistration: current employment
Aug 3, 2009 to presentfactForm ADV

Controls (3)

← STITT, WILLIAM, PAULOwnerSHAREHOLDER-SECRETARY, ownership code C, individual
Mar 26, 2012 to presentfactForm ADV
← SPRINGER, MARK, LEONARDOwnerCHIEF COMPLIANCE OFFICER - SHAREHOLDER-PRES, ownership code C, individual
Mar 26, 2012 to presentfactForm ADV
← LITTLE, HARVEY, LEWISOwnerSHAREHOLDER, ownership code C, individual
Mar 26, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c6c1f562-9019-72ac-640f-bea08bd7334e
First observed: Mar 26, 2012
Last observed: Jul 22, 2019 87 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.

REGENT WEALTH MANAGEMENT, INC.

CRD 150197

TULSA, 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:c6c1f562-9019-72ac-640f-bea08bd7334e

Data as of Jul 22, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:21 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

WILLIAM PAUL STITT

n/a

TULSA, OK

MARK LEONARD SPRINGER

n/a

TULSA, OK

HARVEY LEWIS LITTLE

n/a

TULSA, OK

THAD WALKER KENT

n/a

TULSA, OK

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LITTLE, HARVEY, LEWIS

Shareholder

yes

05/2009

Mar 26, 2012

Jul 22, 2019

SPRINGER, MARK, LEONARD

CHIEF COMPLIANCE OFFICER - SHAREHOLDER-PRES

yes

05/2009

Mar 26, 2012

Jul 22, 2019

STITT, WILLIAM, PAUL

SHAREHOLDER-SECRETARY

yes

05/2009

Mar 26, 2012

Jul 22, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BRYAN, LITTLE, HALEY & KENT, PC

n/a

M SPRINGER AND COMPANY, PC

n/a

yes

City

State

Country

Employees

Also broker-dealer

Bartlesville

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 29, 2019

$68.7M

$35.6M

n/a

2017

Mar 30, 2018

$90.7M

$47.2M

n/a

2016

Mar 24, 2017

$91.9M

$43.6M

n/a

2015

Apr 1, 2016

$93.0M

$55.5M

n/a

2014

Feb 27, 2015

$105M

$62.5M

n/a

2013

Mar 7, 2014

$110M

$65.3M

n/a

2012

Apr 1, 2013

$103M

$42.1M

n/a

2011

Mar 26, 2012

$91.7M

$2.0M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$68.7M

$90.7M

-24.2%

$93.0M

-9.6%