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
S•••••• F••••••••• L••
Latest filing Jul 14, 2026
First filing on the tape Nov 11, 2021 · 12 filings
SEC status approved since Dec 13, 2021
RAUM
$175M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$172M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$43.7M
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
12 filings and snapshots on the tape
RAUM$175M as of Jul 14, 2026
Mar 24, 2022$114M then
HNW client RAUM$90.2M as of Jul 14, 2026
Mar 24, 2022$38.4M then
State-registered IARs (5.B.3)3 as of Jul 14, 2026
Mar 24, 20223 then
Employees (5.A)3 as of Jul 14, 2026
Mar 24, 20223 then
Private funds: no history
RAUM +21% over the last fiscal year+18% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 14, 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
- $43.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $253,357derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.8%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
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.2%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publications, educational seminars, otherreportedItem 5.G
- Custody
- $80.3M, 136 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$90.2M52%
- Individuals$81.3M47%
- Pension and profit-sharing plans$2.3M1.3%
- Charitable organizations$953,4410.5%
- Corporations and businesses$61,9160.0%
- Individual clients
- 212reported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 690reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $80.3M for 136 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••• A•••• G•••Certified Financial Planner | Tulsa, Ok | Mar 22, 2013 | 14 y | 0 |
| S••••• W•••• E••••Certified Financial Planner | Tulsa, Ok | Oct 4, 2021 | 32 y | 4 |
| F••••••• L••• E•••••• | Tulsa, Ok | Oct 29, 2025 | 12 y | 0 |
| T•••••• S•••• P••••• | Tulsa, Ok | Jan 1, 2026 | 10 y | 0 |
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
- B••••••• H••••• B•••• to E••••••• A•••••••Jan 7, 2021 · RIA to a state-registered adviser
Joined, latest
- S••••• W•••• E•••• from L••••••• A•••••••Oct 4, 2021 · RIA to RIA
- B••••••• H••••• B•••• from A••••••••• F•••••••• S•••••••• L••Sep 24, 2018 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• S•••••• W•••• · Principal & Financial Advisorcontrolsince 01/2022 · owns 25% to 50%
- G•••• T••••• A•••• · Managing Director, Financial Advisor, Chief Compliance Officercontrolsince 01/2013 · owns 10% to 25%
- R••••••• S•••• R•• · President & Financial Advisorcontrolsince 01/2022 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tulsa, Ok · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Oklahoma City, OK3 employees
What changed
consecutive filings, newest first
- Accounts · 655 to 690Feb 24, 2025 to Mar 31, 2026
- HNW clients · 48 to 51Feb 24, 2025 to Mar 31, 2026
- Assets in custody · $63.5M to $80.3MFeb 24, 2025 to Mar 31, 2026
- Financial planning clients · 51-100 to 101-250Feb 24, 2025 to Mar 31, 2026
- Discretionary RAUM · $144M to $175MFeb 24, 2025 to Mar 31, 2026
- HNW RAUM · $72.6M to $90.2MFeb 24, 2025 to Mar 31, 2026
- Individual RAUM · $69.0M to $81.3MFeb 24, 2025 to Mar 31, 2026
- Pension RAUM · $1.5M to $2.3MFeb 24, 2025 to Mar 31, 2026
- RAUM · $144M to $175MFeb 24, 2025 to Mar 31, 2026
- Accounts · 621 to 655Sep 27, 2024 to Feb 24, 2025
- HNW clients · 46 to 48Sep 27, 2024 to Feb 24, 2025
- Individual clients · 219 to 212Sep 27, 2024 to Feb 24, 2025
- Assets in custody · $58.3M to $63.5MSep 27, 2024 to Feb 24, 2025
- Financial planning clients · 51-100 to 51-100Sep 27, 2024 to Feb 24, 2025
- Discretionary RAUM · $129M to $144MSep 27, 2024 to Feb 24, 2025
- HNW RAUM · $63.4M to $72.6MSep 27, 2024 to Feb 24, 2025
- Individual RAUM · $62.5M to $69.0MSep 27, 2024 to Feb 24, 2025
- Pension RAUM · $3.3M to $1.5MSep 27, 2024 to Feb 24, 2025
- RAUM · $129M to $144MSep 27, 2024 to Feb 24, 2025
- Other offices · 0 to 1Mar 14, 2024 to Sep 27, 2024
- Accounts · 600 to 621Nov 6, 2023 to Mar 14, 2024
- HNW clients · 45 to 46Nov 6, 2023 to Mar 14, 2024
- Individual clients · 231 to 219Nov 6, 2023 to Mar 14, 2024
- Assets in custody · $51.0M to $58.3MNov 6, 2023 to Mar 14, 2024
- Financial planning clients · 26-50 to 51-100Nov 6, 2023 to Mar 14, 2024
- Discretionary RAUM · $107M to $129MNov 6, 2023 to Mar 14, 2024
- HNW RAUM · $50.9M to $63.4MNov 6, 2023 to Mar 14, 2024
- Individual RAUM · $54.2M to $62.5MNov 6, 2023 to Mar 14, 2024
- Pension RAUM · $1.6M to $3.3MNov 6, 2023 to Mar 14, 2024
- RAUM · $107M to $129MNov 6, 2023 to Mar 14, 2024
- Accounts · 642 to 600Nov 22, 2022 to Mar 28, 2023
- HNW clients · 21 to 45Nov 22, 2022 to Mar 28, 2023
- Individual clients · 260 to 231Nov 22, 2022 to Mar 28, 2023
- Discretionary RAUM · $114M to $107MNov 22, 2022 to Mar 28, 2023
- HNW RAUM · $38.4M to $50.9MNov 22, 2022 to Mar 28, 2023
- Individual RAUM · $74.1M to $54.2MNov 22, 2022 to Mar 28, 2023
- Pension RAUM · $1.6M to $1.6MNov 22, 2022 to Mar 28, 2023
- RAUM · $114M to $107MNov 22, 2022 to Mar 28, 2023
- Assets in custody · unset to 50963311.0Mar 28, 2023 to Mar 28, 2023
- Custody of client assets · false to trueMar 28, 2023 to Mar 28, 2023
Signals
3 dated events
- W•••• S••••• E•••• (Principal & Financial Advisor) appeared on Schedule A of S•••••• F••••••••• L••Mar 24, 2022 · Control person joined · fact
- Ray Stan Rickner (President & Financial Advisor) appeared on Schedule A of S•••••• F••••••••• L••Mar 24, 2022 · Control person joined · fact
- S•••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Nov 11, 2021 · 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
- 405-825-1920reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 918-627-3700reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/sageoakreportedpublic record, Form ADV, Sep 18, 2026
- Website
- sageoakfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (918) 627-3700reportedpublic record, Form ADV, Jul 14, 2026
- Team page
- sageoakfinancial.com/our-peoplereportedpublished 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
- $43.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026