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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Former SEC-registered adviser

R••••• W••••• M••••••••• I•••

Former SEC-registered adviserTulsa, OklahomaCRD 150197SEC 801-70180IAPD
Latest filing Jul 22, 2019
First filing on the tape Mar 26, 2012 · 17 filings
RAUM
$68.7M
reported, Item 5.F
Discretionary
52%
of RAUM
Private clients
96%
$65.7M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$17.2M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$68.7M as of Mar 29, 2019
Mar 26, 2012$91.7M then
HNW client RAUM$52.0M as of Mar 29, 2019
Mar 30, 2018$73.2M then
State-registered IARs (5.B.3)3 as of Mar 29, 2019
Apr 1, 20130 then
Employees (5.A)3 as of Mar 29, 2019
Apr 1, 20133 then
Private funds: no history
RAUM -24% over the last fiscal year-9.6% a year over threeIARs 0 to 3
Practice profile
derived from the filing of Jul 22, 2019; every figure names its basis
RAUM per advisor
$17.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
22derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.0MderivedHNW RAUM over HNW clients
Average account
$235,330derivedRAUM over accounts (5.F.2.f)
Discretionary
52%derivedof RAUM
Institutional
4.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.8derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-24%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-27%derived
Compensation
percentage of assetsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$52.0M76%
  • Individuals$13.8M20%
  • Pension and profit-sharing plans$3.0M4.4%
Individual clients
73reported
HNW clients
13reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
292reported
Financial planning clients
n/areported
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
4 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
H••••• L•••• L•••••Tulsa, OkAug 3, 200950 y2
W•••••• P••• S••••Tulsa, OkAug 3, 200932 y2
M••• L•••••• S•••••••Tulsa, OkAug 3, 200927 y3
T••• W••••• K•••Tulsa, OkFeb 5, 202429 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L•••••• H•••••• L•••• · Shareholdercontrol
      since 05/2009 · owns 25% to 50%
    • S•••••••• M•••• L•••••• · Chief Compliance Officer - Shareholder-Prescontrol
      since 05/2009 · owns 25% to 50%
    • S••••• W••••••• P••• · Shareholder-Secretarycontrol
      since 05/2009 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    • B••••• L•••••• H•••• • K•••• P•
      insurancen
    • M• S••••••• A•• C••••••• P•
      insurancecustodiann
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Tulsa, Ok · principal400
    Offices
    Schedule D 1.F, the 25 largest
    • Bartlesville, OK1 employees
    What changed
    consecutive filings, newest first
    • Advisory activities · 2 to 1
      Jul 15, 2019 to Jul 19, 2019
    • Financial planning clients · 26-50 to unset
      Jul 15, 2019 to Jul 19, 2019
    • Accounts · 307 to 292
      Mar 30, 2018 to Mar 29, 2019
    • HNW clients · 17 to 13
      Mar 30, 2018 to Mar 29, 2019
    • Individual clients · 101 to 73
      Mar 30, 2018 to Mar 29, 2019
    • State-registered IARs · 0 to 3
      Mar 30, 2018 to Mar 29, 2019
    • Discretionary RAUM · $47.2M to $35.6M
      Mar 30, 2018 to Mar 29, 2019
    • HNW RAUM · $73.2M to $52.0M
      Mar 30, 2018 to Mar 29, 2019
    • Individual RAUM · $17.5M to $13.8M
      Mar 30, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $43.4M to $33.2M
      Mar 30, 2018 to Mar 29, 2019
    • Pension RAUM · unset to 3000289.0
      Mar 30, 2018 to Mar 29, 2019
    • RAUM · $90.7M to $68.7M
      Mar 30, 2018 to Mar 29, 2019
    • Accounts · 310 to 307
      Mar 24, 2017 to Mar 30, 2018
    • HNW clients · unset to 17.0
      Mar 24, 2017 to Mar 30, 2018
    • Individual clients · unset to 101.0
      Mar 24, 2017 to Mar 30, 2018
    • Other offices · unset to 1.0
      Mar 24, 2017 to Mar 30, 2018
    • Discretionary RAUM · $43.6M to $47.2M
      Mar 24, 2017 to Mar 30, 2018
    • HNW RAUM · unset to 73155784.0
      Mar 24, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 17498878.0
      Mar 24, 2017 to Mar 30, 2018
    • Non-discretionary RAUM · $48.3M to $43.4M
      Mar 24, 2017 to Mar 30, 2018
    • RAUM · $91.9M to $90.7M
      Mar 24, 2017 to Mar 30, 2018
    • Accounts · 341 to 310
      Apr 1, 2016 to Mar 24, 2017
    • Discretionary RAUM · $55.5M to $43.6M
      Apr 1, 2016 to Mar 24, 2017
    • Non-discretionary RAUM · $37.5M to $48.3M
      Apr 1, 2016 to Mar 24, 2017
    • RAUM · $93.0M to $91.9M
      Apr 1, 2016 to Mar 24, 2017
    • Accounts · 338 to 341
      Feb 27, 2015 to Apr 1, 2016
    • Discretionary RAUM · $62.5M to $55.5M
      Feb 27, 2015 to Apr 1, 2016
    • Non-discretionary RAUM · $42.3M to $37.5M
      Feb 27, 2015 to Apr 1, 2016
    • RAUM · $105M to $93.0M
      Feb 27, 2015 to Apr 1, 2016
    • Accounts · 348 to 338
      Mar 7, 2014 to Feb 27, 2015
    • Discretionary RAUM · $65.3M to $62.5M
      Mar 7, 2014 to Feb 27, 2015
    • Non-discretionary RAUM · $44.7M to $42.3M
      Mar 7, 2014 to Feb 27, 2015
    • RAUM · $110M to $105M
      Mar 7, 2014 to Feb 27, 2015
    • Accounts · 463 to 348
      Apr 1, 2013 to Mar 7, 2014
    • Discretionary RAUM · $42.1M to $65.3M
      Apr 1, 2013 to Mar 7, 2014
    • Non-discretionary RAUM · $61.0M to $44.7M
      Apr 1, 2013 to Mar 7, 2014
    • RAUM · $103M to $110M
      Apr 1, 2013 to Mar 7, 2014
    • Accounts · 372 to 463
      Mar 26, 2012 to Apr 1, 2013
    • Advisory employees · unset to 3.0
      Mar 26, 2012 to Apr 1, 2013
    • Employees · unset to 3.0
      Mar 26, 2012 to Apr 1, 2013
    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.
    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
    $17.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026