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
W••••• M••••••••• S••••••••
Legal name W••••• M••••••••• S•••••••• L••
Latest filing Jan 13, 2026
First filing on the tape Aug 28, 2025 · 2 filings
SEC status approved since Aug 25, 2025
RAUM
$106M
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
100%
$106M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$35.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$106M as of Jan 13, 2026
Aug 28, 2025$116M then
HNW client RAUM$49.0M as of Jan 13, 2026
Aug 28, 2025$83.0M then
State-registered IARs (5.B.3)3 as of Jan 13, 2026
Aug 28, 20253 then
Employees (5.A)3 as of Jan 13, 2026
Aug 28, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 13, 2026; every figure names its basis
- RAUM per advisor
- $35.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $410,447derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%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
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 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
- 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
- Individuals$57.3M54%
- High-net-worth individuals$49.0M46%
- Individual clients
- 128reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 259reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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 |
|---|---|---|---|---|
| J••••• S• M•••••Certified Financial Planner | Claremore, Ok | Jul 26, 2018 | 28 y | 1 |
| S•••••• R••••• S•••• | Claremore, Ok | Jul 26, 2018 | 34 y | 1 |
| D•••• E••••• S••••••••Chartered Financial Consultant | Claremore, Ok | Jul 26, 2018 | 30 y | 5 |
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
- S•••••• R••••• S•••• from R••••• S•••••• C•••••• M••••••••• L••Jul 26, 2018 · RIA to RIA
- D•••• E••••• S•••••••• from R••••• S•••••• C•••••• M••••••••• L••Jul 26, 2018 · RIA to RIA
- J••••• S• M••••• from R••••• S•••••• C•••••• M••••••••• L••Jul 26, 2018 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from R••••• S•••••• C•••••• M••••••••• L••Aug 15, 2018 · Tulsa, Ok · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• S••••••• R••••• · Managing Member And Chief Compliance Officercontrolsince 01/2015 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Claremore, Ok | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 291 to 259Aug 28, 2025 to Jan 13, 2026
- HNW clients · 32 to 40Aug 28, 2025 to Jan 13, 2026
- Individual clients · 112 to 128Aug 28, 2025 to Jan 13, 2026
- Discretionary RAUM · $91.3M to $85.9MAug 28, 2025 to Jan 13, 2026
- HNW RAUM · $83.0M to $49.0MAug 28, 2025 to Jan 13, 2026
- Individual RAUM · $33.1M to $57.3MAug 28, 2025 to Jan 13, 2026
- Non-discretionary RAUM · $24.9M to $20.4MAug 28, 2025 to Jan 13, 2026
- RAUM · $116M to $106MAug 28, 2025 to Jan 13, 2026
Signals
No event on the tape.
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
- 918-336-2899reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 918-336-4400reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 918-499-1700reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (918) 499-1700reportedpublic record, Form ADV, Jan 13, 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
- $35.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026