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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

ADAPTATION FINANCIAL ADVISORS INC.

CRD 309192

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:d8bf9644-1a18-63b6-8a17-5d30df662bd4

Data as of May 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 21
On other graphs: 0
Observed: May 27, 2020 to May 6, 2026
27 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0
Regulatory AUM: $234MItem 5.F on the latest filing (2026-05-06); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $234M
Private client RAUM: $234MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $58.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 4
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 1,291
Individual clients: 637
High net worth clients: 53
SEC number: 801-118982
CRD: 309192
Filings on the tape: 27
First filed: May 27, 2020
Latest filed: May 6, 2026
Organised: Corporation, TX
Website: adaptfa.com

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
JOHNNY L BERRY	n/a	Westerville, OH	4	15	3	yes
Ashton Riley Niemann	n/a	Houston, TX \| OKLAHOMA CITY, OK	3	14	1	yes
Shanon M McCune	n/a	OKLAHOMA CITY, OK	0	12	n/a	yes

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
APN ADAPTATION FINANCIAL HOLDINGS, LLC	Shareholder	E	yes	02/2020	May 27, 2020	Nov 20, 2024
NIEMANN, ALAN, PHILIP	CEO, CHIEF COMPLIANCE OFFICER	Na	yes	03/2021	May 27, 2020	Nov 20, 2024
NIEMANN, ALAN, PHILIP	Trustee	F	yes	05/2021	May 27, 2020	Nov 20, 2024
Niemann, Avery, Gweb	Director	Na	yes	09/2024	Nov 18, 2024	Nov 20, 2024
ALAN NIEMANN TRUST	Member	E	no	05/2021	Sep 13, 2021	Nov 20, 2024
Eischen, Michael, Paul	Shareholder	Na	no	01/2021	Oct 27, 2023	Nov 20, 2024
KBS CAPITAL MANAGEMENT, LLC	Shareholder	A	no	01/2021	Oct 27, 2023	Nov 20, 2024
KROST, MICHAEL, DAVID	Shareholder	A	no	01/2021	Oct 27, 2023	Nov 20, 2024
SWOZ ENTERPRISES, INC.	Shareholder	Na	no	01/2021	Oct 27, 2023	Nov 20, 2024
Wozniak, Scott	Owner	E	no	01/2021	Nov 1, 2023	Nov 20, 2024

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
DIVERSIFIED INSURANCE BROKERAGE ASSOCIATES, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Westerville	Oh	United States	1	yes
Houston	TX	United States	1	yes

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
2025	Mar 23, 2026	$234M	$234M	4	4	2	n/a	n/a
2024	Apr 21, 2025	$217M	$217M	4	4	2	n/a	n/a
2023	Mar 27, 2024	$177M	$177M	5	5	2	n/a	n/a
2022	Mar 28, 2023	$103M	$103M	7	7	2	n/a	n/a
2021	Mar 30, 2022	$143M	$143M	6	6	3	n/a	n/a
2020	Mar 31, 2021	$310M	$310M	10	6	3	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	0	3

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
2025	$234M	$217M	7.6%	$103M	31.4%	4	4	2	2

Relationships

Registered with (13)

← Shanon M McCuneAdvisorregistration: current employment
Feb 3, 2026 to presentfactForm ADV
← Ashton Riley NiemannAdvisorregistration: current employment
Feb 24, 2023 to presentfactForm ADV
← JOHNNY L BERRYAdvisorregistration: current employment
Feb 9, 2022 to presentfactForm ADV
← ALAN PHILIP NIEMANNAdvisorregistration: current employment
Aug 31, 2020 to presentfactForm ADV
← Clinton Michael TaylorAdvisorregistration: previous registration
Oct 25, 2021 to Aug 20, 2025factForm ADV
← MITCHELL K ROBINSONAdvisorregistration: previous registration
Oct 26, 2021 to Oct 17, 2024factForm ADV
← Erica GoltraAdvisorregistration: previous registration
Mar 22, 2023 to Dec 5, 2023factForm ADV
← JASON F SAUERAdvisorregistration: previous registration
Dec 8, 2021 to Mar 13, 2023factForm ADV
← Christopher E McGrawAdvisorregistration: previous registration
Jan 28, 2022 to Jun 22, 2022factForm ADV
← ANDREW JOSEPH KATHOLAdvisorregistration: previous registration
Aug 2, 2021 to Jun 15, 2022factForm ADV
← JOHN PATRICK BYRNEAdvisorregistration: previous registration
Oct 19, 2020 to Jan 27, 2022factForm ADV
← TIMOTHY PACA WOODBURNAdvisorregistration: previous registration
Oct 18, 2020 to Oct 22, 2021factForm ADV
← Gabriela VizuetAdvisorregistration: previous registration
May 21, 2021 to Sep 29, 2021factForm ADV

Affiliated with (2)

← MDK FINANCIAL GROUP, INC.Registered adviserother investment adviser, control, common control
factForm ADV
← MDK FINANCIAL GROUP, INC.Registered adviserother investment adviser, control, common control
factForm ADV

Controls (3)

← NIEMANN, ALAN, PHILIPOwnerTRUSTEE, ownership code F, individual
May 27, 2020 to Nov 20, 2024factForm ADV
← Niemann, Avery, GwebOwnerDIRECTOR, ownership code NA, individual
Nov 18, 2024 to Nov 20, 2024factForm ADV
← APN ADAPTATION FINANCIAL HOLDINGS, LLCOwnerSHAREHOLDER, ownership code E, domestic entity
May 27, 2020 to Nov 20, 2024factForm ADV

Owns (6)

← Eischen, Michael, PaulOwnerSHAREHOLDER, ownership code NA, individual
Oct 27, 2023 to Nov 20, 2024factForm ADV
← Wozniak, ScottOwnerOWNER, ownership code E, individual
Nov 1, 2023 to Nov 20, 2024factForm ADV
← KROST, MICHAEL, DAVIDOwnerSHAREHOLDER, ownership code A, individual
Oct 27, 2023 to Nov 20, 2024factForm ADV
← ALAN NIEMANN TRUSTOwnerMEMBER, ownership code E, domestic entity
Sep 13, 2021 to Nov 20, 2024factForm ADV
← KBS CAPITAL MANAGEMENT, LLCOwnerSHAREHOLDER, ownership code A, domestic entity
Oct 27, 2023 to Nov 20, 2024factForm ADV
← SWOZ ENTERPRISES, INC.OwnerSHAREHOLDER, ownership code NA, domestic entity
Oct 27, 2023 to Nov 20, 2024factForm ADV

Dated events

Occurred
Aug 20, 2025
Advisor changed firm
Clinton Michael Taylor left Adaptation Financial Advisors Inc. for Lpl Enterprise, Llc (registered 2025-08-18)
Form ADVobserved 5 days ago
Occurred
Nov 18, 2024
Control person joined
Gweb Avery Niemann (Director) appeared on Schedule A of Adaptation Financial Advisors Inc.
Form ADVobserved 5 days ago
Occurred
Nov 12, 2024
Control person left
Kean Mitchell Robinson (Director Of Compliance, Chief Compliance Officer) no longer on Schedule A of Adaptation Financial Advisors Inc. (listed 2024-03-27, absent 2024-11-12)
Form ADVobserved 5 days ago
Occurred
Oct 17, 2024
Advisor changed firm
Mitchell K Robinson left Adaptation Financial Advisors Inc. for Mariner Advisor Network (registered 2024-10-31)
Form ADVobserved 5 days ago
Occurred
Mar 27, 2024
Control person left
Lee Kacey Butcher (Owner) no longer on Schedule A of Adaptation Financial Advisors Inc. (listed 2023-11-01, absent 2024-03-27)
Form ADVobserved 5 days ago
Occurred
Dec 5, 2023
Advisor changed firm
Erica Goltra left Adaptation Financial Advisors Inc. for J.P. Morgan Securities Llc (registered 2024-03-15)
Form ADVobserved 5 days ago
Occurred
Oct 27, 2023
Regulatory AUM changed
Adaptation Financial Advisors Inc. reported RAUM $242.1M, up 135% from $103.0M (2023-03-31 to 2023-10-27)
Form ADVobserved 5 days ago
$139M
Occurred
Oct 27, 2023
Control person joined
Lee Kacey Butcher (Owner) appeared on Schedule A of Adaptation Financial Advisors Inc.
Form ADVobserved 5 days ago
Occurred
Mar 13, 2023
Advisor changed firm
Jason F Sauer left Adaptation Financial Advisors Inc. for Cambridge Investment Research Advisors, Inc. (registered 2021-12-20)
Form ADVobserved 5 days ago
Occurred
Jun 22, 2022
Advisor changed firm
Christopher E Mcgraw left Adaptation Financial Advisors Inc. for Oxford Financial Group, Ltd (registered 2022-09-06)
Form ADVobserved 5 days ago
Occurred
Jun 15, 2022
Advisor changed firm
Andrew Joseph Kathol left Adaptation Financial Advisors Inc. for Sequent Planning, Llc (registered 2022-08-22)
Form ADVobserved 5 days ago
Occurred
Mar 30, 2022
Regulatory AUM changed
Adaptation Financial Advisors Inc. reported RAUM $142.8M, down 54% from $309.9M (2022-02-09 to 2022-03-30)
Form ADVobserved 5 days ago
$-167M
Occurred
Feb 9, 2022
Control person left
Lebon-Mellencamp Mitch Robinson (Director Of Compliance) no longer on Schedule A of Adaptation Financial Advisors Inc. (listed 2021-12-07, absent 2022-02-09)
Form ADVobserved 5 days ago
Occurred
Feb 9, 2022
Control person joined
Kean Mitchell Robinson (Director Of Compliance) appeared on Schedule A of Adaptation Financial Advisors Inc.
Form ADVobserved 5 days ago
Occurred
Jan 27, 2022
Advisor changed firm
John Patrick Byrne left Adaptation Financial Advisors Inc. for Pruco Securities, Llc (registered 2022-09-01)
Form ADVobserved 5 days ago
Occurred
Dec 7, 2021
Control person joined
Lebon-Mellencamp Mitch Robinson (Director Of Compliance) appeared on Schedule A of Adaptation Financial Advisors Inc.
Form ADVobserved 5 days ago
Occurred
Dec 7, 2021
Control person left
Marie Annetta Box Taylor (Assistant Compliance Officer) no longer on Schedule A of Adaptation Financial Advisors Inc. (listed 2021-09-13, absent 2021-12-07)
Form ADVobserved 5 days ago
Occurred
Sep 13, 2021
Control person left
Vincent Kevin Cox (Member) no longer on Schedule A of Adaptation Financial Advisors Inc. (listed 2021-03-31, absent 2021-09-13)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2021
Regulatory AUM changed
Adaptation Financial Advisors Inc. reported RAUM $309.9M, up 181% from $110.2M (2020-10-14 to 2021-03-31)
Form ADVobserved 5 days ago
$200M
Occurred
Mar 31, 2021
Control person joined
Marie Annetta Box Taylor (Assistant Compliance Officer) appeared on Schedule A of Adaptation Financial Advisors Inc.
Form ADVobserved 5 days ago
Occurred
May 27, 2020
First Form ADV filing
Adaptation Financial Advisors Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d8bf9644-1a18-63b6-8a17-5d30df662bd4
First observed: May 27, 2020
Last observed: May 6, 2026 4 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.

ADAPTATION FINANCIAL ADVISORS INC.

CRD 309192

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:d8bf9644-1a18-63b6-8a17-5d30df662bd4

Data as of May 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:56 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOHNNY L BERRY

n/a

Westerville, OH

yes

Ashton Riley Niemann

n/a

Houston, TX | OKLAHOMA CITY, OK

yes

Shanon M McCune

n/a

OKLAHOMA CITY, OK

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

APN ADAPTATION FINANCIAL HOLDINGS, LLC

Shareholder

yes

02/2020

May 27, 2020

Nov 20, 2024

NIEMANN, ALAN, PHILIP

CEO, CHIEF COMPLIANCE OFFICER

yes

03/2021

May 27, 2020

Nov 20, 2024

NIEMANN, ALAN, PHILIP

Trustee

yes

05/2021

May 27, 2020

Nov 20, 2024

Niemann, Avery, Gweb

Director

yes

09/2024

Nov 18, 2024

Nov 20, 2024

ALAN NIEMANN TRUST

Member

05/2021

Sep 13, 2021

Nov 20, 2024

Eischen, Michael, Paul

Shareholder

01/2021

Oct 27, 2023

Nov 20, 2024

KBS CAPITAL MANAGEMENT, LLC

Shareholder

01/2021

Oct 27, 2023

Nov 20, 2024

KROST, MICHAEL, DAVID

Shareholder

01/2021

Oct 27, 2023

Nov 20, 2024

SWOZ ENTERPRISES, INC.

Shareholder

01/2021

Oct 27, 2023

Nov 20, 2024

Wozniak, Scott

Owner

01/2021

Nov 1, 2023

Nov 20, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

DIVERSIFIED INSURANCE BROKERAGE ASSOCIATES, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Westerville

United States

yes

Houston

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 23, 2026

$234M

n/a

2024

Apr 21, 2025

$217M

n/a

2023

Mar 27, 2024

$177M

n/a

2022

Mar 28, 2023

$103M

n/a

2021

Mar 30, 2022

$143M

n/a

2020

Mar 31, 2021

$310M

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

2025

$234M

$217M

7.6%

$103M

31.4%