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

First Investment Corporation

Former SEC-registered adviserBartlesville, OklahomaCRD 110972SEC 801-24481IAPD
Latest filing Oct 30, 2012
First filing on the tape Mar 28, 2012 · 8 filings
RAUM
$55.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$55.8M as of Oct 30, 2012
Mar 28, 2012$55.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 3
Employees (5.A): 3
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 30, 2012; every figure names its basis
RAUM per advisor
$18.6MderivedRAUM 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
$117,487derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 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, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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
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
475reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourly, commissionsreported
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
3 left, 0 joined in 12 months
net -3 in 12 months3 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
    • 3 left for Farther
      Aug 31, 2026 · Bartlesville, Ok · Firm absorbed
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Dale Jimmy Phillips · Chief Compliance Officer/Ceocontrol
        since 03/1989 · owns 75% or more
      Related persons
      Schedule D 7.A
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Bartlesville, Ok · principal003
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 3.0
        Oct 1, 2012 to Oct 30, 2012
      • BD registered reps · unset to 3.0
        Oct 1, 2012 to Oct 30, 2012
      • Employees · unset to 3.0
        Oct 1, 2012 to Oct 30, 2012
      • State-registered IARs · unset to 3.0
        Oct 1, 2012 to Oct 30, 2012
      • Advisory activities · 3 to 2
        Jul 10, 2012 to Aug 27, 2012
      Signals
      4 dated events
      • Morgan Faye Barnhill left First Investment Corporation for Farther (registered 2026-05-05)
        Aug 31, 2026 · Advisor changed firm · fact
      • Kenneth Wayne Green left First Investment Corporation for Farther (registered 2026-05-07)
        Aug 31, 2026 · Advisor changed firm · fact
      • Cheryl Annette Green left First Investment Corporation for Farther (registered 2026-05-05)
        Aug 31, 2026 · Advisor changed firm · fact
      • First Investment Corporation's advisors moved to Farther (Bartlesville, OK): 3 of 3 registered, on the same day
        Aug 31, 2026 · Firm absorbed (people side) · 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
      Website
      WORKPLAYPLAN.COMreportedpublic record, Form ADV, Sep 17, 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026