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

B•••• • A••••••••• I•••

Former SEC-registered adviserPonca City, OklahomaCRD 111688SEC 801-121511IAPD
Latest filing Jun 9, 2022
First filing on the tape Feb 28, 2012 · 12 filings
RAUM
$129M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$128M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$129M as of Mar 21, 2022
Feb 28, 2012$61.7M then
HNW client RAUM: $71.4M
State-registered IARs (5.B.3)4 as of Mar 21, 2022
Feb 28, 20120 then
Employees (5.A): 6
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 9, 2022; every figure names its basis
RAUM per advisor
$32.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
89derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$811,187derivedHNW RAUM over HNW clients
Average account
$269,883derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 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, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$126MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$71.4M55%
  • Individuals$56.7M44%
  • Corporations and businesses$929,7880.7%
  • Charitable organizations$26,8410.0%
Individual clients
267reported
HNW clients
88reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
478reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• S••••• I•••• · Secretary/Treasurercontrol
      since 04/1999 · owns less than 5%
    • B••••• W••••••• S•••••• · President, Chief Compliance Officercontrol
      since 04/1999 · owns less than 5%
    Entity owners
    • M••••• G••••• A••••••• I••• · Parent Company
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 3 to 2
      Mar 21, 2022 to Jun 9, 2022
    • Accounts · 456 to 478
      Sep 22, 2021 to Mar 21, 2022
    • Charity clients · 0 to 1
      Sep 22, 2021 to Mar 21, 2022
    • Corporate clients · 3 to 2
      Sep 22, 2021 to Mar 21, 2022
    • HNW clients · 84 to 88
      Sep 22, 2021 to Mar 21, 2022
    • Individual clients · 260 to 267
      Sep 22, 2021 to Mar 21, 2022
    • Discretionary RAUM · $113M to $129M
      Sep 22, 2021 to Mar 21, 2022
    • HNW RAUM · $61.2M to $71.4M
      Sep 22, 2021 to Mar 21, 2022
    • Individual RAUM · $50.6M to $56.7M
      Sep 22, 2021 to Mar 21, 2022
    • RAUM · $113M to $129M
      Sep 22, 2021 to Mar 21, 2022
    • Pooled vehicle RAUM · unset to 0.0
      Jul 20, 2012 to May 15, 2021
    • RAUM · $61.7M to $113M
      Jul 20, 2012 to May 15, 2021
    • Wrap assets (manager) · unset to 0.0
      Jul 20, 2012 to May 15, 2021
    • Wrap assets (sponsor) · unset to 0.0
      Jul 20, 2012 to May 15, 2021
    • Accounts · 469 to 456
      Jul 20, 2012 to May 15, 2021
    • Advisory employees · unset to 4.0
      Jul 20, 2012 to May 15, 2021
    • Advisory activities · 2 to 3
      Jul 20, 2012 to May 15, 2021
    • BD registered reps · unset to 0.0
      Jul 20, 2012 to May 15, 2021
    • Charity clients · unset to 0.0
      Jul 20, 2012 to May 15, 2021
    • Corporate clients · unset to 3.0
      Jul 20, 2012 to May 15, 2021
    • HNW clients · unset to 84.0
      Jul 20, 2012 to May 15, 2021
    • Individual clients · unset to 260.0
      Jul 20, 2012 to May 15, 2021
    • Pension plan clients · unset to 0.0
      Jul 20, 2012 to May 15, 2021
    • Pooled vehicle clients · unset to 0.0
      Jul 20, 2012 to May 15, 2021
    • Commission compensation · true to false
      Jul 20, 2012 to May 15, 2021
    • Employees · unset to 6.0
      Jul 20, 2012 to May 15, 2021
    • Financial planning clients · 251-500 to 0
      Jul 20, 2012 to May 15, 2021
    • State-registered IARs · 0 to 4
      Jul 20, 2012 to May 15, 2021
    • Other offices · unset to 0.0
      Jul 20, 2012 to May 15, 2021
    • Discretionary RAUM · $46.5M to $113M
      Jul 20, 2012 to May 15, 2021
    • HNW RAUM · unset to 61236974.0
      Jul 20, 2012 to May 15, 2021
    • Individual RAUM · unset to 50602080.0
      Jul 20, 2012 to May 15, 2021
    • Non-discretionary RAUM · $15.2M to $0
      Jul 20, 2012 to May 15, 2021
    • Pension RAUM · unset to 0.0
      Jul 20, 2012 to May 15, 2021
    Signals
    6 dated events
    • J•••• D••• B•••• left B•••• • A••••••••• I••• for M••••• G••••• A••••••• I••• (registered 2022-08-03)
      Oct 26, 2022 · Advisor changed firm · fact
    • J•••• C• B•••• left B•••• • A••••••••• I••• for M••••• G••••• A••••••• I••• (registered 2022-07-29)
      Oct 26, 2022 · Advisor changed firm · fact
    • 2 advisors left B•••• • A••••••••• I••• (Ponca City, OK) for M••••• G••••• A••••••• I••• on the same day
      Oct 26, 2022 · Team lift-out · derived
    • C••• J•• M••••• left B•••• • A••••••••• I••• for S••••••••• F•••••••• (registered 2022-06-14)
      Mar 18, 2022 · Advisor changed firm · fact
    • Irene Susan B•••• (Secretary/Treasurer) appeared on Schedule A of B•••• • A••••••••• I•••
      May 15, 2021 · Control person joined · fact
    • B•••• • A••••••••• I••• filed its initial SEC registration (Form ADV)
      May 15, 2021 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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