DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Retirement Investment Advisors Inc
Latest filing Mar 23, 2026
First filing on the tape Apr 11, 2012 · 34 filings
SEC status approved since Apr 13, 1993
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$1.4B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$186M
derived; firm RAUM over IAPD count
Employees
15
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.5B as of Mar 23, 2026
Apr 11, 2012$333M then
HNW client RAUM$1.0B as of Mar 23, 2026
Mar 30, 2018$378M then
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Apr 11, 20120 then
Employees (5.A)15 as of Mar 23, 2026
Mar 25, 201315 then
Private funds: no history
RAUM +17% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $186MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 175derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $432,564derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,500reportedItem 5.H
- Custody
- $10.4M, 12 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.0B69%
- Individuals$413M28%
- Charitable organizations$25.3M1.7%
- Pension and profit-sharing plans$24.4M1.6%
- Individual clients
- 996reported
- HNW clients
- 403reported
- Pension plan clients
- 14reported
- Charitable clients
- 18reported
- Accounts
- 3,444reported
- Financial planning clients
- 1,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.4M for 12 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joseph Wayne BowieCertified Financial Planner | Oklahoma City, Ok | Nov 12, 1993 | 38 y | 0 |
| Randy Loyn ThurmanCertified Financial Planner, Personal Financial Specialist | Oklahoma City, Ok | Apr 11, 1997 | 39 y | 1 |
| Carol Ringrose AlexanderCertified Financial Planner | Oklahoma City, Ok | Oct 31, 2003 | 25 y | 1 |
| Chad Allen RudyCertified Financial Planner | Oklahoma City, Ok | Nov 5, 2009 | 24 y | 0 |
| Brenda Sue BolanderCertified Financial Planner | Oklahoma City, Ok | Jan 30, 2013 | 14 y | 0 |
| Alexxander V PeraltaCertified Financial Planner | Oklahoma City, Ok | Sep 30, 2022 | 11 y | 0 |
| Andrew Kenneth FlintonCertified Financial Planner | Oklahoma City, Ok | Jan 9, 2025 | 18 y | 2 |
| Gabriel Levi Wallace | Oklahoma City, Ok | Sep 30, 2025 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount1 left over 36 months
Left, latest
- Sylvia Leigh Sterling to Osaic Wealth, Inc.Oct 20, 2025 · RIA to affiliated broker-dealer or bank
- Jennifer Lynn Wallis to Osaic Wealth, Inc.Sep 15, 2023 · RIA to affiliated broker-dealer or bank
- Alyssa Ann Kaiser to Wto Advisors, LLCMay 12, 2022 · RIA to a state-registered adviser
- Melinda Warren to Hughes Warren, Inc.Dec 5, 2007 · Other
- Theodore John Hughes to Hughes Warren, Inc.Dec 5, 2007 · Other
Joined, latest
- Andrew Kenneth Flinton from Morgan StanleyJan 9, 2025 · Wirehouse to independent RIA
- Sylvia Leigh Sterling from Wells Fargo AdvisorsOct 17, 2022 · Wirehouse to independent RIA
- Carol Ringrose Alexander from Prudential Equity Group, LLCOct 31, 2003 · Other
- Randy Loyn Thurman from Fsc Securities CorporationApr 11, 1997 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Kenneth Andrew Flinton · Presidentcontrolsince 11/2018 · owns less than 5%
- Anthony David Horn · Directorcontrolsince 10/2025 · owns less than 5%
- Jo Heather Misialek · Executive Vice Presidentcontrolsince 02/2026 · owns less than 5%
- Ei Chun Veronica Moo · Directorcontrolsince 07/2017 · owns less than 5%
- Caleb Michael Noel · Directorcontrolsince 10/2025 · owns less than 5%
- George Edward O'Malley · Directorcontrolsince 02/2015 · owns less than 5%
- Ronald Brett Schneider · Directorcontrolsince 01/2009 · owns less than 5%
- Loyn Randy Thurman · Ceocontrolsince 01/1997 · owns less than 5%
- Ringrose Carol Alexander · Executive Vice Presidentsince 01/2006 · owns less than 5%
- Sue Brenda Bolander · Executive Vice Presidentsince 10/2014 · owns less than 5%
- Barbara Donna Dimaria · Chief Compliance Officersince 11/2025 · owns less than 5%
- Nicole Jade Franke · Chief Compliance Officersince 11/2023 · owns less than 5%
- Allen Chad Rudy · Executive Vice President - Texassince 11/2012 · owns less than 5%
- Leigh Sylvia Sterling · Senior Vice Presidentsince 01/2023 · owns less than 5%
Entity owners
- Nfp Corp · Shareholderdirect · owns 75% or more
- Aon, Plc · Ownerindirect · owns 75% or more of Randolph Finance Unlimited Company · public reporting company
- Nfp Intermediate Holdings B. Corp · Ownerindirect · owns 75% or more of Nfp Corp
- Randolph Acquisition Corp · Ownerindirect · owns 75% or more of Nfp Intermediate Holdings B. Corp
- Randolph Finance Unlimited Company · Ownerindirect · owns 75% or more of Randolph Acquisition Corp
Related persons
Schedule D 7.A
- Nfp Property & Casualty Services, Inc.real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Oklahoma City, Ok · principal | 8 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Frisco, TX1 employees
ADV anomalies
7 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 23, 2026accounts (Item 5.F.2.f) moved from 1,381.0 to 3,444.0 (+149.0%) between the annual amendments of 2025-03-31 and 2026-03-23; the peer median change was +6.0% (1206 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 97% percentile
- control person changedChange between filings · filing Mar 23, 2026NOEL, MICHAEL, CALEB (DIRECTOR) appeared on Schedule A between the filings of 2024-05-23 and 2026-03-23peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 23, 2026MISIALEK, HEATHER, JO (EXECUTIVE VICE PRESIDENT) appeared on Schedule A between the filings of 2024-05-23 and 2026-03-23peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 23, 2026HORN, DAVID, ANTHONY (DIRECTOR) appeared on Schedule A between the filings of 2024-05-23 and 2026-03-23peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 23, 2026SCHNEIDER, BRETT, RONALD (DIRECTOR) left Schedule A between the filings of 2024-05-23 and 2026-03-23peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 23, 2026MOO, VERONICA, EI CHUN (DIRECTOR) left Schedule A between the filings of 2024-05-23 and 2026-03-23peers: independent wealth managers, $1B to $5B (1,360)
- custody status changedChange between filings · filing Mar 23, 2026custody of client assets (Item 9.A): no on the filing of 2025-11-26, yes on the filing of 2026-03-23peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 1,381 to 3,444Nov 26, 2025 to Mar 23, 2026
- Charity clients · 7 to 18Nov 26, 2025 to Mar 23, 2026
- HNW clients · 374 to 403Nov 26, 2025 to Mar 23, 2026
- Individual clients · 988 to 996Nov 26, 2025 to Mar 23, 2026
- Pension plan clients · 12 to 14Nov 26, 2025 to Mar 23, 2026
- Assets in custody · unset to 10363575.0Nov 26, 2025 to Mar 23, 2026
- Custody of client assets · false to trueNov 26, 2025 to Mar 23, 2026
- Employees · 19 to 15Nov 26, 2025 to Mar 23, 2026
- Discretionary RAUM · $1.3B to $1.5BNov 26, 2025 to Mar 23, 2026
- HNW RAUM · $864M to $1.0BNov 26, 2025 to Mar 23, 2026
- Individual RAUM · $368M to $413MNov 26, 2025 to Mar 23, 2026
- Pension RAUM · $15.3M to $24.4MNov 26, 2025 to Mar 23, 2026
- RAUM · $1.3B to $1.5BNov 26, 2025 to Mar 23, 2026
- Accounts · 1,335 to 1,381May 23, 2024 to Mar 31, 2025
- HNW clients · 331 to 374May 23, 2024 to Mar 31, 2025
- Individual clients · 983 to 988May 23, 2024 to Mar 31, 2025
- Pension plan clients · 14 to 12May 23, 2024 to Mar 31, 2025
- Employees · 20 to 19May 23, 2024 to Mar 31, 2025
- Financial planning clients · More than 500 to More than 500May 23, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.1B to $1.3BMay 23, 2024 to Mar 31, 2025
- HNW RAUM · $725M to $864MMay 23, 2024 to Mar 31, 2025
- Individual RAUM · $352M to $368MMay 23, 2024 to Mar 31, 2025
- Pension RAUM · $13.3M to $15.3MMay 23, 2024 to Mar 31, 2025
- RAUM · $1.1B to $1.3BMay 23, 2024 to Mar 31, 2025
- Employees · 19 to 20Mar 18, 2024 to May 23, 2024
- Related bank · false to trueMar 18, 2024 to May 23, 2024
- Accounts · 1,324 to 1,335Nov 15, 2023 to Mar 18, 2024
- Advisory employees · 7 to 8Nov 15, 2023 to Mar 18, 2024
- Charity clients · 8 to 7Nov 15, 2023 to Mar 18, 2024
- HNW clients · 257 to 331Nov 15, 2023 to Mar 18, 2024
- Individual clients · 1,038 to 983Nov 15, 2023 to Mar 18, 2024
- Pension plan clients · 21 to 14Nov 15, 2023 to Mar 18, 2024
- Employees · 20 to 19Nov 15, 2023 to Mar 18, 2024
- Discretionary RAUM · $928M to $1.1BNov 15, 2023 to Mar 18, 2024
- HNW RAUM · $539M to $725MNov 15, 2023 to Mar 18, 2024
- Individual RAUM · $353M to $352MNov 15, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $2.1M to $0Nov 15, 2023 to Mar 18, 2024
- Pension RAUM · $20.5M to $13.3MNov 15, 2023 to Mar 18, 2024
- RAUM · $930M to $1.1BNov 15, 2023 to Mar 18, 2024
- Accounts · 1,349 to 1,324Mar 31, 2022 to Mar 30, 2023
Signals
4 dated events
- Sylvia Leigh Sterling left Retirement Investment Advisors Inc for Osaic Wealth, Inc. (registered 2025-10-17)Oct 20, 2025 · Advisor changed firm · fact
- Jennifer Lynn Wallis left Retirement Investment Advisors Inc for Osaic Wealth, Inc. (registered 2025-08-18)Sep 15, 2023 · Advisor changed firm · fact
- Alyssa Ann Kaiser left Retirement Investment Advisors Inc for Wto Advisors, Llc (registered 2022-03-07)May 12, 2022 · Advisor changed firm · fact
- Wayne Joseph Bowie (Founder) no longer on Schedule A of Retirement Investment Advisors Inc (listed 2019-02-28, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- alexx@theretirementpath.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 405-842-3443reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 405-842-3471reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 972-377-2850reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/RETIREMENT-INVESTMENT-ADVISORS-INC-reportedpublic record, Form ADV, Sep 17, 2026
- Website
- THERETIREMENTPATH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 405-842-3443reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- theretirementpath.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- theretirementpath.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $186Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026