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
L•••••• A•••• M•••••••••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 11 filings
SEC status approved since Apr 30, 2021
RAUM
$134M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$134M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$67.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$134M as of Mar 31, 2026
Mar 30, 2012$51.7M then
HNW client RAUM$71.3M as of Mar 31, 2026
Mar 30, 2022$78.1M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)2 as of Mar 31, 2026
Mar 30, 20222 then
Private funds: no history
RAUM +2.3% over the last fiscal year+8.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 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
- $67.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $307,605derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- 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
- 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$71.3M53%
- Individuals$63.1M47%
- Individual clients
- 105reported
- HNW clients
- 27reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 437reported
- Financial planning clients
- 0reported
- 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=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• T••••• B••••••••Chartered Financial Analyst | Tulsa, Ok | Oct 13, 2016 | 23 y | 0 |
| M•••••• J•••• D••••••••• | Tulsa, Ok | Jan 2, 2026 | 28 y | 3 |
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
none on the tape
Joined, latest
- M•••••• J•••• D••••••••• from F•••••• E• R•••••• I••••••••• M••••••••• C••Jan 9, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• D•••••• T••••• · Chairman And Presidentcontrolsince 01/2003 · owns 50% to 75%
- D••••••••• M••••••• J•••• · Chief Executive Officer And Chief Compliance Officercontrolsince 12/2003 · owns 25% to 50%
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 | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 450 to 437Mar 28, 2025 to Mar 31, 2026
- HNW clients · 30 to 27Mar 28, 2025 to Mar 31, 2026
- Individual clients · 106 to 105Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $123M to $125MMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $73.9M to $71.3MMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $57.5M to $63.1MMar 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $8.8M to $9.6MMar 28, 2025 to Mar 31, 2026
- RAUM · $131M to $134MMar 28, 2025 to Mar 31, 2026
- Accounts · 456 to 450Mar 28, 2024 to Mar 28, 2025
- HNW clients · 32 to 30Mar 28, 2024 to Mar 28, 2025
- Individual clients · 113 to 106Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $112M to $123MMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $68.2M to $73.9MMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $52.2M to $57.5MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $8.5M to $8.8MMar 28, 2024 to Mar 28, 2025
- RAUM · $120M to $131MMar 28, 2024 to Mar 28, 2025
- Accounts · 439 to 456Mar 31, 2023 to Mar 28, 2024
- Individual clients · 117 to 113Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $97.9M to $112MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $61.7M to $68.2MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $43.3M to $52.2MMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $7.2M to $8.5MMar 31, 2023 to Mar 28, 2024
- RAUM · $105M to $120MMar 31, 2023 to Mar 28, 2024
- Accounts · 424 to 439Mar 30, 2022 to Mar 31, 2023
- Individual clients · 111 to 117Mar 30, 2022 to Mar 31, 2023
- Financial planning clients · unset to 0Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $114M to $97.9MMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $78.1M to $61.7MMar 30, 2022 to Mar 31, 2023
- Individual RAUM · $44.1M to $43.3MMar 30, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $8.0M to $7.2MMar 30, 2022 to Mar 31, 2023
- RAUM · $122M to $105MMar 30, 2022 to Mar 31, 2023
- Accounts · 417 to 424Apr 7, 2021 to Mar 30, 2022
- HNW clients · 33 to 32Apr 7, 2021 to Mar 30, 2022
- Individual clients · 114 to 111Apr 7, 2021 to Mar 30, 2022
- Discretionary RAUM · $108M to $114MApr 7, 2021 to Mar 30, 2022
- HNW RAUM · $76.0M to $78.1MApr 7, 2021 to Mar 30, 2022
- Individual RAUM · $38.5M to $44.1MApr 7, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $6.7M to $8.0MApr 7, 2021 to Mar 30, 2022
- RAUM · $114M to $122MApr 7, 2021 to Mar 30, 2022
Signals
1 dated events
- L•••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Apr 1, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 918-295-9928reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 918-295-9929reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 918-557-9868reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 918-295-9929reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- lbamc.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $67.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026