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.

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Former SEC-registered adviser

A••••••••• I••••••••• A••••••• I••

Former SEC-registered adviserTulsa, OklahomaCRD 108589SEC 801-54219IAPD
Latest filing Jun 28, 2012
First filing on the tape Mar 30, 2012 · 5 filings
RAUM
$64.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$10.7M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$64.3M as of Jun 28, 2012
Mar 30, 2012$64.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 28, 2012; every figure names its basis
RAUM per advisor
$10.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$149,644derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
430reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
6 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
L••••• M•••• H•••••Tulsa, OkJan 23, 201723 y1
K•••• L•••• B••••• J••Tulsa, OkJan 16, 201811 y0
M•••• R•••••• L•••••••Tulsa, OkJul 21, 202110 y0
J••••• S•••• R••••••••Tulsa, OkOct 9, 202313 y0
R••••• C•••••• D••••Chartered Financial AnalystTulsa, OkJan 16, 202429 y1
J••• H••••• R••Certified Financial PlannerTulsa, OkDec 9, 202429 y1
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••••••• R•••••• F•••••••• · Director/Chairman Of The Boardcontrol
    since 08/1998 · owns less than 5%
  • H•••••• J••••• L• · Directorcontrol
    since 08/1998 · owns less than 5%
  • R••• J•••• H••••• · President/Chief Compliance Officercontrol
    since 03/1997 · owns less than 5%
  • B••••••••• T•••••• A• · Director
    since 04/2010 · owns less than 5%
  • L•••••• P••••• K• · Director
    since 01/2012 · owns less than 5%
Entity owners
  • T••••••••• H•••••• C•••••• · Holding Company
    direct · owns 75% or more
  • B••••••••• O• J•••••• H••• · Shareholder
    indirect · owns 50% to 75% of A••••••••• Holding Company
Related persons
Schedule D 7.A
  • A••••••••• C•••••••••
    n
Advisers that list A••••••••• I••••••••• A••••••• I•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Tulsa, Ok · principal600
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
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.
How to reach
public business contact points only, each with its source
Website
ARGENTFINANCIAL.COM/SUBSIDIARY/A•••••••••-INVESTMENT-ADVISORreportedpublic record, Form ADV, Sep 18, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$10.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026