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•••••• W••••• M•••••••••
Legal name P••••••• P•••••• W••••• M••••••••• L••
Latest filing Jun 2, 2026
First filing on the tape Mar 25, 2024 · 7 filings
SEC status approved since Apr 23, 2024
RAUM
$167M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$143M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$83.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$167M as of Jun 2, 2026
Feb 13, 2025$165M then
HNW client RAUM$83.0M as of Jun 2, 2026
Feb 13, 2025$89.2M then
State-registered IARs (5.B.3)2 as of Jun 2, 2026
Feb 13, 20253 then
Employees (5.A)2 as of Jun 2, 2026
Feb 13, 20253 then
Private funds: no history
RAUM +1.3% over the last fiscal yearIARs 3 to 2offices 3 to 2
Practice profile
derived from the filing of Jun 2, 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
- $83.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $303,776derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $48.3M, 35 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$83.0M50%
- Individuals$60.1M36%
- Other investment advisers$22.2M13%
- Corporations and businesses$1.7M1.0%
- Individual clients
- 152reported
- HNW clients
- 38reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 550reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $48.3M for 35 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.13 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• H•••• V••••••••• | Bethany, Ok | Feb 4, 2020 | 19 y | 3 |
| C•••••• S•••••• P•••••Certified Financial Planner | Edmond, Ok | Dec 15, 2023 | 19 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
- C•••••• S•••••• P••••• from F••••• F•••••••• O• O•••••••• L••Dec 15, 2023 · Other
- B•••••• H•••• V••••••••• from T••• W••••• M••••••••• I••Feb 4, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V••••••••• B••••••• H•••• · Managing Member/Chief Compliance Officercontrolsince 04/2015 · owns 75% or more
Related persons
Schedule D 7.A
- G•••••• B••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bethany, Ok · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Edmond, OK1 employees
- O••••••• City, OK1 employees
- Woodward, OK1 employees
What changed
consecutive filings, newest first
- Accounts · 554 to 550May 20, 2025 to Mar 20, 2026
- Advisory employees · 3 to 2May 20, 2025 to Mar 20, 2026
- Corporate clients · 3 to 2May 20, 2025 to Mar 20, 2026
- HNW clients · 36 to 38May 20, 2025 to Mar 20, 2026
- Individual clients · 156 to 152May 20, 2025 to Mar 20, 2026
- Assets in custody · $26.9M to $48.3MMay 20, 2025 to Mar 20, 2026
- Employees · 3 to 2May 20, 2025 to Mar 20, 2026
- Financial planning clients · 1-10 to 0May 20, 2025 to Mar 20, 2026
- State-registered IARs · 3 to 2May 20, 2025 to Mar 20, 2026
- Discretionary RAUM · $165M to $167MMay 20, 2025 to Mar 20, 2026
- HNW RAUM · $89.2M to $83.0MMay 20, 2025 to Mar 20, 2026
- Individual RAUM · $53.1M to $60.1MMay 20, 2025 to Mar 20, 2026
- RAUM · $165M to $167MMay 20, 2025 to Mar 20, 2026
- Financial planning clients · 1-10 to 1-10Feb 13, 2025 to May 20, 2025
- Other offices · 3 to 2Feb 13, 2025 to May 20, 2025
- Accounts · 559 to 554Dec 4, 2024 to Feb 13, 2025
- Advisory activities · 4 to 5Dec 4, 2024 to Feb 13, 2025
- Corporate clients · 2 to 3Dec 4, 2024 to Feb 13, 2025
- HNW clients · 17 to 36Dec 4, 2024 to Feb 13, 2025
- Individual clients · 424 to 156Dec 4, 2024 to Feb 13, 2025
- Assets in custody · $10.6M to $26.9MDec 4, 2024 to Feb 13, 2025
- Financial planning clients · 0 to 1-10Dec 4, 2024 to Feb 13, 2025
- Discretionary RAUM · $142M to $165MDec 4, 2024 to Feb 13, 2025
- HNW RAUM · $40.6M to $89.2MDec 4, 2024 to Feb 13, 2025
- Individual RAUM · $79.2M to $53.1MDec 4, 2024 to Feb 13, 2025
- RAUM · $142M to $165MDec 4, 2024 to Feb 13, 2025
Signals
1 dated events
- P••••••• P•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 25, 2024 · 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
- 405-212-9690reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 405-752-7072reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 405-953-7661reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- falconfinancialok.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 405-212-9690reportedpublic record, Form ADV, Jun 2, 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