DFX Intelligence

B•••• • 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

B•••• • A••••••••• I•••

CRD 111688

PONCA CITY, OK

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Search this name across graphsid dfx:ria:d03c1d48-295a-05a6-c018-f1ef5b15eff6

Data as of Jun 9, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 6
On other graphs: 0
Observed: Feb 28, 2012 to Jun 9, 2022
12 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: $129M••• Locked
Discretionary RAUM: $129M
Private client RAUM: $128Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• S••••• I••••	SECRETARY/TREASURER	Na	yes	04/1999	May 15, 2021	Jun 9, 2022
B••••• W••••••• S••••••	PRESIDENT, CHIEF COMPLIANCE OFFICER	Na	yes	04/1999	Feb 28, 2012	Jun 9, 2022

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 21, 2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$129M	n/a	n/a	n/a	n/a	6	n/a	0	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••• G••••• A••••••• I•••	2	Oct 26, 2022	Aug 3, 2022	PONCA CITY, OK	Team lift out	RIA to RIA	100.0%

Relationships

Controls (3)

← M••••• G••••• A••••••• I•••OwnerPARENT COMPANY, ownership code E, domestic entity
Jun 9, 2022 to presentfactForm ADV
← B••••• W••••••• S••••••OwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 28, 2012 to presentfactForm ADV
← B••••• S••••• I••••OwnerSECRETARY/TREASURER, ownership code NA, individual
May 15, 2021 to presentfactForm ADV

Registered with (3)

← J•••• D••• B••••Advisor

Dated events

Occurred
Oct 26, 2022
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Oct 26, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 26, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 18, 2022
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d03c1d48-295a-05a6-c018-f1ef5b15eff6
First observed: Feb 28, 2012
Last observed: Jun 9, 2022 52 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.