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
P•••••• P••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2018 · 10 filings
SEC status approved since Jun 20, 2024
RAUM
$199M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$177M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$199M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$199M as of Mar 31, 2026
Mar 28, 2019$117M then
HNW client RAUM$177M as of Mar 31, 2026
Mar 28, 2019$61.6M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 28, 20191 then
Employees (5.A)1 as of Mar 31, 2026
Mar 28, 20191 then
Private funds: no history
RAUM +6.9% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $199MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.0MderivedHNW RAUM over HNW clients
- Average account
- $6.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- 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
- 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$177M89%
- Corporations and businesses$10.8M5.4%
- Pension and profit-sharing plans$9.0M4.5%
- Charitable organizations$2.6M1.3%
- Individuals$241,0950.1%
- Individual clients
- 4reported
- HNW clients
- 22reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 32reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• B•••• O•••••• | Wilson, Wy | Sep 22, 2017 | 40 y | 1 |
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
- K•••• B•••• O•••••• from M••••• A•••• M•••••••••Sep 22, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••• K••••• B•••• · Managing Member And Chief Compliance Officercontrolsince 08/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 89 to 32Mar 28, 2025 to Mar 31, 2026
- Individual clients · 3 to 4Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $187M to $199MMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $168M to $177MMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $401,413 to $241,095Mar 28, 2025 to Mar 31, 2026
- Pension RAUM · $8.4M to $9.0MMar 28, 2025 to Mar 31, 2026
- RAUM · $187M to $199MMar 28, 2025 to Mar 31, 2026
- Accounts · 72 to 89May 22, 2024 to Mar 28, 2025
- Corporate clients · 1 to 3May 22, 2024 to Mar 28, 2025
- HNW clients · 21 to 22May 22, 2024 to Mar 28, 2025
- Financial planning clients · unset to May 22, 2024 to Mar 28, 2025
- Discretionary RAUM · $136M to $187MMay 22, 2024 to Mar 28, 2025
- HNW RAUM · $128M to $168MMay 22, 2024 to Mar 28, 2025
- Individual RAUM · $346,199 to $401,413May 22, 2024 to Mar 28, 2025
- Pension RAUM · $5.6M to $8.4MMay 22, 2024 to Mar 28, 2025
- RAUM · $136M to $187MMay 22, 2024 to Mar 28, 2025
- Accounts · 52 to 72Jul 1, 2020 to May 22, 2024
- Charity clients · unset to 2.0Jul 1, 2020 to May 22, 2024
- Corporate clients · unset to 1.0Jul 1, 2020 to May 22, 2024
- HNW clients · 48 to 21Jul 1, 2020 to May 22, 2024
- Individual clients · unset to 3.0Jul 1, 2020 to May 22, 2024
- Pension plan clients · unset to 1.0Jul 1, 2020 to May 22, 2024
- HQ city · unset to DALLASJul 1, 2020 to May 22, 2024
- HQ state · unset to TXJul 1, 2020 to May 22, 2024
- Discretionary RAUM · $61.7M to $136MJul 1, 2020 to May 22, 2024
- HNW RAUM · $60.7M to $128MJul 1, 2020 to May 22, 2024
- Individual RAUM · $141,191 to $346,199Jul 1, 2020 to May 22, 2024
- Pension RAUM · unset to 5611246.0Jul 1, 2020 to May 22, 2024
- RAUM · $61.7M to $136MJul 1, 2020 to May 22, 2024
- Accounts · 51 to 52May 22, 2020 to May 22, 2020
- HNW clients · 46 to 48May 22, 2020 to May 22, 2020
- Discretionary RAUM · $86.0M to $61.7MMay 22, 2020 to May 22, 2020
- HNW RAUM · $84.7M to $60.7MMay 22, 2020 to May 22, 2020
- Individual RAUM · $274,973 to $141,191May 22, 2020 to May 22, 2020
- RAUM · $86.0M to $61.7MMay 22, 2020 to May 22, 2020
- Accounts · 48 to 51Mar 28, 2019 to Mar 26, 2020
- Advisory activities · 1 to 2Mar 28, 2019 to Mar 26, 2020
- Charity clients · 2.0 to unsetMar 28, 2019 to Mar 26, 2020
- HNW clients · 15 to 46Mar 28, 2019 to Mar 26, 2020
- Individual clients · 3.0 to unsetMar 28, 2019 to Mar 26, 2020
Signals
1 dated events
- P•••••• P••••••• L•• filed its initial SEC registration (Form ADV)Mar 29, 2018 · 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
- Principal office phone
- 307-739-8686reportedpublic record, Form ADV, Mar 31, 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
- $199Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026