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
T•• A••••••• R••••••• G••••• L••
Latest filing Mar 16, 2026
First filing on the tape Oct 3, 2017 · 17 filings
SEC status approved since Oct 31, 2017
RAUM
$927M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
100%
$927M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$116M
derived; firm RAUM over IAPD count
Employees
13
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$927M as of Mar 16, 2026
Feb 26, 2018$440M then
HNW client RAUM$514M as of Mar 16, 2026
Feb 26, 2018$280M then
State-registered IARs (5.B.3)4 as of Mar 16, 2026
Feb 26, 20184 then
Employees (5.A)13 as of Mar 16, 2026
Feb 26, 201812 then
Private funds: no history
RAUM +15% over the last fiscal year+15% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 16, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $116MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $384,469derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 2.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $686MreportedItem 5.I
- 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
- is an insurance broker or agent (6.A.6)
- 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$514M56%
- Individuals$412M44%
- Individual clients
- 562reported
- HNW clients
- 147reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2,410reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- 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=4.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• B•••••• S•••••••• | Tulsa, Ok | Dec 4, 2017 | 26 y | 1 |
| B••••••• R••••• S••••• | Tulsa, Ok | Dec 4, 2017 | 20 y | 1 |
| A••••• M•••••• A••••••• | Tulsa, Ok | Dec 6, 2017 | 19 y | 2 |
| A••••• M••••• J•••• | Tulsa, Ok | Feb 28, 2018 | 11 y | 1 |
| C•••• C•••••• W•••• | Tulsa, Ok | Feb 28, 2018 | 23 y | 2 |
| C••••••••• G•••• B•••• | Tulsa, Ok | Jan 1, 2025 | 24 y | 1 |
| A•••• D• P••••• | Tulsa, Ok | Jan 1, 2025 | 13 y | 1 |
| C•••••••• M• A••••••• | Tulsa, Ok | Dec 18, 2025 | 18 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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•••••••• M• A••••••• from S•• I••••••••• I•••Dec 18, 2025 · Other
- C••••••••• G•••• B•••• from S•• I••••••••• I•••Jan 1, 2025 · Other
- A•••• D• P••••• from S•• I••••••••• I•••Jan 1, 2025 · Other
- C•••• C•••••• W•••• from S•• I••••••••• I•••Feb 28, 2018 · Other
- A••••• M••••• J•••• from S•• I••••••••• I•••Feb 28, 2018 · Other
- A••••• M•••••• A••••••• from S•• I••••••••• I•••Dec 6, 2017 · Other
- J•••• B•••••• S•••••••• from S•• I••••••••• I•••Dec 4, 2017 · Other
- B••••••• R••••• S••••• from S•• I••••••••• I•••Dec 4, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from S•• I••••••••• I•••Dec 1, 2017 · Tulsa, Ok
- 4 joined from S•• I••••••••• I•••Dec 1, 2017 · Houston, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• C••••••••• G•••• · Chief Compliance Officercontrolsince 12/2017 · owns less than 5%
- S•••••• B•••••••• R••••• · Membercontrolsince 12/2017 · owns 75% or more
Related persons
Schedule D 7.A
- E••••• N•••• A•••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tulsa, Ok · principal | 8 | 1 | 0 | ||
| Houston, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Houston, TX3 employees
- Bartlesville, OK
- Ponca City, OK
What changed
consecutive filings, newest first
- Accounts · 2,320 to 2,410Mar 25, 2025 to Mar 16, 2026
- HNW clients · 141 to 147Mar 25, 2025 to Mar 16, 2026
- Individual clients · 571 to 562Mar 25, 2025 to Mar 16, 2026
- Discretionary RAUM · $640M to $757MMar 25, 2025 to Mar 16, 2026
- HNW RAUM · $454M to $514MMar 25, 2025 to Mar 16, 2026
- Individual RAUM · $355M to $412MMar 25, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $169M to $170MMar 25, 2025 to Mar 16, 2026
- RAUM · $809M to $927MMar 25, 2025 to Mar 16, 2026
- Accounts · 2,310 to 2,320Mar 26, 2024 to Mar 25, 2025
- Employees · 14 to 13Mar 26, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Mar 25, 2025
- Discretionary RAUM · $547M to $640MMar 26, 2024 to Mar 25, 2025
- HNW RAUM · $403M to $454MMar 26, 2024 to Mar 25, 2025
- Individual RAUM · $313M to $355MMar 26, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $169M to $169MMar 26, 2024 to Mar 25, 2025
- RAUM · $716M to $809MMar 26, 2024 to Mar 25, 2025
- Accounts · 2,265 to 2,310Mar 3, 2023 to Mar 26, 2024
- Advisory employees · 7 to 6Mar 3, 2023 to Mar 26, 2024
- BD registered reps · 10 to 4Mar 3, 2023 to Mar 26, 2024
- HNW clients · 140 to 141Mar 3, 2023 to Mar 26, 2024
- Individual clients · 574 to 571Mar 3, 2023 to Mar 26, 2024
- Employees · 12 to 14Mar 3, 2023 to Mar 26, 2024
- Insurance-licensed employees · 4 to 0Mar 3, 2023 to Mar 26, 2024
- State-registered IARs · 7 to 4Mar 3, 2023 to Mar 26, 2024
- Discretionary RAUM · $462M to $547MMar 3, 2023 to Mar 26, 2024
- HNW RAUM · $339M to $403MMar 3, 2023 to Mar 26, 2024
- Individual RAUM · $267M to $313MMar 3, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $144M to $169MMar 3, 2023 to Mar 26, 2024
- RAUM · $606M to $716MMar 3, 2023 to Mar 26, 2024
- Accounts · 2,256 to 2,265Mar 7, 2022 to Mar 3, 2023
- Advisory employees · 6 to 7Mar 7, 2022 to Mar 3, 2023
- BD registered reps · 5 to 10Mar 7, 2022 to Mar 3, 2023
- HNW clients · 143 to 140Mar 7, 2022 to Mar 3, 2023
- Insurance-licensed employees · 0 to 4Mar 7, 2022 to Mar 3, 2023
- State-registered IARs · 5 to 7Mar 7, 2022 to Mar 3, 2023
- Discretionary RAUM · $542M to $462MMar 7, 2022 to Mar 3, 2023
- HNW RAUM · $397M to $339MMar 7, 2022 to Mar 3, 2023
- Individual RAUM · $285M to $267MMar 7, 2022 to Mar 3, 2023
- Non-discretionary RAUM · $140M to $144MMar 7, 2022 to Mar 3, 2023
- RAUM · $682M to $606MMar 7, 2022 to Mar 3, 2023
Signals
1 dated events
- C•••••• P••••• F•••••••• filed its initial SEC registration (Form ADV)Oct 3, 2017 · 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
- 281-584-0700reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 281-584-0701reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 580-767-1934reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 918-481-1934reportedpublic record, Form ADV, Mar 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
- $116Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026