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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Former SEC-registered adviser

C••••••• F•••••••• G••••• I••

Former SEC-registered adviserOklahoma City, OklahomaCRD 299819SEC 801-114591IAPD
Latest filing May 11, 2020
First filing on the tape Dec 17, 2018 · 7 filings
RAUM
$180M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
83%
$150M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$180M as of May 11, 2020
Dec 17, 2018$0 then
HNW client RAUM$133M as of May 11, 2020
May 15, 2019$46.4M then
State-registered IARs (5.B.3)1 as of May 11, 2020
Dec 17, 20181 then
Employees (5.A)4 as of May 11, 2020
Dec 17, 20184 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 11, 2020; every figure names its basis
RAUM per advisor
$180MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
258derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$211,086derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$133M74%
  • Pension and profit-sharing plans$29.4M16%
  • Individuals$17.0M9.4%
  • Corporations and businesses$750,3500.4%
Individual clients
190reported
HNW clients
68reported
Pension plan clients
89reported
Charitable clients
n/areported
Accounts
854reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• M••••••• P•••••• · President And Chief Compliance Officercontrol
        since 11/2018 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 830 to 854
        Aug 13, 2019 to Mar 17, 2020
      • Advisory activities · 1 to 3
        Aug 13, 2019 to Mar 17, 2020
      • Corporate clients · unset to 7.0
        Aug 13, 2019 to Mar 17, 2020
      • HNW clients · 33 to 68
        Aug 13, 2019 to Mar 17, 2020
      • Individual clients · 49 to 190
        Aug 13, 2019 to Mar 17, 2020
      • Pension plan clients · 61 to 89
        Aug 13, 2019 to Mar 17, 2020
      • Financial planning clients · unset to 0
        Aug 13, 2019 to Mar 17, 2020
      • Discretionary RAUM · $114M to $180M
        Aug 13, 2019 to Mar 17, 2020
      • HNW RAUM · $46.4M to $133M
        Aug 13, 2019 to Mar 17, 2020
      • Individual RAUM · $11.7M to $17.0M
        Aug 13, 2019 to Mar 17, 2020
      • Pension RAUM · $56.4M to $29.4M
        Aug 13, 2019 to Mar 17, 2020
      • RAUM · $114M to $180M
        Aug 13, 2019 to Mar 17, 2020
      • Accounts · 0 to 830
        Dec 17, 2018 to May 15, 2019
      • HNW clients · unset to 33.0
        Dec 17, 2018 to May 15, 2019
      • Individual clients · unset to 49.0
        Dec 17, 2018 to May 15, 2019
      • Pension plan clients · unset to 61.0
        Dec 17, 2018 to May 15, 2019
      • Discretionary RAUM · $0 to $114M
        Dec 17, 2018 to May 15, 2019
      • HNW RAUM · unset to 46350000.0
        Dec 17, 2018 to May 15, 2019
      • Individual RAUM · unset to 11656260.0
        Dec 17, 2018 to May 15, 2019
      • Pension RAUM · unset to 56358974.0
        Dec 17, 2018 to May 15, 2019
      • RAUM · $0 to $114M
        Dec 17, 2018 to May 15, 2019
      Signals
      1 dated events
      • C••••••• F•••••••• G••••• I•• filed its initial SEC registration (Form ADV)
        Dec 17, 2018 · 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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026