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
R••• C•••• A••••••• • C••••••
Latest filing Jan 26, 2026
First filing on the tape Jun 23, 2022 · 13 filings
SEC status approved since Jul 21, 2022
RAUM
$171M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$171M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$57.1M
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
13 filings and snapshots on the tape
RAUM$171M as of Jan 26, 2026
Mar 27, 2023$101M then
HNW client RAUM$137M as of Jan 26, 2026
Mar 27, 2023$82.5M then
State-registered IARs (5.B.3)3 as of Jan 26, 2026
Mar 27, 20232 then
Employees (5.A)3 as of Jan 26, 2026
Mar 27, 20232 then
Private funds: no history
RAUM +24% over the last fiscal year+19% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 26, 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
- $57.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 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
- -7.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$137M80%
- Individuals$34.1M20%
- Pension and profit-sharing plans$546,5730.3%
- Individual clients
- 110reported
- HNW clients
- 49reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 160reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• K•••• S•••• | Bixby, Ok | Aug 23, 2022 | 17 y | 3 |
| R•••••• J•• C•••• | Bixby, Ok | Aug 24, 2022 | 26 y | 3 |
| M•••••• G••••••• C•••• | Bixby, Ok | Jun 6, 2024 | 13 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
- D•••••• K•••• S•••• from T•• L••••• F•••••••• G••••• I•••Sep 1, 2017 · RIA to RIA
- R•••••• J•• C•••• from T•• L••••• F•••••••• G••••• I•••Sep 1, 2017 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from T•• L••••• F•••••••• G••••• I•••Aug 26, 2019 · Tulsa, Ok
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• R••••••• J•• · Principal & Chief Compliance Officercontrolsince 03/2017 · owns 75% or more
Related persons
Schedule D 7.A
- M•••••• G• C••••y
- R• J• C••••• P•••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bixby, Ok · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Jan 26, 2026accounts (Item 5.F.2.f) moved from 440.0 to 160.0 (-64.0%) between the annual amendments of 2025-03-04 and 2026-01-26; the peer median change was +5.0% (3687 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 1.6% percentile
What changed
consecutive filings, newest first
- Accounts · 189 to 160Nov 3, 2025 to Jan 26, 2026
- HNW clients · 41 to 49Nov 3, 2025 to Jan 26, 2026
- Individual clients · 148 to 110Nov 3, 2025 to Jan 26, 2026
- Pension plan clients · unset to 1.0Nov 3, 2025 to Jan 26, 2026
- Discretionary RAUM · $150M to $171MNov 3, 2025 to Jan 26, 2026
- HNW RAUM · $118M to $137MNov 3, 2025 to Jan 26, 2026
- Individual RAUM · $32.3M to $34.1MNov 3, 2025 to Jan 26, 2026
- Non-discretionary RAUM · $480,973 to $546,573Nov 3, 2025 to Jan 26, 2026
- Pension RAUM · unset to 546573.0Nov 3, 2025 to Jan 26, 2026
- RAUM · $151M to $171MNov 3, 2025 to Jan 26, 2026
- HQ city · TULSA to BIXBYAug 4, 2025 to Nov 3, 2025
- Accounts · 440 to 189Jun 27, 2025 to Aug 4, 2025
- Advisory activities · 3 to 2Jun 27, 2025 to Aug 4, 2025
- HNW clients · 57 to 41Jun 27, 2025 to Aug 4, 2025
- Individual clients · 115 to 148Jun 27, 2025 to Aug 4, 2025
- Pension plan clients · 1.0 to unsetJun 27, 2025 to Aug 4, 2025
- Discretionary RAUM · $138M to $150MJun 27, 2025 to Aug 4, 2025
- HNW RAUM · $102M to $118MJun 27, 2025 to Aug 4, 2025
- Individual RAUM · $34.1M to $32.3MJun 27, 2025 to Aug 4, 2025
- Non-discretionary RAUM · $0 to $480,973Jun 27, 2025 to Aug 4, 2025
- Pension RAUM · 1888276.0 to unsetJun 27, 2025 to Aug 4, 2025
- RAUM · $138M to $151MJun 27, 2025 to Aug 4, 2025
- Financial planning clients · 101-250 to 101-250May 27, 2025 to Jun 27, 2025
- Accounts · 419 to 440Jan 23, 2024 to Jan 20, 2025
- HNW clients · 32 to 57Jan 23, 2024 to Jan 20, 2025
- Individual clients · 131 to 115Jan 23, 2024 to Jan 20, 2025
- Discretionary RAUM · $111M to $138MJan 23, 2024 to Jan 20, 2025
- HNW RAUM · $76.7M to $102MJan 23, 2024 to Jan 20, 2025
- Individual RAUM · $31.1M to $34.1MJan 23, 2024 to Jan 20, 2025
- Pension RAUM · $3.1M to $1.9MJan 23, 2024 to Jan 20, 2025
- RAUM · $111M to $138MJan 23, 2024 to Jan 20, 2025
- Accounts · 403 to 419Oct 31, 2023 to Jan 23, 2024
- Advisory employees · 2 to 3Oct 31, 2023 to Jan 23, 2024
- HNW clients · 89 to 32Oct 31, 2023 to Jan 23, 2024
- Individual clients · 125 to 131Oct 31, 2023 to Jan 23, 2024
- Pension plan clients · unset to 1.0Oct 31, 2023 to Jan 23, 2024
- Pooled vehicle clients · 0.0 to unsetOct 31, 2023 to Jan 23, 2024
- Employees · 2 to 3Oct 31, 2023 to Jan 23, 2024
- Financial planning clients · 251-500 to 101-250Oct 31, 2023 to Jan 23, 2024
- State-registered IARs · 2 to 3Oct 31, 2023 to Jan 23, 2024
Signals
1 dated events
- R••• C•••• A••••••• • C•••••• filed its initial SEC registration (Form ADV)Jun 23, 2022 · 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
- f••• website
- r•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 918-949-9713reportedpublic record, Form ADV, Jan 26, 2026
- Contact form
- r•••••••••.comreportedpublished 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
- $57.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026