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.

Former SEC-registered adviser

B••••••••• I••••••••• M••••••••• L••

Former SEC-registered adviserTulsa, OklahomaCRD 132519SEC 801-63411IAPD
Latest filing Mar 30, 2023
First filing on the tape Jan 25, 2012 · 22 filings
RAUM
$800M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$750M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$800M as of Mar 30, 2023
Jan 25, 2012$470M then
HNW client RAUM$750M as of Mar 30, 2023
Jan 23, 2019$600M then
State-registered IARs (5.B.3)2 as of Mar 30, 2023
Feb 26, 20132 then
Employees (5.A)3 as of Mar 30, 2023
Feb 26, 20133 then
Private funds: no history
RAUM -20% over the last fiscal year+2.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2023; every figure names its basis
RAUM per advisor
$400MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$13.4MderivedHNW RAUM over HNW clients
Average account
$13.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
6.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 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
  • 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$750M94%
  • Charitable organizations$50.0M6.3%
Individual clients
n/areported
HNW clients
56reported
Pension plan clients
n/areported
Charitable clients
4reported
Accounts
60reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C•••••• B••••• G•••••• · Chief Investment Officer/Chief Compliance Officercontrol
      since 08/2004 · owns 25% to 50%
    • F•••••• L•••••• C•••••• · Chief Executive Officercontrol
      since 08/2004 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Tulsa, Ok · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 120 to 60
      Mar 17, 2022 to Mar 30, 2023
    • Charity clients · unset to 4.0
      Mar 17, 2022 to Mar 30, 2023
    • HNW clients · 60 to 56
      Mar 17, 2022 to Mar 30, 2023
    • Insurance-licensed employees · 0 to 2
      Mar 17, 2022 to Mar 30, 2023
    • Discretionary RAUM · $1.0B to $800M
      Mar 17, 2022 to Mar 30, 2023
    • HNW RAUM · $1.0B to $750M
      Mar 17, 2022 to Mar 30, 2023
    • RAUM · $1.0B to $800M
      Mar 17, 2022 to Mar 30, 2023
    • Accounts · 62 to 120
      May 7, 2021 to Mar 17, 2022
    • Charity clients · 2.0 to unset
      May 7, 2021 to Mar 17, 2022
    • Discretionary RAUM · $925M to $1.0B
      May 7, 2021 to Mar 17, 2022
    • HNW RAUM · $900M to $1.0B
      May 7, 2021 to Mar 17, 2022
    • RAUM · $925M to $1.0B
      May 7, 2021 to Mar 17, 2022
    • Accounts · 64 to 62
      Jun 30, 2020 to Jan 24, 2021
    • HNW clients · 62 to 60
      Jun 30, 2020 to Jan 24, 2021
    • Discretionary RAUM · $750M to $925M
      Jun 30, 2020 to Jan 24, 2021
    • HNW RAUM · $715M to $900M
      Jun 30, 2020 to Jan 24, 2021
    • RAUM · $750M to $925M
      Jun 30, 2020 to Jan 24, 2021
    • Accounts · 120 to 64
      May 16, 2019 to Feb 24, 2020
    • Charity clients · 4 to 2
      May 16, 2019 to Feb 24, 2020
    • HNW clients · 65 to 62
      May 16, 2019 to Feb 24, 2020
    • Discretionary RAUM · $625M to $750M
      May 16, 2019 to Feb 24, 2020
    • HNW RAUM · $600M to $715M
      May 16, 2019 to Feb 24, 2020
    • RAUM · $625M to $750M
      May 16, 2019 to Feb 24, 2020
    • Accounts · 64 to 120
      Feb 25, 2018 to Jan 23, 2019
    • Charity clients · 2 to 4
      Feb 25, 2018 to Jan 23, 2019
    • HNW clients · unset to 65.0
      Feb 25, 2018 to Jan 23, 2019
    • Individual clients · 62.0 to unset
      Feb 25, 2018 to Jan 23, 2019
    • Employees · 4 to 3
      Feb 25, 2018 to Jan 23, 2019
    • State-registered IARs · 3 to 2
      Feb 25, 2018 to Jan 23, 2019
    • Other offices · 1 to 0
      Feb 25, 2018 to Jan 23, 2019
    • Discretionary RAUM · $650M to $625M
      Feb 25, 2018 to Jan 23, 2019
    • HNW RAUM · unset to 600000000.0
      Feb 25, 2018 to Jan 23, 2019
    • Individual RAUM · 625000000.0 to unset
      Feb 25, 2018 to Jan 23, 2019
    • RAUM · $650M to $625M
      Feb 25, 2018 to Jan 23, 2019
    • Accounts · 60 to 64
      Sep 18, 2017 to Feb 25, 2018
    • Charity clients · unset to 2.0
      Sep 18, 2017 to Feb 25, 2018
    • Individual clients · unset to 62.0
      Sep 18, 2017 to Feb 25, 2018
    • Employees · 3 to 4
      Sep 18, 2017 to Feb 25, 2018
    • State-registered IARs · 2 to 3
      Sep 18, 2017 to Feb 25, 2018
    • Other offices · unset to 1.0
      Sep 18, 2017 to Feb 25, 2018
    Signals
    1 dated events
    • L••••• C•••••• F••••• left B••••••••• I••••••••• M••••••••• L•• for H•• I••••••••• P•••••••• L•• (registered 2022-12-21)
      Dec 31, 2023 · Advisor changed firm · fact
    Across DFX
    shared identifiers only, never a name match
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026