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.
SEC-registered adviser
Castlepoint Wealth Advisors
Legal name Ark & Tlk Investments, LLC
Latest filing Sep 11, 2026
First filing on the tape Apr 30, 2015 · 53 filings
SEC status approved since May 11, 2015
RAUM
$751M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
94%
$704M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$83.5M
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$751M as of Aug 10, 2026
Jan 27, 2016$109M then
HNW client RAUM$647M as of Aug 10, 2026
Feb 20, 2018$99.4M then
State-registered IARs (5.B.3)8 as of Aug 10, 2026
Jan 27, 20161 then
Employees (5.A)10 as of Aug 10, 2026
Jan 27, 20164 then
Private funds: no history
RAUM +24% over the last fiscal year+32% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Sep 11, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $83.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $659,744derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $160M, 171 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$647M86%
- Individuals$57.8M7.7%
- Corporations and businesses$47.0M6.3%
- Individual clients
- 125reported
- HNW clients
- 152reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,139reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $160M for 171 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kendall Wayne KingCertified Financial Planner | Oklahoma City, Ok | Sep 28, 2015 | 24 y | 3 |
| Drew Spencer GarnerCertified Financial Planner | Oklahoma City, Ok | Feb 6, 2017 | 10 y | 0 |
| Adam William LeeChartered Financial Analyst | Oklahoma City, Ok | Sep 13, 2021 | 10 y | 0 |
| Kristen Dawn BuchmanCertified Financial Planner | Oklahoma City, Ok | Feb 20, 2022 | 11 y | 1 |
| Kian Michael RahmanzadehCertified Financial Planner | Oklahoma City, Ok | Jun 2, 2022 | 10 y | 0 |
| Adam James LeavittCertified Financial Planner | Oklahoma City, Ok | May 3, 2023 | 22 y | 3 |
| Edward Thomas CreeganCertified Financial Planner | Oklahoma City, Ok | Apr 17, 2024 | 10 y | 0 |
| Jacob Nolan WeatherfordCertified Financial Planner | Oklahoma City, Ok | Dec 21, 2024 | 12 y | 0 |
| Kortland Christopher Snowden | Oklahoma City, Ok | Jun 16, 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
none on the tape
Joined, latest
- Adam James Leavitt from Hogantaylor WealthMay 3, 2023 · RIA to RIA
- Kristen Dawn Buchman from Venturi Private WealthFeb 20, 2022 · RIA to RIA
- Kendall Wayne King from The Legacy Financial Group, Inc.Sep 28, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Spencer Drew Garner · Partner, Coo, Wealth Advisor, Chief Compliance Officercontrolsince 07/2019 · owns 10% to 25%
- Wayne Kendall King · Managing Membercontrolsince 01/2015 · owns 50% to 75%
- William Adam Lee · Chief Investment Officersince 07/2022 · owns 5% to 10%
- Kaye Melissa Ray · Partner, Director Of Client Servicessince 07/2019 · owns less than 5%
- Nolan Jacob Weatherford · Partner, Wealth Advisorsince 07/2019 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Oklahoma City, Ok · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Tulsa, OK1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 251-500 to 251-500Aug 10, 2026 to Sep 11, 2026
- Related adviser · false to unsetAug 10, 2026 to Sep 11, 2026
- Related bank · false to unsetAug 10, 2026 to Sep 11, 2026
- Related broker-dealer · false to unsetAug 10, 2026 to Sep 11, 2026
- Related insurance company · false to unsetAug 10, 2026 to Sep 11, 2026
- Succession · false to unsetAug 10, 2026 to Sep 11, 2026
- Accounts · 1,009 to 1,139Dec 22, 2025 to Mar 19, 2026
- Charity clients · 1.0 to unsetDec 22, 2025 to Mar 19, 2026
- Corporate clients · 5 to 6Dec 22, 2025 to Mar 19, 2026
- HNW clients · 124 to 152Dec 22, 2025 to Mar 19, 2026
- Individual clients · 129 to 125Dec 22, 2025 to Mar 19, 2026
- Assets in custody · $127M to $160MDec 22, 2025 to Mar 19, 2026
- Financial planning clients · 101-250 to 251-500Dec 22, 2025 to Mar 19, 2026
- Discretionary RAUM · $576M to $717MDec 22, 2025 to Mar 19, 2026
- HNW RAUM · $504M to $647MDec 22, 2025 to Mar 19, 2026
- Individual RAUM · $59.2M to $57.8MDec 22, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $29.5M to $34.0MDec 22, 2025 to Mar 19, 2026
- RAUM · $605M to $751MDec 22, 2025 to Mar 19, 2026
- Financial planning clients · 101-250 to 101-250Feb 25, 2025 to Apr 8, 2025
- Charity clients · 14 to 1Jan 2, 2025 to Feb 25, 2025
- HNW clients · 109 to 124Jan 2, 2025 to Feb 25, 2025
- Individual clients · 140 to 129Jan 2, 2025 to Feb 25, 2025
- Assets in custody · $27.6M to $127MJan 2, 2025 to Feb 25, 2025
- Discretionary RAUM · $520M to $576MJan 2, 2025 to Feb 25, 2025
- HNW RAUM · $443M to $504MJan 2, 2025 to Feb 25, 2025
- Individual RAUM · $61.9M to $59.2MJan 2, 2025 to Feb 25, 2025
- Non-discretionary RAUM · $27.4M to $29.5MJan 2, 2025 to Feb 25, 2025
- RAUM · $547M to $605MJan 2, 2025 to Feb 25, 2025
- Accounts · 979 to 1,009Jan 2, 2025 to Feb 25, 2025
- Advisory activities · 3 to 4Jun 26, 2024 to Jan 2, 2025
- Accounts · 227 to 979Nov 15, 2023 to Mar 27, 2024
- Advisory employees · 9 to 8Nov 15, 2023 to Mar 27, 2024
- Advisory activities · 4 to 3Nov 15, 2023 to Mar 27, 2024
- Charity clients · 3 to 14Nov 15, 2023 to Mar 27, 2024
- Corporate clients · 8 to 5Nov 15, 2023 to Mar 27, 2024
- HNW clients · 89 to 109Nov 15, 2023 to Mar 27, 2024
- Individual clients · 120 to 140Nov 15, 2023 to Mar 27, 2024
- Pension plan clients · 7.0 to unsetNov 15, 2023 to Mar 27, 2024
- State-registered IARs · 9 to 8Nov 15, 2023 to Mar 27, 2024
- Discretionary RAUM · $317M to $520MNov 15, 2023 to Mar 27, 2024
Signals
2 dated events
- Castlepoint Wealth Advisors reported RAUM $547.3M, up 68% from $326.7M (2023-11-15 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Guardia Wealth Advisors filed its initial SEC registration (Form ADV)Apr 30, 2015 · 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 email
- info@castlepointwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 405-705-2906reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/castlepoint-wealthreportedpublic record, Form ADV, Sep 17, 2026
- Website
- castlepointwealth.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 405-705-2906reportedpublic record, Form ADV, Sep 11, 2026
- Contact form
- castlepointwealth.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- castlepointwealth.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $83.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026