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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SEC-registered adviser
A••••• F•••••••• R•••••••• I•••
Latest filing Apr 30, 2026
First filing on the tape Mar 26, 2012 · 31 filings
SEC status approved since Nov 7, 2000
RAUM
$411M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
54%
$220M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$58.7M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$411M as of Apr 30, 2026
Mar 26, 2012$247M then
HNW client RAUM$124M as of Apr 30, 2026
Mar 19, 2018$117M then
State-registered IARs (5.B.3)7 as of Apr 30, 2026
Mar 26, 20120 then
Employees (5.A)9 as of Apr 30, 2026
Mar 27, 20135 then
Private funds: no history
RAUM +16% over the last fiscal year+10% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- retirement p••• adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $58.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $167,048derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 46%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$188M46%
- High-net-worth individuals$124M30%
- Individuals$96.0M23%
- Corporations and businesses$3.0M0.7%
- Individual clients
- 383reported
- HNW clients
- 89reported
- Pension plan clients
- 160reported
- Charitable clients
- 0reported
- Accounts
- 2,458reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.54 fund_share=0.0 institutional_share=0.46 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 |
|---|---|---|---|---|
| T••• E•••• J••••Certified Financial Planner | Oklahoma City, Ok | Jan 10, 1992 | 45 y | 0 |
| R••••• L•• W•••• | Oklahoma City, Ok | Oct 30, 2001 | 25 y | 0 |
| J•••••• A•••• A••••••Certified Financial Planner | Oklahoma City, Ok | Sep 20, 2005 | 23 y | 0 |
| W•••••• P••• A•••••••Certified Financial Planner | Oklahoma City, Ok | Aug 4, 2008 | 30 y | 1 |
| B••• E•••• L•••• | Oklahoma City, Ok | Oct 6, 2015 | 22 y | 2 |
| S••••• J••• P••••• | Oklahoma City, Ok | Dec 1, 2016 | 18 y | 1 |
| K••••• N••••• C•••• | Oklahoma City, Ok | Nov 20, 2024 | 12 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
- J•••• J••••• O••••••• to A••••• A••••••• G•••• L••Feb 2, 2009 · Other
Joined, latest
- S••••• J••• P••••• from A••••• W••••• M•••••••••Dec 1, 2016 · Other
- B••• E•••• L•••• from U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Oct 6, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• J••••••• A•••• · Chief Compliance Officercontrolsince 10/2021 · owns less than 5%
- A•••••••• W••••••• P••• · Vice Presidentcontrolsince 10/2021 · owns less than 5%
- J••••• T•••• E•••• · Secretary Of Treasurycontrolsince 10/2021 · owns less than 5%
- W••••• R•••••• L•• · Presidentcontrolsince 10/2021 · owns less than 5%
- A••••••• J••••••• A•••• · Trusteecontrolsince 01/2002 · owns F of J•••••• A• A•••••• L••••• T••••
- A•••••••• W••••••• P••• · Trusteecontrolsince 01/2008 · owns F of A••••••• F••••• T••••
- J••••• T•••• E•••• · Trusteecontrolsince 11/2011 · owns F of T••• E• J•••• R•••••••• T••••
- W••••• R•••••• L•• · Trusteecontrolsince 02/2008 · owns F of W•••• F••••• T••••
Entity owners
- A••••••• F••••• T•••• · Ownerdirect · owns 25% to 50%
- J•••••• A• A•••••• L••••• T•••• · Ownerdirect · owns 25% to 50%
- T••• E• J•••• R•••••••• T•••• · Ownerdirect · owns 25% to 50%
- W•••• F••••• T•••• · Ownerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- A••••••• P••• A••••••••• L••LP sponsory
- W•••••• P• A•••••••• I••• A••••••• A• L••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Oklahoma City, Ok · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Apr 30, 2026institutional share of RAUM of 46% against a peer median of 0% (5676 comparable advisers, 99.0th percentile, 15.3 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 2,483 to 2,458Mar 25, 2025 to Apr 30, 2026
- Charity clients · unset to 0.0Mar 25, 2025 to Apr 30, 2026
- Corporate clients · 13 to 12Mar 25, 2025 to Apr 30, 2026
- HNW clients · 78 to 89Mar 25, 2025 to Apr 30, 2026
- Individual clients · 386 to 383Mar 25, 2025 to Apr 30, 2026
- Pension plan clients · 146 to 160Mar 25, 2025 to Apr 30, 2026
- Discretionary RAUM · $323M to $389MMar 25, 2025 to Apr 30, 2026
- HNW RAUM · $95.8M to $124MMar 25, 2025 to Apr 30, 2026
- Individual RAUM · $93.9M to $96.0MMar 25, 2025 to Apr 30, 2026
- Non-discretionary RAUM · $31.5M to $21.8MMar 25, 2025 to Apr 30, 2026
- Pension RAUM · $163M to $188MMar 25, 2025 to Apr 30, 2026
- RAUM · $355M to $411MMar 25, 2025 to Apr 30, 2026
- Accounts · 2,335 to 2,483Mar 20, 2024 to Mar 25, 2025
- HNW clients · 92 to 78Mar 20, 2024 to Mar 25, 2025
- Pension plan clients · 152 to 146Mar 20, 2024 to Mar 25, 2025
- Financial planning clients · 251-500 to 251-500Mar 20, 2024 to Mar 25, 2025
- Discretionary RAUM · $283M to $323MMar 20, 2024 to Mar 25, 2025
- HNW RAUM · $75.8M to $95.8MMar 20, 2024 to Mar 25, 2025
- Individual RAUM · $85.7M to $93.9MMar 20, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $24.5M to $31.5MMar 20, 2024 to Mar 25, 2025
- Pension RAUM · $144M to $163MMar 20, 2024 to Mar 25, 2025
- RAUM · $308M to $355MMar 20, 2024 to Mar 25, 2025
- Accounts · 2,258 to 2,335Mar 22, 2023 to Mar 20, 2024
- Advisory employees · 9 to 7Mar 22, 2023 to Mar 20, 2024
- Corporate clients · 11 to 13Mar 22, 2023 to Mar 20, 2024
- HNW clients · 74 to 92Mar 22, 2023 to Mar 20, 2024
- Individual clients · 470 to 386Mar 22, 2023 to Mar 20, 2024
- Pension plan clients · 138 to 152Mar 22, 2023 to Mar 20, 2024
- State-registered IARs · 9 to 7Mar 22, 2023 to Mar 20, 2024
- Discretionary RAUM · $278M to $283MMar 22, 2023 to Mar 20, 2024
- HNW RAUM · $79.8M to $75.8MMar 22, 2023 to Mar 20, 2024
- Individual RAUM · $70.5M to $85.7MMar 22, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $28.3M to $24.5MMar 22, 2023 to Mar 20, 2024
- Pension RAUM · $154M to $144MMar 22, 2023 to Mar 20, 2024
- RAUM · $306M to $308MMar 22, 2023 to Mar 20, 2024
- Accounts · 2,163 to 2,258Sep 21, 2022 to Mar 22, 2023
- Corporate clients · 13 to 11Sep 21, 2022 to Mar 22, 2023
- HNW clients · 90 to 74Sep 21, 2022 to Mar 22, 2023
- Individual clients · 347 to 470Sep 21, 2022 to Mar 22, 2023
- Pension plan clients · 144 to 138Sep 21, 2022 to Mar 22, 2023
Signals
4 dated events
- Lee Robert Woody (Trustee) appeared on Schedule A of A••••• F•••••••• R•••••••• I•••Nov 5, 2021 · Control person joined · fact
- Allan Jeffrey Ashford (Trustee) appeared on Schedule A of A••••• F•••••••• R•••••••• I•••Nov 5, 2021 · Control person joined · fact
- Paul William Atkinson (Trustee) appeared on Schedule A of A••••• F•••••••• R•••••••• I•••Nov 5, 2021 · Control person joined · fact
- A••••• F•••••••• R•••••••• I••• reported RAUM $256.5M, down 32% from $376.0M (2019-08-01 to 2020-02-24)Feb 24, 2020 · 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@afradvice.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 405-848-1431reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 405-848-9826reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 405-848-9826reportedpublic record, Form ADV, Apr 30, 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
- $58.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026