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.
SEC-registered adviser
Sutterfield Financial Group, Inc.
Latest filing Mar 27, 2026
First filing on the tape Mar 16, 2012 · 24 filings
SEC status approved since Jan 3, 2005
RAUM
$274M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
63%
$174M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$39.2M
derived; firm RAUM over IAPD count
Employees
32
13 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$274M as of Mar 27, 2026
Mar 16, 2012$127M then
HNW client RAUM$62.3M as of Mar 27, 2026
Mar 28, 2018$42.6M then
State-registered IARs (5.B.3)6 as of Mar 27, 2026
Apr 1, 201313 then
Employees (5.A)32 as of Mar 27, 2026
Apr 1, 201335 then
Private funds: no history
RAUM +24% over the last fiscal year+16% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Retirement plan 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
- $39.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 141derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $114,715derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 36%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.6derivedItem 5.A over advisors
- Advisors per office
- 1.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $34.9M, 13 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
- 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$112M41%
- High-net-worth individuals$62.3M23%
- Pension and profit-sharing plans$53.7M20%
- Insurance companies$34.9M13%
- Charitable organizations$8.8M3.2%
- Corporations and businesses$2.9M1.1%
- Individual clients
- 944reported
- HNW clients
- 45reported
- Pension plan clients
- 100reported
- Charitable clients
- 9reported
- Accounts
- 2,392reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $34.9M for 13 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.63 fund_share=0.0 institutional_share=0.36 related_bd=true related_bank=false bd_reps=6.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Trevor Shawn Sutterfield | Bartlesville, Ok | Jan 24, 2000 | 33 y | 2 |
| Jason Scott Tinklenberg | Bartlesville, Ok | Oct 17, 2005 | 23 y | 2 |
| Aaron Keith Kvistero | Sioux Falls, Sd | Oct 17, 2005 | 23 y | 2 |
| Daniel Keith Strickland | Daingerfield, Tx | Jun 1, 2011 | 22 y | 3 |
| Scott Gregory Weinzierl | Bemidji, Mn | Jan 28, 2014 | 18 y | 0 |
| Michael Allen GrammCertified Financial Planner | Bartlesville, Ok | Jan 1, 2026 | 22 y | 0 |
| Darrel John Wick | Deer River, Mn | Jan 1, 2026 | 41 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
- Jeremy Charles Tims to National Planning Corporation ("Npc Of America" In Fl & Ny)May 16, 2019 · Other
- Nathan Micah Barham to Perspective Advisors, LLCMay 16, 2019 · RIA to a state-registered adviser
- Adam James Dekker to Meredith Dekker Financial Services, LLCMay 16, 2019 · RIA to a state-registered adviser
- Nicholas Ernest Mock to Bfc Planning, Inc.Oct 8, 2015 · Other
- Jessi Lee Nippert to Wells Fargo AdvisorsNov 6, 2014 · Other
- Raymond Paul Thompson to National Planning Corporation ("Npc Of America" In Fl & Ny)Aug 6, 2014 · Other
- Marissa Dawn Nehlsen to National Planning Corporation ("Npc Of America" In Fl & Ny)Jul 24, 2013 · Other
- Darla J Wienk to National Planning Corporation ("Npc Of America" In Fl & Ny)Mar 5, 2012 · Other
- Chad Michael Centorbi to Silver Oak Securities, Inc.Jan 27, 2012 · Other
- Bradley Keith Lewis to First Independent Advisory Services, Inc.Jul 14, 2011 · Other
- Darin Andrew Drennan to Cuso Financial Services, L.P.Jan 26, 2011 · Other
- Todd Franklin Gregory to Kalos ManagementJun 2, 2009 · Other
- Reagan Lee Wagner to Strategic Financial Concepts, LLCApr 2, 2008 · Other
- Touchstone Kyte Mcdonald to Strategic Financial Concepts, LLCFeb 28, 2008 · Other
- Ryan Stephen Neely to Hornor, Townsend & Kent, LLCMar 7, 2007 · Other
Joined, latest
- Jessi Lee Nippert from MML Investors Services, LLCJun 3, 2014 · Other
- Daniel Keith Strickland from Signal Securities, Inc.Jun 1, 2011 · Other
- Darin Andrew Drennan from Sagepoint Financial, Inc.Feb 2, 2009 · Other
- Bradley Keith Lewis from Sagepoint Financial, Inc.Jan 12, 2009 · Other
- Todd Franklin Gregory from Silver Oak Securities, Inc.Apr 29, 2008 · Other
- Jeremy Charles Tims from American General Securities IncorporatedOct 17, 2005 · Other
- Jason Scott Tinklenberg from American General Securities IncorporatedOct 17, 2005 · Other
- Aaron Keith Kvistero from American General Securities IncorporatedOct 17, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Zachary Hyden · Chief Compliance Officer / General Counselcontrolsince 03/2015 · owns less than 5%
- Lee Michelle Sutterfield · Chief Financial Officercontrolsince 06/1999 · owns 50% to 75%
- Shawn Trevor Sutterfield · President / Chief Executive Officercontrolsince 06/1999 · owns 50% to 75%
Related persons
Schedule D 7.A
- Freedom Insurance Group, LLCreal estatecustodiany
- Longview Financial Solutions, LLCinvestment advisery
- Longview Tax Solutions, LLCinsurancey
- Michael A. Gramminvestment advisery
- Pension Advisors, Inc.LP sponsory
- Purshe Kaplan Sterling Investments, Inc.broker-dealern
- Seraph Capital Associates, LLCinvestment advisercustodianyRAUM $90.3M
- Svc II Partners, LLCpooled vehicle sponsory
- Svc III Partners, LLCpooled vehicle sponsory
- Svc Partners, LLCpooled vehicle sponsory
Advisers that list Sutterfield Financial Group, Inc. as a related person
- 165754 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bartlesville, Ok · principal | 6 | 1 | 0 | ||
| Sioux Falls, Sd | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Sioux Falls, SD2 employees
- Bemidji, MN1 employees
- Willmar, MN1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Mar 27, 2026employees per registered advisor of 4.6 against a peer median of 1.2 (1314 comparable advisers, 99.0th percentile, 11.4 robust deviations)peers: independent wealth managers, $100M to $500M (1,314) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 2,280 to 2,392Mar 27, 2025 to Mar 27, 2026
- BD registered reps · 2 to 6Mar 27, 2025 to Mar 27, 2026
- HNW clients · 32 to 45Mar 27, 2025 to Mar 27, 2026
- Individual clients · 831 to 944Mar 27, 2025 to Mar 27, 2026
- Assets in custody · $30.1M to $34.9MMar 27, 2025 to Mar 27, 2026
- Employees · 24 to 32Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $211M to $264MMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $45.1M to $62.3MMar 27, 2025 to Mar 27, 2026
- Individual RAUM · $96.3M to $112MMar 27, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $9.5M to $10.7MMar 27, 2025 to Mar 27, 2026
- Pension RAUM · $39.0M to $53.7MMar 27, 2025 to Mar 27, 2026
- RAUM · $221M to $274MMar 27, 2025 to Mar 27, 2026
- Accounts · 2,259 to 2,280Jul 31, 2024 to Mar 27, 2025
- Charity clients · 8 to 9Jul 31, 2024 to Mar 27, 2025
- Corporate clients · 17 to 18Jul 31, 2024 to Mar 27, 2025
- HNW clients · 69 to 32Jul 31, 2024 to Mar 27, 2025
- Individual clients · 919 to 831Jul 31, 2024 to Mar 27, 2025
- Pension plan clients · 96 to 100Jul 31, 2024 to Mar 27, 2025
- Assets in custody · $31.1M to $30.1MJul 31, 2024 to Mar 27, 2025
- Financial planning clients · 251-500 to 251-500Jul 31, 2024 to Mar 27, 2025
- Discretionary RAUM · $194M to $211MJul 31, 2024 to Mar 27, 2025
- HNW RAUM · $34.0M to $45.1MJul 31, 2024 to Mar 27, 2025
- Individual RAUM · $90.2M to $96.3MJul 31, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $8.6M to $9.5MJul 31, 2024 to Mar 27, 2025
- Pension RAUM · $36.2M to $39.0MJul 31, 2024 to Mar 27, 2025
- RAUM · $202M to $221MJul 31, 2024 to Mar 27, 2025
- Accounts · 2,227 to 2,259Mar 30, 2023 to Mar 29, 2024
- BD registered reps · 4 to 2Mar 30, 2023 to Mar 29, 2024
- Charity clients · 9 to 8Mar 30, 2023 to Mar 29, 2024
- Corporate clients · 47 to 17Mar 30, 2023 to Mar 29, 2024
- HNW clients · 76 to 69Mar 30, 2023 to Mar 29, 2024
- Individual clients · 968 to 919Mar 30, 2023 to Mar 29, 2024
- Pension plan clients · 179 to 96Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $29.2M to $31.1MMar 30, 2023 to Mar 29, 2024
- Employees · 17 to 24Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $166M to $194MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $41.2M to $34.0MMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $75.3M to $90.2MMar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $9.1M to $8.6MMar 30, 2023 to Mar 29, 2024
- Pension RAUM · $25.1M to $36.2MMar 30, 2023 to Mar 29, 2024
Signals
1 dated events
- Micah Nathan Barham (Chief Operating Officer) no longer on Schedule A of Sutterfield Financial Group, Inc. (listed 2019-03-28, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
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 phone
- 918-338-2255reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-291-5778reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/SUTTERFIELD-FINANCIAL-GROUP-INC-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- SUTTERFIELDFINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (918) 338-2255reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- sutterfieldfinancial.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- sutterfieldfinancial.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $39.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026