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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
P••••••• I••••••••• A•••••••
Legal name P••••••• H•••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Feb 8, 2012 · 36 filings
SEC status approved since Feb 29, 2000
RAUM
$508M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
67%
$342M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$72.6M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$508M as of Mar 5, 2026
Feb 8, 2012$504M then
HNW client RAUM$205M as of Mar 5, 2026
Mar 19, 2018$182M then
State-registered IARs (5.B.3)0 as of Mar 5, 2026
Feb 15, 20131 then
Employees (5.A)7 as of Mar 5, 2026
Feb 15, 201312 then
Private funds3 as of Mar 5, 2026
Feb 8, 20125 then
RAUM +12% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 5, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $72.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 8.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $57.5M, 3 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
- High-net-worth individuals$205M44%
- Individuals$137M29%
- Pooled investment vehicles$57.5M12%
- Charitable organizations$30.9M6.6%
- Corporations and businesses$25.3M5.4%
- Pension and profit-sharing plans$14.1M3.0%
- State and municipal entities$385,1450.1%
- Individual clients
- 330reported
- HNW clients
- 128reported
- Pension plan clients
- 12reported
- Charitable clients
- 9reported
- Accounts
- 496reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $57.5M for 3 clientsreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.67 fund_share=0.11 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• M••••• P••••• | Tulsa, Ok | May 16, 2019 | 39 y | 2 |
| R••••• B•••• K••••• | Tulsa, Ok | May 16, 2019 | 31 y | 2 |
| R••••• W••••• M•••• | Tulsa, Ok | May 16, 2019 | 11 y | 1 |
| A•••• N••••• B••••Certified Financial Planner | Tulsa, Ok | May 17, 2019 | 15 y | 1 |
| J•••• D•• F•••••Chartered Financial Consultant | Tulsa, Ok | Jan 1, 2025 | 41 y | 1 |
| J••• B•••••• K••••• | Tulsa, Ok | Jan 1, 2025 | 43 y | 2 |
| A•••••• C•••••• D••••••• | Tulsa, Ok | Jul 16, 2026 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- D•••• M••••• P••••• to N••••• A••••••• F••• A••••••• L••Dec 31, 2018 · Other
- R••••• B•••• K••••• to N••••• A••••••• F••• A••••••• L••Dec 31, 2018 · Other
- A•••• N••••• B•••• to N••••• A••••••• F••• A••••••• L••Dec 31, 2018 · Other
- J••• P••• S••••••••• to M•••••• C••••••Aug 26, 2014 · Other
- C•••••• E•••••• C•••• to M•••••• C••••••Aug 26, 2014 · Other
Joined, latest
- J•••• D•• F••••• from T•• I••••••••• M••••••••• C•••••• L••Jan 1, 2025 · Other
- J••• B•••••• K••••• from N••••• A••••••• F••• A••••••• L••Jan 1, 2025 · Other
- D•••• M••••• P••••• from N••••• A••••••• F••• A••••••• L••May 16, 2019 · Other
- R••••• B•••• K••••• from N••••• A••••••• F••• A••••••• L••May 16, 2019 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for N••••• A••••••• F••• A••••••• L••Dec 31, 2018 · Tulsa, Ok · Firm absorbed
- 3 joined from N••••• A••••••• F••• A••••••• L••Dec 31, 2018 · Tulsa, Ok · Firm absorbed
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• I••••• P••••••• I• L•• | Hedge Fund | $20.0M | 45 | Feb 8, 2012 |
| P••••••• A••••••••• F••• I• | Hedge Fund | $18.4M | 34 | Feb 8, 2012 |
| P••••••• I••••• P••••••• L••no longer reported | Hedge Fund | $15.1M | 20 | Feb 8, 2012 |
| C••••••• C•••••• L•• | Securitized Asset Fund | $14.1M | 25 | Feb 8, 2012 |
| P••••••• R••••••• D••••••• F••• L••no longer reported | Hedge Fund | $4.2M | 15 | Feb 8, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K•••••• R•••••• B•••• · Managing Partnercontrolsince 02/1996 · owns 10% to 25%
- P•••••• D••••• M••••• · Managing Partner/Chief Compliance Officercontrolsince 02/1996 · owns 10% to 25%
- B••••• A••••• N••••• · Partnersince 01/2017 · owns less than 5%
- B•••••••• S••••• H••• S•••• · Membersince 01/2007 · owns 5% to 10%
- C••••••••• L•••••• E••••• · Partnersince 01/2007 · owns less than 5%
- F•••••• J••••• D•• · Investment Advisorsince 12/2023 · owns less than 5%
- P•••••• C••••• V••••••• · Partnersince 12/1998 · owns less than 5%
- P••••• J••••• A••••• · Membersince 01/2007 · owns 5% to 10%
- P••••• T••••••• S••••• · General Counselsince 11/1996 · owns less than 5%
- R••••••• D••••••• L•• · Partnersince 03/1996 · owns less than 5%
- S••••••• R•••• O••• · Partnersince 06/2009 · owns less than 5%
Entity owners
- M••••• T••• C•••••• I••••••••• I••• L•• · Partnerdirect · owns less than 5%
- R• B•••• K••••• T•••• B• · Partnerdirect · owns less than 5%
- W•••••• S• S•••• R•••••••• L••••• T•••• · Trusteedirect · owns 5% to 10%
Related persons
Schedule D 7.A
- N••••• A••••••• F••• A••••••• L••investment adviseryRAUM $38.9M
Advisers that list P••••••• I••••••••• A••••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tulsa, Ok · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 468 to 496Oct 8, 2025 to Mar 5, 2026
- Advisory employees · 7 to 6Oct 8, 2025 to Mar 5, 2026
- Charity clients · 7 to 9Oct 8, 2025 to Mar 5, 2026
- HNW clients · 124 to 128Oct 8, 2025 to Mar 5, 2026
- Individual clients · 313 to 330Oct 8, 2025 to Mar 5, 2026
- Pension plan clients · 7 to 12Oct 8, 2025 to Mar 5, 2026
- Assets in custody · $60.6M to $57.5MOct 8, 2025 to Mar 5, 2026
- Employees · 8 to 7Oct 8, 2025 to Mar 5, 2026
- Discretionary RAUM · $444M to $492MOct 8, 2025 to Mar 5, 2026
- HNW RAUM · $159M to $205MOct 8, 2025 to Mar 5, 2026
- Individual RAUM · $131M to $137MOct 8, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $10.9M to $16.8MOct 8, 2025 to Mar 5, 2026
- Pension RAUM · $12.9M to $14.1MOct 8, 2025 to Mar 5, 2026
- Pooled vehicle RAUM · $60.6M to $57.5MOct 8, 2025 to Mar 5, 2026
- RAUM · $455M to $508MOct 8, 2025 to Mar 5, 2026
- Accounts · 440 to 468Nov 6, 2024 to Mar 6, 2025
- Advisory employees · 6 to 7Nov 6, 2024 to Mar 6, 2025
- Charity clients · 11 to 7Nov 6, 2024 to Mar 6, 2025
- Corporate clients · 0 to 12Nov 6, 2024 to Mar 6, 2025
- HNW clients · 72 to 124Nov 6, 2024 to Mar 6, 2025
- Individual clients · 308 to 313Nov 6, 2024 to Mar 6, 2025
- Pension plan clients · 9 to 7Nov 6, 2024 to Mar 6, 2025
- Assets in custody · $52.5M to $60.6MNov 6, 2024 to Mar 6, 2025
- Financial planning clients · 11-25 to 11-25Nov 6, 2024 to Mar 6, 2025
- Discretionary RAUM · $399M to $444MNov 6, 2024 to Mar 6, 2025
- HNW RAUM · $188M to $159MNov 6, 2024 to Mar 6, 2025
- Individual RAUM · $87.8M to $131MNov 6, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $12.8M to $10.9MNov 6, 2024 to Mar 6, 2025
- Pension RAUM · $18.1M to $12.9MNov 6, 2024 to Mar 6, 2025
- Pooled vehicle RAUM · $52.5M to $60.6MNov 6, 2024 to Mar 6, 2025
- RAUM · $412M to $455MNov 6, 2024 to Mar 6, 2025
- Accounts · 384 to 440May 12, 2023 to Mar 6, 2024
- Charity clients · 7 to 11May 12, 2023 to Mar 6, 2024
- HNW clients · 65 to 72May 12, 2023 to Mar 6, 2024
- Individual clients · 290 to 308May 12, 2023 to Mar 6, 2024
- Pension plan clients · 12 to 9May 12, 2023 to Mar 6, 2024
- Assets in custody · $51.8M to $52.5MMay 12, 2023 to Mar 6, 2024
- Discretionary RAUM · $364M to $399MMay 12, 2023 to Mar 6, 2024
- HNW RAUM · $149M to $188MMay 12, 2023 to Mar 6, 2024
- Individual RAUM · $90.6M to $87.8MMay 12, 2023 to Mar 6, 2024
Signals
1 dated events
- P••••••• I••••••••• A••••••• reported RAUM $316.2M, down 26% from $425.7M (2020-06-16 to 2021-03-08)Mar 8, 2021 · RAUM change · derived
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
- info@pinnacleholdings.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 918-582-6864reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 918-582-6864reportedpublic record, Form ADV, Mar 5, 2026
- Team page
- pinnacleholdings.net/who-we-arereportedpublished 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
- $72.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026