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
D••••••••• C••••••
Legal name D••••••••• C••••••• L••
Latest filing Jul 1, 2026
First filing on the tape Mar 21, 2019 · 28 filings
SEC status approved since Apr 22, 2019
RAUM
$225M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$220M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$32.1M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$225M as of Jul 1, 2026
Mar 30, 2020$122M then
HNW client RAUM$137M as of Jul 1, 2026
Mar 30, 2020$62.2M then
State-registered IARs (5.B.3)5 as of Jul 1, 2026
Mar 30, 20205 then
Employees (5.A)10 as of Jul 1, 2026
Mar 30, 20207 then
Private funds: no history
RAUM +18% over the last fiscal year+16% a year over threeIARs 7 to 5offices 5 to 0
Practice profile
derived from the filing of Jul 1, 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
- RAUM per advisor
- $32.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 139derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $380,569derivedHNW RAUM over HNW clients
- Average account
- $229,410derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -29%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$137M61%
- Individuals$83.6M37%
- Corporations and businesses$3.4M1.5%
- Pension and profit-sharing plans$611,9120.3%
- Charitable organizations$356,8530.2%
- Individual clients
- 613reported
- HNW clients
- 359reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 979reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• M•••••• S•••••••••Certified Financial Planner | Tulsa, Ok | Feb 2, 2016 | 32 y | 1 |
| W•••••• A••••• R••••• | Tulsa, Ok | Dec 3, 2020 | 24 y | 1 |
| T•••••• J•••• G••••• | Tulsa, Ok | Mar 14, 2022 | 19 y | 1 |
| S•••• F•••••••• D•••••• | Tulsa, Ok | Dec 7, 2023 | 11 y | 1 |
| M•••• W•••• D•••••• | Tulsa, Ok | Dec 14, 2023 | 23 y | 3 |
| C••••• C•••••• W••••• | Tulsa, Ok | Mar 21, 2026 | 11 y | 0 |
| M••••••• K• R••••••• | Tulsa, Ok | Jun 4, 2026 | 33 y | 6 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount3 left over 36 months
Left, latest
- D•••••• W••• G••••• to C••••• I••••••••• A••••••• L••Oct 10, 2025 · RIA to affiliated broker-dealer or bank
- J•••• L•• D••• to B•• F•••••••• A•••••••May 8, 2025 · RIA to affiliated broker-dealer or bank
- C••••• L• P••••• to L•• F•••••••• L••Jan 2, 2025 · RIA to affiliated broker-dealer or bank
- E•••••••• F••• G••• to L•• F•••••••• L••Jan 25, 2023 · RIA to affiliated broker-dealer or bank
- J••••• M•••••• K••••••• to C••••••••• F•••••••• N••••••Sep 9, 2022 · RIA to affiliated broker-dealer or bank
- M••••••• K• R••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Oct 22, 2021 · RIA to affiliated broker-dealer or bank
- K•••• A••• M•••••••• to A•••••• R••••••• C••••••Sep 23, 2021 · RIA to RIA
- J•••• F• S•••• to M••••• P•••••• W••••• L••Oct 29, 2020 · Other
Joined, latest
- M••••••• K• R••••••• from M•••••• A•••••• N••••••Jun 4, 2026 · Affiliated broker-dealer or bank to independent RIA
- S•••• F•••••••• D•••••• from T••••••• I••••••••• M••••••••• I•••Dec 7, 2023 · Affiliated broker-dealer or bank to independent RIA
- J•••• L•• D••• from S••••••• F•••••••• S•••••••• I•••Aug 17, 2022 · RIA to RIA
- T•••••• J•••• G••••• from W•••••• • R•••Mar 14, 2022 · Other
- D•••••• W••• G••••• from M•• I•••••••• S•••••••• L••Sep 23, 2021 · Affiliated broker-dealer or bank to independent RIA
- W•••••• A••••• R••••• from B••• O•• S••••••••• C•••••••••Dec 3, 2020 · Other
- E•••••••• F••• G••• from E••••• J••••Apr 1, 2020 · Affiliated broker-dealer or bank to independent RIA
- M••••••• K• R••••••• from L•• F•••••••• L••Feb 2, 2016 · Other
- K•••• A••• M•••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 2, 2016 · Other
- M•••• W•••• D•••••• from L•• F•••••••• L••Apr 28, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• M••••• W•••• · Chief Investment Officercontrolsince 01/2023 · owns less than 5%
- S••••••••• G•••• M•••••• · Chief Compliance Officercontrolsince 11/2021 · owns 75% or more
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 | 7 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Tulsa, OK1 employees
- Tulsa, OK1 employees
- Owasso, OK1 employees
- Edmond, OK1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- office count dropChange between filings · filing Mar 18, 2026offices other than the principal office (Item 1.F.5) moved from 5.0 to 0.0 (-100.0%) between the annual amendments of 2025-03-19 and 2026-03-18; the peer median change was 0.0% (450 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (450) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 951 to 979Mar 19, 2025 to Mar 18, 2026
- Advisory employees · 7 to 6Mar 19, 2025 to Mar 18, 2026
- BD registered reps · 6 to 5Mar 19, 2025 to Mar 18, 2026
- Charity clients · 2 to 3Mar 19, 2025 to Mar 18, 2026
- HNW clients · 315 to 359Mar 19, 2025 to Mar 18, 2026
- Individual clients · 629 to 613Mar 19, 2025 to Mar 18, 2026
- Pension plan clients · 2 to 1Mar 19, 2025 to Mar 18, 2026
- Employees · 12 to 10Mar 19, 2025 to Mar 18, 2026
- State-registered IARs · 7 to 5Mar 19, 2025 to Mar 18, 2026
- Other offices · 5 to 0Mar 19, 2025 to Mar 18, 2026
- Discretionary RAUM · $190M to $225MMar 19, 2025 to Mar 18, 2026
- HNW RAUM · $108M to $137MMar 19, 2025 to Mar 18, 2026
- Individual RAUM · $77.5M to $83.6MMar 19, 2025 to Mar 18, 2026
- Pension RAUM · $609,450 to $611,912Mar 19, 2025 to Mar 18, 2026
- RAUM · $190M to $225MMar 19, 2025 to Mar 18, 2026
- Accounts · 907 to 951Nov 22, 2024 to Mar 19, 2025
- Advisory employees · 9 to 7Nov 22, 2024 to Mar 19, 2025
- BD registered reps · 8 to 6Nov 22, 2024 to Mar 19, 2025
- HNW clients · 278 to 315Nov 22, 2024 to Mar 19, 2025
- Individual clients · 622 to 629Nov 22, 2024 to Mar 19, 2025
- Employees · 13 to 12Nov 22, 2024 to Mar 19, 2025
- Financial planning clients · 1-10 to 1-10Nov 22, 2024 to Mar 19, 2025
- State-registered IARs · 9 to 7Nov 22, 2024 to Mar 19, 2025
- Other offices · 4 to 5Nov 22, 2024 to Mar 19, 2025
- Discretionary RAUM · $162M to $190MNov 22, 2024 to Mar 19, 2025
- HNW RAUM · $86.6M to $108MNov 22, 2024 to Mar 19, 2025
- Individual RAUM · $72.4M to $77.5MNov 22, 2024 to Mar 19, 2025
- Pension RAUM · $365,187 to $609,450Nov 22, 2024 to Mar 19, 2025
- RAUM · $162M to $190MNov 22, 2024 to Mar 19, 2025
- Accounts · 871 to 907Mar 28, 2023 to Mar 27, 2024
- Advisory employees · 7 to 9Mar 28, 2023 to Mar 27, 2024
- BD registered reps · 6 to 8Mar 28, 2023 to Mar 27, 2024
- HNW clients · 252 to 278Mar 28, 2023 to Mar 27, 2024
- Individual clients · 611 to 622Mar 28, 2023 to Mar 27, 2024
- Pension plan clients · 3 to 2Mar 28, 2023 to Mar 27, 2024
- Employees · 11 to 13Mar 28, 2023 to Mar 27, 2024
- State-registered IARs · 6 to 9Mar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $145M to $162MMar 28, 2023 to Mar 27, 2024
- HNW RAUM · $76.1M to $86.6MMar 28, 2023 to Mar 27, 2024
- Individual RAUM · $66.0M to $72.4MMar 28, 2023 to Mar 27, 2024
Signals
8 dated events
- D••••••••• C•••••• reported 0 offices beyond its principal office, down from 5 (2025-03-19 to 2026-03-18)Mar 18, 2026 · Office count change · derived
- D•••••• W••• G••••• left D••••••••• C•••••• for C••••• I••••••••• A••••••• L•• (registered 2025-10-16)Oct 10, 2025 · a•••••• firm change · fact
- J•••• L•• D••• left D••••••••• C•••••• for B•• F•••••••• A••••••• (registered 2025-05-07)May 8, 2025 · a•••••• firm change · fact
- C••••• L• P••••• left D••••••••• C•••••• for L•• F•••••••• L•• (registered 2023-07-28)Jan 2, 2025 · a•••••• firm change · fact
- Wayne Monty Dossman (Chief Investment Officer) appeared on Schedule A of D••••••••• C••••••Mar 27, 2024 · Control person joined · fact
- E•••••••• F••• G••• left D••••••••• C•••••• for L•• F•••••••• L•• (registered 2021-09-17)Jan 25, 2023 · a•••••• firm change · fact
- J••••• M•••••• K••••••• left D••••••••• C•••••• for C••••••••• F•••••••• N•••••• (registered 2022-09-15)Sep 9, 2022 · a•••••• firm change · fact
- D••••••••• C•••••• filed its initial SEC registration (Form ADV)Mar 21, 2019 · 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
- 918-493-4190reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- drawbridge.capitalreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 918-493-4190reportedpublic record, Form ADV, Jul 1, 2026
- Contact form
- drawbridge.capital/contactreportedpublished 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
- $32.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026