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•••• M••••••••• A•••••••• L••
Latest filing Aug 11, 2026
First filing on the tape Mar 30, 2012 · 19 filings
SEC status approved since May 26, 1999
RAUM
$221M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$220M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$73.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$221M as of Aug 11, 2026
Mar 30, 2012$105M then
HNW client RAUM$205M as of Aug 11, 2026
Mar 29, 2018$132M then
State-registered IARs (5.B.3)2 as of Aug 11, 2026
Mar 30, 20120 then
Employees (5.A)2 as of Aug 11, 2026
Mar 22, 20132 then
Private funds: no history
RAUM +12% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 11, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $73.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $895,846derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $48.8M, 9 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)
- 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
- High-net-worth individuals$205M93%
- Individuals$15.3M6.9%
- Corporations and businesses$1.2M0.5%
- Individual clients
- 59reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 247reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $48.8M for 9 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• M••••• W••••••• | Oklahoma City, Ok | Jul 5, 1996 | 30 y | 0 |
| L•••• A•• R•• | Oklahoma City, Ok | Nov 6, 2017 | 14 y | 0 |
| M•••••• P•••••• H•••••• | Oklahoma City, Ok | Aug 5, 2026 | 14 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••• L••••• A•• · Managing Membercontrolsince 01/2018 · owns 50% to 75%
- W•••••••• J••••• M••••• · Managing Membercontrolsince 03/1996 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Oklahoma City, Ok · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 1 to 2Jul 28, 2026 to Aug 11, 2026
- Employees · 1 to 2Jul 28, 2026 to Aug 11, 2026
- State-registered IARs · 1 to 2Jul 28, 2026 to Aug 11, 2026
- Advisory employees · 2 to 1Feb 24, 2026 to Jul 28, 2026
- Employees · 2 to 1Feb 24, 2026 to Jul 28, 2026
- State-registered IARs · 2 to 1Feb 24, 2026 to Jul 28, 2026
- Accounts · 249 to 247Feb 17, 2025 to Feb 24, 2026
- HNW clients · 39 to 40Feb 17, 2025 to Feb 24, 2026
- Individual clients · 62 to 59Feb 17, 2025 to Feb 24, 2026
- Assets in custody · $42.4M to $48.8MFeb 17, 2025 to Feb 24, 2026
- Discretionary RAUM · $198M to $221MFeb 17, 2025 to Feb 24, 2026
- HNW RAUM · $181M to $205MFeb 17, 2025 to Feb 24, 2026
- Individual RAUM · $15.8M to $15.3MFeb 17, 2025 to Feb 24, 2026
- RAUM · $198M to $221MFeb 17, 2025 to Feb 24, 2026
- Accounts · 236 to 249Feb 29, 2024 to Feb 17, 2025
- Corporate clients · 1 to 2Feb 29, 2024 to Feb 17, 2025
- HNW clients · 35 to 39Feb 29, 2024 to Feb 17, 2025
- Individual clients · 65 to 62Feb 29, 2024 to Feb 17, 2025
- Assets in custody · $28.2M to $42.4MFeb 29, 2024 to Feb 17, 2025
- Financial planning clients · 0 to 0Feb 29, 2024 to Feb 17, 2025
- Discretionary RAUM · $171M to $198MFeb 29, 2024 to Feb 17, 2025
- HNW RAUM · $154M to $181MFeb 29, 2024 to Feb 17, 2025
- Individual RAUM · $16.0M to $15.8MFeb 29, 2024 to Feb 17, 2025
- RAUM · $171M to $198MFeb 29, 2024 to Feb 17, 2025
- Accounts · 235 to 236Mar 15, 2023 to Feb 29, 2024
- HNW clients · 32 to 35Mar 15, 2023 to Feb 29, 2024
- Individual clients · 66 to 65Mar 15, 2023 to Feb 29, 2024
- Assets in custody · $24.9M to $28.2MMar 15, 2023 to Feb 29, 2024
- Discretionary RAUM · $147M to $171MMar 15, 2023 to Feb 29, 2024
- HNW RAUM · $129M to $154MMar 15, 2023 to Feb 29, 2024
- Individual RAUM · $17.0M to $16.0MMar 15, 2023 to Feb 29, 2024
- RAUM · $147M to $171MMar 15, 2023 to Feb 29, 2024
- Accounts · 239 to 235Feb 2, 2022 to Mar 15, 2023
- HNW clients · 37 to 32Feb 2, 2022 to Mar 15, 2023
- Individual clients · 68 to 66Feb 2, 2022 to Mar 15, 2023
- Assets in custody · $28.6M to $24.9MFeb 2, 2022 to Mar 15, 2023
- Discretionary RAUM · $184M to $147MFeb 2, 2022 to Mar 15, 2023
- HNW RAUM · $164M to $129MFeb 2, 2022 to Mar 15, 2023
- Individual RAUM · $18.4M to $17.0MFeb 2, 2022 to Mar 15, 2023
- RAUM · $184M to $147MFeb 2, 2022 to Mar 15, 2023
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
- Principal office phone
- 405-842-1881reportedpublic record, Form ADV, Aug 11, 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
- $73.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026