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
O••• P•••••••• L••
Latest filing Feb 3, 2026
First filing on the tape May 17, 2023 · 7 filings
SEC status approved since Jun 16, 2023
RAUM
$285M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$285M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$47.4M
derived; firm RAUM over IAPD count
Employees
8
6 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$285M as of Feb 3, 2026
Mar 19, 2024$123M then
HNW client RAUM$123M as of Feb 3, 2026
Mar 19, 2024$14.3M then
State-registered IARs (5.B.3)5 as of Feb 3, 2026
Mar 19, 20245 then
Employees (5.A)8 as of Feb 3, 2026
Mar 19, 20246 then
Private funds: no history
RAUM +42% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Feb 3, 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
- $47.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $257,864derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +42%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +27%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
- $30.6M, 47 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
- 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)
- 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
- Individuals$162M57%
- High-net-worth individuals$123M43%
- Individual clients
- 444reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,104reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.6M for 47 clientsreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• J•••••• K•••••••• | Tulsa, Ok | Oct 10, 2019 | 13 y | 0 |
| R••••• T••••• Y•••• | Tulsa, Ok | Dec 20, 2019 | 15 y | 0 |
| A••• C••• S••••• | Tulsa, Ok | Nov 16, 2021 | 13 y | 0 |
| R••••• M•••• R••••• | Round Rock, Tx | Dec 3, 2021 | 14 y | 0 |
| B•••• R•••••• K••••• | Brooklyn, Ny | Jan 1, 2025 | 18 y | 0 |
| C•••••• J••••• B•••••Certified Financial Planner | Tulsa, Ok | Feb 10, 2026 | 11 y | 5 |
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•••••• J••••• B••••• from R••• F•••••••• P•••••••Feb 10, 2026 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Y••••• R•••••• T••••• · President / Chief Compliance Officercontrolsince 10/2018 · owns 75% or more
Related persons
Schedule D 7.A
- O••• L••• D•• R•• L••• P•••n
- R••••• T• Y••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tulsa, Ok · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Fayetteville, AR3 employees
- Little Rock, AR3 employees
- Bentonville, AR3 employees
- Oklahoma City, OK2 employees
- Round Rock, TX1 employees
- San Diego, CA1 employees
- Denver, CO1 employees
- Fort Worth, TX1 employees
- Lexington, KY1 employees
- Brentwood, TN
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 3, 2026custody of client assets (Item 9.A): no on the filing of 2025-12-08, yes on the filing of 2026-02-03peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 25 %Change between filings · filing Feb 3, 2026RAUM (Item 5.F) moved from $200,568,164 to $284,681,416 (+42.0%) between the annual amendments of 2025-03-05 and 2026-02-03; the peer median change was +15.0% (4550 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 94% percentile
What changed
consecutive filings, newest first
- Employees · 6 to 8Dec 8, 2025 to Feb 3, 2026
- Accounts · 838 to 1,104Dec 8, 2025 to Feb 3, 2026
- Advisory employees · 5 to 6Dec 8, 2025 to Feb 3, 2026
- HNW clients · 35 to 58Dec 8, 2025 to Feb 3, 2026
- Individual clients · 359 to 444Dec 8, 2025 to Feb 3, 2026
- Assets in custody · unset to 30582899.0Dec 8, 2025 to Feb 3, 2026
- Custody of client assets · false to trueDec 8, 2025 to Feb 3, 2026
- Discretionary RAUM · $201M to $285MDec 8, 2025 to Feb 3, 2026
- HNW RAUM · $76.5M to $123MDec 8, 2025 to Feb 3, 2026
- Individual RAUM · $124M to $162MDec 8, 2025 to Feb 3, 2026
- RAUM · $201M to $285MDec 8, 2025 to Feb 3, 2026
- Accounts · 620 to 838Jul 2, 2024 to Mar 5, 2025
- HNW clients · 9 to 35Jul 2, 2024 to Mar 5, 2025
- Individual clients · 269 to 359Jul 2, 2024 to Mar 5, 2025
- Financial planning clients · 251-500 to 251-500Jul 2, 2024 to Mar 5, 2025
- Other offices · 10 to 2Jul 2, 2024 to Mar 5, 2025
- Discretionary RAUM · $123M to $201MJul 2, 2024 to Mar 5, 2025
- HNW RAUM · $14.3M to $76.5MJul 2, 2024 to Mar 5, 2025
- Individual RAUM · $109M to $124MJul 2, 2024 to Mar 5, 2025
- RAUM · $123M to $201MJul 2, 2024 to Mar 5, 2025
- Accounts · 552 to 620Jun 28, 2023 to Mar 19, 2024
- HNW clients · 17 to 9Jun 28, 2023 to Mar 19, 2024
- Individual clients · 218 to 269Jun 28, 2023 to Mar 19, 2024
- Financial planning clients · 101-250 to 251-500Jun 28, 2023 to Mar 19, 2024
- Other offices · 8 to 10Jun 28, 2023 to Mar 19, 2024
- Discretionary RAUM · $103M to $123MJun 28, 2023 to Mar 19, 2024
- HNW RAUM · $39.0M to $14.3MJun 28, 2023 to Mar 19, 2024
- Individual RAUM · $64.1M to $109MJun 28, 2023 to Mar 19, 2024
- RAUM · $103M to $123MJun 28, 2023 to Mar 19, 2024
Signals
2 dated events
- O••• P•••••••• L•• reported 2 offices beyond its principal office, down from 10 (2024-07-02 to 2025-03-05)Mar 5, 2025 · Office count change · derived
- O••• P•••••••• L•• filed its initial SEC registration (Form ADV)May 17, 2023 · 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
- Website
- oathplanning.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888-534-4330reportedpublic record, Form ADV, Feb 3, 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
- $47.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026