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.

Former SEC-registered adviser

Bok Financial Asset Management, Inc.

Former SEC-registered adviserHouston, TexasCRD 106507SEC 801-51834IAPD
Latest filing Jun 29, 2021
First filing on the tape Dec 19, 2011 · 28 filings
RAUM
$1.3B
reported, Item 5.F
Discretionary
7.8%
of RAUM
Private clients
6.9%
$87.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
24
10 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.3B as of Mar 22, 2021
Mar 30, 2012$959M then
HNW client RAUM$87.3M as of Mar 22, 2021
Mar 20, 2018$0 then
State-registered IARs (5.B.3)7 as of Mar 22, 2021
Mar 30, 20120 then
Employees (5.A)24 as of Mar 22, 2021
Mar 27, 201330 then
Private funds: no history
RAUM +6.0% over the last fiscal year-3.2% a year over threeIARs 11 to 7
Practice profile
derived from the filing of Jun 29, 2021; every figure names its basis
RAUM per advisor
$180MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$646,394derivedHNW RAUM over HNW clients
Average account
$4.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
7.8%derivedof RAUM
Institutional
93%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.4derivedItem 5.A over advisors
Advisors per office
1.4derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+6.0%derivedbetween the last two annual amendments
Advisor growth, one year
-36%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
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 advisersreportedItem 5.G
Custody
$1.3B, 310 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$1.2B92%
  • High-net-worth individuals$87.3M6.9%
  • Charitable organizations$11.3M0.9%
Individual clients
n/areported
HNW clients
135reported
Pension plan clients
163reported
Charitable clients
12reported
Accounts
310reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$1.3B for 310 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Logan Robert Burnam · Managing Directorcontrol
      since 05/2014 · owns less than 5%
    • William Kenneth Etheredge · President/Secretarycontrol
      since 07/2017 · owns less than 5%
    • Bradley Scott Grauer · Chairmancontrol
      since 05/2014 · owns less than 5%
    • Stephen Mark Marrone · Chief Compliance Officercontrol
      since 08/2016 · owns less than 5%
    • E. Steven Nell · Evp And Chief Financial Officercontrol
      since 05/2014 · owns less than 5%
    • Bruce George Kaiser · Ownercontrol
      since 08/2012 · owns 50% to 75% of Bok Financial Corporation
    Entity owners
    • Bokf, N.A. · Direct Beneficial Owner
      direct · owns 75% or more · public reporting company
    • Bok Financial Corporation · Owner
      indirect · owns 75% or more of Bokf, N. A.
    Related persons
    Schedule D 7.A
    Advisers that list Bok Financial Asset Management, Inc. as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Dallas, TX1 employees
    • Oklahoma City, OK1 employees
    • Overland Park, KS1 employees
    • Scottsdale, AZ1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 401 to 310
      Nov 16, 2020 to Mar 22, 2021
    • Advisory employees · 9 to 10
      Nov 16, 2020 to Mar 22, 2021
    • Charity clients · 3 to 12
      Nov 16, 2020 to Mar 22, 2021
    • HNW clients · 193 to 135
      Nov 16, 2020 to Mar 22, 2021
    • Pension plan clients · 205 to 163
      Nov 16, 2020 to Mar 22, 2021
    • Assets in custody · $1.2B to $1.3B
      Nov 16, 2020 to Mar 22, 2021
    • Employees · 27 to 24
      Nov 16, 2020 to Mar 22, 2021
    • State-registered IARs · 11 to 7
      Nov 16, 2020 to Mar 22, 2021
    • Discretionary RAUM · $165M to $98.5M
      Nov 16, 2020 to Mar 22, 2021
    • HNW RAUM · $91.5M to $87.3M
      Nov 16, 2020 to Mar 22, 2021
    • Non-discretionary RAUM · $1.0B to $1.2B
      Nov 16, 2020 to Mar 22, 2021
    • Pension RAUM · $1.1B to $1.2B
      Nov 16, 2020 to Mar 22, 2021
    • RAUM · $1.2B to $1.3B
      Nov 16, 2020 to Mar 22, 2021
    • Assets in custody · unset to 1220159454.0
      Jun 30, 2020 to Nov 16, 2020
    • Custody of client assets · false to true
      Jun 30, 2020 to Nov 16, 2020
    • Accounts · 387 to 401
      Mar 27, 2019 to Feb 26, 2020
    • Advisory employees · 16 to 9
      Mar 27, 2019 to Feb 26, 2020
    • BD registered reps · 10 to 6
      Mar 27, 2019 to Feb 26, 2020
    • Charity clients · 9 to 3
      Mar 27, 2019 to Feb 26, 2020
    • HNW clients · 0 to 193
      Mar 27, 2019 to Feb 26, 2020
    • Individual clients · 207.0 to unset
      Mar 27, 2019 to Feb 26, 2020
    • Pension plan clients · 171 to 205
      Mar 27, 2019 to Feb 26, 2020
    • Employees · 39 to 27
      Mar 27, 2019 to Feb 26, 2020
    • Financial planning clients · 1-10 to 0
      Mar 27, 2019 to Feb 26, 2020
    • Discretionary RAUM · $113M to $165M
      Mar 27, 2019 to Feb 26, 2020
    • HNW RAUM · $0 to $91.5M
      Mar 27, 2019 to Feb 26, 2020
    • Individual RAUM · 129118822.0 to unset
      Mar 27, 2019 to Feb 26, 2020
    • Non-discretionary RAUM · $1.2B to $1.0B
      Mar 27, 2019 to Feb 26, 2020
    • Pension RAUM · $1.2B to $1.1B
      Mar 27, 2019 to Feb 26, 2020
    • RAUM · $1.3B to $1.2B
      Mar 27, 2019 to Feb 26, 2020
    • Accounts · 404 to 387
      Mar 20, 2018 to Mar 27, 2019
    • Individual clients · 231 to 207
      Mar 20, 2018 to Mar 27, 2019
    • Pension plan clients · 164 to 171
      Mar 20, 2018 to Mar 27, 2019
    • Discretionary RAUM · $160M to $113M
      Mar 20, 2018 to Mar 27, 2019
    • Individual RAUM · $190M to $129M
      Mar 20, 2018 to Mar 27, 2019
    • Non-discretionary RAUM · $1.2B to $1.2B
      Mar 20, 2018 to Mar 27, 2019
    • Pension RAUM · $1.2B to $1.2B
      Mar 20, 2018 to Mar 27, 2019
    • RAUM · $1.4B to $1.3B
      Mar 20, 2018 to Mar 27, 2019
    • Accounts · 483 to 404
      Jul 19, 2017 to Mar 20, 2018
    • Charity clients · unset to 9.0
      Jul 19, 2017 to Mar 20, 2018
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026