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
R••••• S•••••• C•••••• M••••••••• L••
Legal name S••••••• M•••• • S•••• L••
Latest filing Mar 27, 2026
First filing on the tape Jan 6, 2012 · 38 filings
SEC status approved since Jan 7, 2008
RAUM
$219M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
91%
$199M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$73.0M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$219M as of Mar 27, 2026
Jan 6, 2012$139M then
HNW client RAUM$126M as of Mar 27, 2026
Mar 14, 2018$158M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
Jan 6, 20120 then
Employees (5.A)5 as of Mar 27, 2026
Jan 3, 20137 then
Private funds: no history
RAUM +13% over the last fiscal year+4.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 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
- 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
- $73.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -39%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$126M57%
- Individuals$73.2M33%
- Corporations and businesses$20.3M9.3%
- Individual clients
- 150reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 188reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.91 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 |
|---|---|---|---|---|
| S•••••• H•••• S••••••• | Tulsa, Ok | Jan 15, 2008 | 33 y | 0 |
| R••••• L• B•••• | Tulsa, Ok | Jan 5, 2015 | 25 y | 3 |
| B•••• K•••• M•••••• | Claremore, Ok | Dec 9, 2024 | 26 y | 2 |
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
- S•••••• R••••• S•••• to W••••• M••••••••• S••••••••Aug 16, 2018 · RIA to RIA
- D•••• E••••• S•••••••• to W••••• M••••••••• S••••••••Aug 15, 2018 · RIA to RIA
- J••••• S• M••••• to W••••• M••••••••• S••••••••Aug 15, 2018 · RIA to RIA
- J••• C•••••• B••••••••• to I•••••••• A•••••••• L••Oct 3, 2012 · Other
Joined, latest
- B•••• K•••• M•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 9, 2024 · Other
- R••••• L• B•••• from W••• F•••••••• M••••••••• L••Jan 5, 2015 · Other
- J••• C•••••• B••••••••• from A••••• F•••••••• G••••May 31, 2011 · Other
- D•••• E••••• S•••••••• from W••• F•••••••• M••••••••• L••Jan 4, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for W••••• M••••••••• S••••••••Aug 15, 2018 · Tulsa, Ok · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• S••••••• H•••• · Managing Member / Chief Compliance Officercontrolsince 07/1995 · owns 75% or more
- S•••••••• C••••••• M• · Ownersince 03/2021 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Tulsa, Ok · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 27, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $193,461,626 to $219,130,877, advisors 3 to 3, private clients 288 to 175, offices 0 to 0 (2025-03-31 to 2026-03-27)peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Mar 27, 2026individual and HNW clients (Item 5.D) moved from 288.0 to 175.0 (-39.0%) between the annual amendments of 2025-03-31 and 2026-03-27; the peer median change was +3.0% (3309 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 2.8% percentile
- account count collapseChange between filings · filing Mar 27, 2026accounts (Item 5.F.2.f) moved from 471.0 to 188.0 (-60.0%) between the annual amendments of 2025-03-31 and 2026-03-27; the peer median change was +5.0% (3687 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 2.1% percentile
What changed
consecutive filings, newest first
- Accounts · 471 to 188Jun 17, 2025 to Mar 27, 2026
- Corporate clients · 9 to 13Jun 17, 2025 to Mar 27, 2026
- HNW clients · 32 to 25Jun 17, 2025 to Mar 27, 2026
- Individual clients · 256 to 150Jun 17, 2025 to Mar 27, 2026
- Discretionary RAUM · $184M to $209MJun 17, 2025 to Mar 27, 2026
- HNW RAUM · $103M to $126MJun 17, 2025 to Mar 27, 2026
- Individual RAUM · $73.3M to $73.2MJun 17, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $9.6M to $10.5MJun 17, 2025 to Mar 27, 2026
- RAUM · $193M to $219MJun 17, 2025 to Mar 27, 2026
- Financial planning clients · 1-10 to 1-10Mar 31, 2025 to Jun 17, 2025
- Accounts · 265 to 471Sep 4, 2024 to Mar 31, 2025
- Corporate clients · unset to 9.0Sep 4, 2024 to Mar 31, 2025
- Individual clients · 56 to 256Sep 4, 2024 to Mar 31, 2025
- Discretionary RAUM · $215M to $184MSep 4, 2024 to Mar 31, 2025
- HNW RAUM · $190M to $103MSep 4, 2024 to Mar 31, 2025
- Individual RAUM · $34.1M to $73.3MSep 4, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $9.3M to $9.6MSep 4, 2024 to Mar 31, 2025
- RAUM · $224M to $193MSep 4, 2024 to Mar 31, 2025
- Business name · S•• F•••••••• • I••••••••• M••••••••• to R••••• S•••••• C•••••• M••••••••• L••Sep 6, 2023 to Sep 21, 2023
- Discretionary RAUM · $182M to $215MApr 12, 2023 to Sep 6, 2023
- HNW RAUM · $162M to $190MApr 12, 2023 to Sep 6, 2023
- Individual RAUM · $28.6M to $34.1MApr 12, 2023 to Sep 6, 2023
- Non-discretionary RAUM · $9.0M to $9.3MApr 12, 2023 to Sep 6, 2023
- RAUM · $191M to $224MApr 12, 2023 to Sep 6, 2023
- Accounts · 269 to 265Jun 8, 2022 to Apr 12, 2023
- HNW clients · 20 to 32Jun 8, 2022 to Apr 12, 2023
- Individual clients · 60 to 56Jun 8, 2022 to Apr 12, 2023
- Discretionary RAUM · $198M to $182MJun 8, 2022 to Apr 12, 2023
- HNW RAUM · $182M to $162MJun 8, 2022 to Apr 12, 2023
- Individual RAUM · $24.8M to $28.6MJun 8, 2022 to Apr 12, 2023
- Non-discretionary RAUM · $9.3M to $9.0MJun 8, 2022 to Apr 12, 2023
- RAUM · $207M to $191MJun 8, 2022 to Apr 12, 2023
- Accounts · 235 to 269May 21, 2021 to Mar 31, 2022
- HNW clients · 27 to 20May 21, 2021 to Mar 31, 2022
- Individual clients · 50 to 60May 21, 2021 to Mar 31, 2022
- Employees · 3 to 5May 21, 2021 to Mar 31, 2022
- Discretionary RAUM · $201M to $198MMay 21, 2021 to Mar 31, 2022
- HNW RAUM · $191M to $182MMay 21, 2021 to Mar 31, 2022
- Individual RAUM · $19.1M to $24.8MMay 21, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $8.9M to $9.3MMay 21, 2021 to Mar 31, 2022
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
- Website
- H•••://WWW.SMSADVISOR.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 918-481-6262reportedpublic record, Form ADV, Mar 27, 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
- $73.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026