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
C•••••• C•••••• M••••••••• L••
Latest filing Feb 6, 2026
First filing on the tape Apr 25, 2025 · 3 filings
SEC status approved since Mar 14, 2025
RAUM
$119M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$112M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$39.7M
derived; firm RAUM over IAPD count
Employees
10
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$119M as of Feb 6, 2026
Apr 25, 2025$107M then
HNW client RAUM$65.2M as of Feb 6, 2026
Apr 25, 2025$53.7M then
State-registered IARs (5.B.3)3 as of Feb 6, 2026
Apr 25, 20253 then
Employees (5.A)10 as of Feb 6, 2026
Apr 25, 20259 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Feb 6, 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
- RAUM per advisor
- $39.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $246,887derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$65.2M55%
- Individuals$47.0M40%
- State and municipal entities$5.6M4.7%
- Charitable organizations$1.2M1.0%
- Individual clients
- 192reported
- HNW clients
- 39reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 482reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $105M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• J•• W••••••• | Mcalester, Ok | May 21, 2009 | 26 y | 1 |
| A•••• L•••• L•••• | Mcalester, Ok | Jul 14, 2022 | 16 y | 0 |
| J•••• A• H•••• | Mcalester, Ok | Apr 11, 2024 | 15 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
- J•••• A• H•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••May 4, 2016 · RIA to affiliated broker-dealer or bank
Joined, latest
- J•••• A• H•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Apr 11, 2024 · Affiliated broker-dealer or bank to independent RIA
- J•••• J•• W••••••• from A•••• • I••••••••• A•••••••• I•••May 21, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• A••••• L•••• · Chief Operations Officercontrolsince 07/2022 · owns less than 5%
- W•••••••• J••••• J•• · Managing Membercontrolsince 04/2009 · owns 75% or more
- W•••••••• D•••• G•••• · Membersince 04/2009 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list C•••••• C•••••• M••••••••• L•• as a related person
- 124341 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mcalester, Ok · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 467 to 482Oct 27, 2025 to Feb 6, 2026
- Advisory employees · 1 to 2Oct 27, 2025 to Feb 6, 2026
- HNW clients · 41 to 39Oct 27, 2025 to Feb 6, 2026
- Individual clients · 190 to 192Oct 27, 2025 to Feb 6, 2026
- Employees · 9 to 10Oct 27, 2025 to Feb 6, 2026
- Discretionary RAUM · $107M to $119MOct 27, 2025 to Feb 6, 2026
- HNW RAUM · $53.7M to $65.2MOct 27, 2025 to Feb 6, 2026
- Individual RAUM · $47.2M to $47.0MOct 27, 2025 to Feb 6, 2026
- RAUM · $107M to $119MOct 27, 2025 to Feb 6, 2026
- Wrap assets (manager) · $12.7M to $105MOct 27, 2025 to Feb 6, 2026
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
- retirementplanningexperts.bizreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 918-423-3222reportedpublic record, Form ADV, Feb 6, 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
- $39.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026