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

Plan Group Financial, Inc.

Independent wealth managerOklahoma City, OklahomaCRD 116508SEC 801-118599websiteIAPD
Latest filing Apr 6, 2026
First filing on the tape Mar 30, 2020 · 19 filings
SEC status approved since Apr 30, 2020
RAUM
$690M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$690M individuals and HNW
Advisors
18
registered through the firm on IAPD
RAUM per advisor
$38.4M
derived; firm RAUM over IAPD count
Employees
29
17 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$690M as of Apr 6, 2026
Mar 31, 2021$185M then
HNW client RAUM$479M as of Apr 6, 2026
Mar 31, 2021$101M then
State-registered IARs (5.B.3)17 as of Apr 6, 2026
Mar 31, 202110 then
Employees (5.A)29 as of Apr 6, 2026
Mar 31, 202119 then
Private funds: no history
RAUM +28% over the last fiscal year+42% a year over threeIARs 13 to 17
Practice profile
derived from the filing of Apr 6, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
RAUM per advisor
$38.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
68derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$222,535derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
2.0derived9 offices incl. principal (1.F.5)
RAUM growth, one year
+28%derivedbetween the last two annual amendments
Advisor growth, one year
+31%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.9%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
  • High-net-worth individuals$479M69%
  • Individuals$211M31%
Individual clients
1,072reported
HNW clients
149reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3,102reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=7.0derived
Advisors registered through the firm
18 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Carl Hayes HollidayOklahoma City, Ok Jun 23, 202243 y0
Douglas Ray ClaycombOklahoma City, OkJan 12, 202322 y4
Cody Owen WheelerOklahoma City, OkJan 12, 202311 y1
Matthew Ronald SchultzOklahoma City, OkJan 12, 202312 y2
Jeffery Allen EynetichGrand Island, Ne Jan 13, 202310 y2
Michael James WhiteOklahoma City, OkJan 13, 202317 y3
Dallas Lee WheelerOklahoma City, OkJan 25, 202318 y4
James Carroll BillingsleyOklahoma City, OkJan 26, 202342 y10
Shawn Gerald HanquistCertified Financial PlannerGrand Island, Ne Jun 14, 202317 y5
Hayden John PrzybyszFort Smith, Ar Nov 21, 202315 y2
Spencer Doyle AufenthieOklahoma City, OkMar 4, 202410 y0
Boston Cole HarrisOklahoma City, OkOct 13, 202513 y0
Luke Alexander SteinOklahoma City, OkOct 13, 202511 y0
Tobin Babu ThomasOklahoma City, Ok Jan 11, 202612 y1
Srikant C JonnadaOklahoma City, Ok Jan 12, 202617 y1
Harrison Riley NewmarkOklahoma City, OkFeb 2, 202610 y0
Amanda M HanquistOklahoma City, Ok Feb 4, 202615 y2
Jacob Daniel WandelOklahoma City, Ok Jun 1, 202611 y0
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount3 left over 36 months
Left, latest
Joined, latest
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
  • Ray Douglas Claycomb · Presidentcontrol
    since 03/2017 · owns 75% or more
  • Owen Cody Wheeler · Director Of Operationscontrol
    since 10/2022 · owns less than 5%
  • Joseph Brian Petraitis · Chief Compliance Officer
    since 02/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Oklahoma City, Ok · principal1870
Grand Island, Ne310
Edmond, Ok000
Offices
Schedule D 1.F, the 25 largest
  • Grand Island, NE3 employees
  • Oklahoma City, OK3 employees
  • Kearney, NE3 employees
  • Phoenix, AZ2 employees
  • Fort Smith, AR1 employees
  • Fayetteville, AR1 employees
  • Bentonville, AR1 employees
  • Austin, TX1 employees
What changed
consecutive filings, newest first
  • Accounts · 2,693 to 3,102
    Mar 28, 2025 to Mar 25, 2026
  • Advisory employees · 14 to 17
    Mar 28, 2025 to Mar 25, 2026
  • BD registered reps · 8 to 7
    Mar 28, 2025 to Mar 25, 2026
  • HNW clients · 116 to 149
    Mar 28, 2025 to Mar 25, 2026
  • Individual clients · 1,059 to 1,072
    Mar 28, 2025 to Mar 25, 2026
  • Employees · 27 to 29
    Mar 28, 2025 to Mar 25, 2026
  • Insurance-licensed employees · 0 to 1
    Mar 28, 2025 to Mar 25, 2026
  • State-registered IARs · 13 to 17
    Mar 28, 2025 to Mar 25, 2026
  • Discretionary RAUM · $537M to $683M
    Mar 28, 2025 to Mar 25, 2026
  • HNW RAUM · $335M to $479M
    Mar 28, 2025 to Mar 25, 2026
  • Individual RAUM · $206M to $211M
    Mar 28, 2025 to Mar 25, 2026
  • Non-discretionary RAUM · $4.2M to $7.6M
    Mar 28, 2025 to Mar 25, 2026
  • RAUM · $541M to $690M
    Mar 28, 2025 to Mar 25, 2026
  • Accounts · 2,568 to 2,693
    Jul 31, 2024 to Mar 28, 2025
  • HNW clients · 49 to 116
    Jul 31, 2024 to Mar 28, 2025
  • Individual clients · 1,395 to 1,059
    Jul 31, 2024 to Mar 28, 2025
  • Assets in custody · unset to 0.0
    Jul 31, 2024 to Mar 28, 2025
  • Employees · 24 to 27
    Jul 31, 2024 to Mar 28, 2025
  • Financial planning clients · 26-50 to 26-50
    Jul 31, 2024 to Mar 28, 2025
  • Discretionary RAUM · $347M to $537M
    Jul 31, 2024 to Mar 28, 2025
  • HNW RAUM · $114M to $335M
    Jul 31, 2024 to Mar 28, 2025
  • Individual RAUM · $233M to $206M
    Jul 31, 2024 to Mar 28, 2025
  • Non-discretionary RAUM · $0 to $4.2M
    Jul 31, 2024 to Mar 28, 2025
  • RAUM · $347M to $541M
    Jul 31, 2024 to Mar 28, 2025
  • Accounts · 2,536 to 2,568
    Mar 31, 2024 to Jul 31, 2024
  • Discretionary RAUM · $285M to $347M
    Mar 31, 2024 to Jul 31, 2024
  • HNW RAUM · $115M to $114M
    Mar 31, 2024 to Jul 31, 2024
  • Individual RAUM · $170M to $233M
    Mar 31, 2024 to Jul 31, 2024
  • RAUM · $285M to $347M
    Mar 31, 2024 to Jul 31, 2024
  • Accounts · 2,309 to 2,536
    Nov 30, 2023 to Mar 31, 2024
  • Advisory employees · 10 to 14
    Nov 30, 2023 to Mar 31, 2024
  • BD registered reps · 7 to 8
    Nov 30, 2023 to Mar 31, 2024
  • HNW clients · 51 to 49
    Nov 30, 2023 to Mar 31, 2024
  • Individual clients · 1,430 to 1,395
    Nov 30, 2023 to Mar 31, 2024
  • Employees · 17 to 24
    Nov 30, 2023 to Mar 31, 2024
  • Insurance-licensed employees · 1 to 0
    Nov 30, 2023 to Mar 31, 2024
  • Financial planning clients · 1-10 to 26-50
    Nov 30, 2023 to Mar 31, 2024
  • State-registered IARs · 10 to 13
    Nov 30, 2023 to Mar 31, 2024
  • Other offices · 7 to 8
    Nov 30, 2023 to Mar 31, 2024
  • Discretionary RAUM · $242M to $285M
    Nov 30, 2023 to Mar 31, 2024
Signals
12 dated events
  • Plan Group Financial, Inc. reported RAUM $690.3M, up 28% from $541.4M (2025-03-28 to 2026-03-25)
    Mar 25, 2026 · RAUM change · derived
  • 2 advisors left Eagle Strategies LLC (Oklahoma City, OK) for Plan Group Financial, Inc. within 4 days
    Jan 16, 2026 · Team lift-out · derived
  • Joshua Tyler Swanson left Plan Group Financial, Inc. for Gladstone Wealth Partners (registered 2025-05-22)
    Jun 2, 2025 · Advisor changed firm · fact
  • Plan Group Financial, Inc. reported RAUM $541.4M, up 56% from $346.9M (2024-07-31 to 2025-03-28)
    Mar 28, 2025 · RAUM change · derived
  • Lee Robert Hopkins (Chief Compliance Officer) no longer on Schedule A of Plan Group Financial, Inc. (listed 2023-11-30, absent 2024-03-31)
    Mar 31, 2024 · Control person left · inference
  • Steven Douglas Kaestner left Plan Group Financial, Inc. for Saxony Capital Management, Llc (registered 2023-11-01)
    Nov 9, 2023 · Advisor changed firm · fact
  • Jamie Louise Kaestner left Plan Group Financial, Inc. for Saxony Capital Management, Llc (registered 2023-11-01)
    Nov 9, 2023 · Advisor changed firm · fact
  • 2 advisors left Plan Group Financial, Inc. (Edmond, OK) for Saxony Capital Management, LLC on the same day
    Nov 9, 2023 · Team lift-out · derived
  • Owen Cody Wheeler (Director Of Operations) appeared on Schedule A of Plan Group Financial, Inc.
    Mar 30, 2023 · Control person joined · fact
  • Kyle Ray left Plan Group Financial, Inc. for Full Sail Capital, Llc (registered 2021-10-22)
    May 6, 2022 · Advisor changed firm · fact
  • Lee Robert Hopkins (Chief Compliance Officer) appeared on Schedule A of Plan Group Financial, Inc.
    Mar 31, 2022 · Control person joined · fact
  • Plan Group Financial, Inc. filed its initial SEC registration (Form ADV)
    Mar 30, 2020 · 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.
How to reach
public business contact points only, each with its source
Business phone
479-649-0888reportedpublished by the firm, firm site, Sep 15, 2026
Business phone
479-254-2877reportedpublished by the firm, firm site, Sep 15, 2026
Business phone
479-444-8200reportedpublished by the firm, firm site, Sep 15, 2026
Website
przwealthmgt.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
405-848-1099reportedpublic record, Form ADV, Apr 6, 2026
Contact form
przwealthmgt.com/connectreportedpublished by the firm, firm site, Sep 15, 2026
Team page
przwealthmgt.com/our-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
$38.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026