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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
J• M• B•••• F•••••••• P•••••••
Legal name J• M• B•••• • A••••••••• I•••
Latest filing May 21, 2026
First filing on the tape Nov 22, 2011 · 15 filings
SEC status approved since Jul 24, 2024
RAUM
$202M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$202M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$33.7M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$202M as of May 21, 2026
Mar 5, 2012$54.8M then
HNW client RAUM$54.6M as of May 21, 2026
Mar 26, 2025$92.0M then
State-registered IARs (5.B.3)0 as of May 21, 2026
Mar 26, 20250 then
Employees (5.A)7 as of May 21, 2026
Mar 26, 20258 then
Private funds: no history
RAUM +28% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 21, 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
- RAUM per advisor
- $33.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $146,842derivedHNW RAUM over HNW clients
- Average account
- $208,128derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$147M73%
- High-net-worth individuals$54.6M27%
- Individual clients
- 129reported
- HNW clients
- 372reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 971reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• A••• B•••• | Tulsa, Ok | Nov 14, 2005 | 33 y | 0 |
| C••••• M•••••••• W•••• | Tulsa, Ok | Aug 3, 2015 | 11 y | 0 |
| O••• A••• A••••••• | Tulsa, Ok | Sep 21, 2018 | 13 y | 0 |
| R•••••• L••• A••••••• | Tulsa, Ok | Dec 6, 2024 | 11 y | 0 |
| J••••• M•••••• K•••••••Certified Financial Planner | Tulsa, Ok | Dec 6, 2024 | 10 y | 3 |
| W•••••• R•••••• T••••••Certified Financial Planner | Tulsa, Ok | Nov 24, 2025 | 29 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- W•••••• R•••••• T•••••• from S••••••••• A•••••• A•••••••• I•••Nov 24, 2025 · Other
- J••••• M•••••• K••••••• from B•• F•••••••• A•••••••Dec 6, 2024 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• R•••••• A••• · President And Chief Compliance Officercontrolsince 11/2011 · owns 75% or more
Related persons
Schedule D 7.A
- J• M• B•••• F•••••••• P•••••••investment adviserinsurancereal estateyRAUM $202M
Advisers that list J• M• B•••• F•••••••• P••••••• as a related person
- 118427 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tulsa, Ok · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 58.0% to 27.0% between the annual amendments of 2025-03-26 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 934 to 971Jun 5, 2025 to Mar 30, 2026
- HNW clients · 77 to 372Jun 5, 2025 to Mar 30, 2026
- Individual clients · 433 to 129Jun 5, 2025 to Mar 30, 2026
- Pension plan clients · 1 to 0Jun 5, 2025 to Mar 30, 2026
- Employees · 8 to 7Jun 5, 2025 to Mar 30, 2026
- Discretionary RAUM · $158M to $202MJun 5, 2025 to Mar 30, 2026
- HNW RAUM · $92.0M to $54.6MJun 5, 2025 to Mar 30, 2026
- Individual RAUM · $65.5M to $147MJun 5, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $0 to $422,803Jun 5, 2025 to Mar 30, 2026
- Pension RAUM · $460,000 to $0Jun 5, 2025 to Mar 30, 2026
- RAUM · $158M to $202MJun 5, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 26, 2025 to Jun 5, 2025
- Accounts · 716 to 934Aug 9, 2024 to Mar 26, 2025
- Advisory employees · 4 to 5Aug 9, 2024 to Mar 26, 2025
- HNW clients · 50 to 77Aug 9, 2024 to Mar 26, 2025
- Individual clients · 450 to 433Aug 9, 2024 to Mar 26, 2025
- Pension plan clients · 8 to 1Aug 9, 2024 to Mar 26, 2025
- Employees · 7 to 8Aug 9, 2024 to Mar 26, 2025
- State-registered IARs · 4 to 0Aug 9, 2024 to Mar 26, 2025
- Discretionary RAUM · $118M to $158MAug 9, 2024 to Mar 26, 2025
- HNW RAUM · $58.6M to $92.0MAug 9, 2024 to Mar 26, 2025
- Individual RAUM · $60.0M to $65.5MAug 9, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $2.0M to $0Aug 9, 2024 to Mar 26, 2025
- Pension RAUM · $1.4M to $460,000Aug 9, 2024 to Mar 26, 2025
- RAUM · $120M to $158MAug 9, 2024 to Mar 26, 2025
- Accounts · 487 to 716Jun 28, 2012 to Jun 25, 2024
- Advisory employees · unset to 4.0Jun 28, 2012 to Jun 25, 2024
- Advisory activities · 5 to 4Jun 28, 2012 to Jun 25, 2024
- BD registered reps · unset to 2.0Jun 28, 2012 to Jun 25, 2024
- Business name · J• M• B•••• • A••••••••• I••• to J• M• B•••• F•••••••• P•••••••Jun 28, 2012 to Jun 25, 2024
- Charity clients · unset to 0.0Jun 28, 2012 to Jun 25, 2024
- Corporate clients · unset to 0.0Jun 28, 2012 to Jun 25, 2024
- HNW clients · unset to 50.0Jun 28, 2012 to Jun 25, 2024
- Individual clients · unset to 450.0Jun 28, 2012 to Jun 25, 2024
- Pension plan clients · unset to 8.0Jun 28, 2012 to Jun 25, 2024
- Pooled vehicle clients · unset to 0.0Jun 28, 2012 to Jun 25, 2024
- Commission compensation · true to falseJun 28, 2012 to Jun 25, 2024
- Employees · unset to 7.0Jun 28, 2012 to Jun 25, 2024
- Financial planning clients · 251-500 to 0Jun 28, 2012 to Jun 25, 2024
- State-registered IARs · unset to 4.0Jun 28, 2012 to Jun 25, 2024
Signals
1 dated events
- J• M• B•••• F•••••••• P••••••• filed its initial SEC registration (Form ADV)Jun 25, 2024 · 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
- 833-870-6656reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- goroserock.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 918-496-5460reportedpublic record, Form ADV, May 21, 2026
- Contact form
- goroserock.com/contact-usreportedpublished by the firm, firm site, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $33.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026