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.
SEC-registered adviser
Forge Financial
Legal name Forge Financial Services, LLC
Latest filing Sep 8, 2026
First filing on the tape Dec 13, 2019 · 24 filings
SEC status approved since Jan 15, 2020
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.5B individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$97.2M
derived; firm RAUM over IAPD count
Employees
15
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$1.5B as of Mar 30, 2026
Mar 31, 2021$791M then
HNW client RAUM$815M as of Mar 30, 2026
Mar 31, 2021$232M then
State-registered IARs (5.B.3)15 as of Mar 30, 2026
Mar 31, 202110 then
Employees (5.A)15 as of Mar 30, 2026
Mar 31, 202113 then
Private funds: no history
RAUM +21% over the last fiscal year+19% a year over threeIARs 14 to 15
Practice profile
derived from the filing of Sep 8, 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
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $97.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 312derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $770,578derivedHNW RAUM over HNW clients
- Average account
- $196,225derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 7.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +7.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $1.5BreportedItem 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
- 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$815M56%
- Individuals$637M44%
- Corporations and businesses$4.7M0.3%
- Pension and profit-sharing plans$1.1M0.1%
- Charitable organizations$304,7680.0%
- Individual clients
- 3,617reported
- HNW clients
- 1,057reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7,427reported
- Financial planning clients
- n/areported
- 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= related_bank= bd_reps=15.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Charlotte Nanette Williams | Edmond, Ok | Jan 15, 2020 | 26 y | 3 |
| Royse Lee Mccasland | Edmond, Ok | Jan 15, 2020 | 16 y | 0 |
| James D Burleson | Edmond, Ok | Jan 15, 2020 | 22 y | 0 |
| John Barry Dotson | Edmond, Ok | Jan 15, 2020 | 14 y | 1 |
| Toni Denise Selph | Tulsa, Ok | Jan 15, 2020 | 13 y | 0 |
| Christie Jo Hughes | Edmond, Ok | Jan 15, 2020 | 11 y | 0 |
| Robert Scott Watson | Edmond, Ok | Jan 15, 2020 | 10 y | 0 |
| Geoffrey Beau Weiss | Edmond, Ok | Jan 15, 2020 | 12 y | 0 |
| Christopher G Beard | Edmond, Ok | Jan 15, 2020 | 31 y | 0 |
| David Blaine Gibson | Edmond, Ok | Jan 25, 2020 | 26 y | 0 |
| Benjamin Joel Lindsly | Edmond, Ok | Apr 25, 2023 | 13 y | 0 |
| Kathryn Jean Hylander | Edmond, Ok | Sep 5, 2024 | 12 y | 0 |
| Kailey Ann Miles | Edmond, Ok | Dec 4, 2024 | 11 y | 0 |
| Madison Leigh Debose | Edmond, Ok | May 12, 2025 | 11 y | 0 |
| Garrett Webster | Edmond, Ok | Aug 12, 2026 | 14 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 6.7% of current headcount2 left over 36 months
Left, latest
- Jordan Long to Empower Advisory Group, LLCJul 31, 2026 · RIA to affiliated broker-dealer or bank
- Jonathan Terry Pixley to Realm Financial PlanningJan 8, 2025 · RIA to a state-registered adviser
Joined, latest
- Garrett Webster from Thrivent Investment Management Inc.Aug 12, 2026 · Affiliated broker-dealer or bank to independent RIA
- Charlotte Nanette Williams from Osaic Fs, Inc.Jan 15, 2020 · Other
- John Barry Dotson from Osaic Fs, Inc.Jan 15, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D James Burleson · Chief Financial Officercontrolsince 11/2019 · owns less than 5%
- Barry John Dotson · Chief Investment Officercontrolsince 11/2019 · owns less than 5%
- Kay Donna Moore · Chief Operations Officercontrolsince 11/2019 · owns less than 5%
- Nanette Charlotte Shaw · Chief Executive Officercontrolsince 02/2004 · owns 75% or more
- Beau Geoffrey Weiss · Chief Compliance Officercontrolsince 09/2026 · owns less than 5%
- Jo Christie Hughes · Vice Presidentsince 01/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Edmond, Ok · principal | 15 | 1 | 1 | ||
| Tulsa, Ok | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Tulsa, OK2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 8, 2026WEISS, GEOFFREY, BEAU (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-03-27 and 2026-09-08peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Sep 8, 2026MOORE, DONNA, KAY (CHIEF OPERATIONS OFFICER) left Schedule A between the filings of 2024-03-27 and 2026-09-08peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 30, 2026 to Sep 8, 2026
- Related adviser · false to unsetMar 30, 2026 to Sep 8, 2026
- Related bank · false to unsetMar 30, 2026 to Sep 8, 2026
- Related broker-dealer · false to unsetMar 30, 2026 to Sep 8, 2026
- Related insurance company · false to unsetMar 30, 2026 to Sep 8, 2026
- Succession · false to unsetMar 30, 2026 to Sep 8, 2026
- Accounts · 6,594 to 7,427Feb 4, 2026 to Mar 30, 2026
- Advisory employees · 14 to 15Feb 4, 2026 to Mar 30, 2026
- BD registered reps · 14 to 15Feb 4, 2026 to Mar 30, 2026
- Corporate clients · 5 to 9Feb 4, 2026 to Mar 30, 2026
- HNW clients · 904 to 1,057Feb 4, 2026 to Mar 30, 2026
- Individual clients · 3,354 to 3,617Feb 4, 2026 to Mar 30, 2026
- Employees · 14 to 15Feb 4, 2026 to Mar 30, 2026
- State-registered IARs · 14 to 15Feb 4, 2026 to Mar 30, 2026
- Discretionary RAUM · $1.2B to $1.5BFeb 4, 2026 to Mar 30, 2026
- HNW RAUM · $636M to $815MFeb 4, 2026 to Mar 30, 2026
- Individual RAUM · $561M to $637MFeb 4, 2026 to Mar 30, 2026
- Pension RAUM · $973,794 to $1.1MFeb 4, 2026 to Mar 30, 2026
- RAUM · $1.2B to $1.5BFeb 4, 2026 to Mar 30, 2026
- Accounts · 6,173 to 6,594Jun 4, 2024 to Mar 26, 2025
- Advisory employees · 11 to 14Jun 4, 2024 to Mar 26, 2025
- BD registered reps · 13 to 14Jun 4, 2024 to Mar 26, 2025
- Corporate clients · 9 to 5Jun 4, 2024 to Mar 26, 2025
- HNW clients · 810 to 904Jun 4, 2024 to Mar 26, 2025
- Individual clients · 3,243 to 3,354Jun 4, 2024 to Mar 26, 2025
- Financial planning clients · unset to Jun 4, 2024 to Mar 26, 2025
- State-registered IARs · 13 to 14Jun 4, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.0B to $1.2BJun 4, 2024 to Mar 26, 2025
- HNW RAUM · $511M to $636MJun 4, 2024 to Mar 26, 2025
- Individual RAUM · $494M to $561MJun 4, 2024 to Mar 26, 2025
- Pension RAUM · $770,707 to $973,794Jun 4, 2024 to Mar 26, 2025
- RAUM · $1.0B to $1.2BJun 4, 2024 to Mar 26, 2025
- Accounts · 5,789 to 6,173Dec 19, 2023 to Mar 27, 2024
- Business name · SHAW FINANCIAL SERVICES to FORGE FINANCIALDec 19, 2023 to Mar 27, 2024
- Corporate clients · 7 to 9Dec 19, 2023 to Mar 27, 2024
- HNW clients · 706 to 810Dec 19, 2023 to Mar 27, 2024
- Individual clients · 3,125 to 3,243Dec 19, 2023 to Mar 27, 2024
- Discretionary RAUM · $854M to $1.0BDec 19, 2023 to Mar 27, 2024
- HNW RAUM · $411M to $511MDec 19, 2023 to Mar 27, 2024
- Individual RAUM · $441M to $494MDec 19, 2023 to Mar 27, 2024
Signals
7 dated events
- Jordan Long left Forge Financial for Empower Advisory Group, Llc (registered 2026-08-11)Jul 31, 2026 · Advisor changed firm · fact
- Jonathan Terry Pixley left Forge Financial for Realm Financial Planning (registered 2025-03-03)Jan 8, 2025 · Advisor changed firm · fact
- Barry John Dotson (Chief Investment Officer) appeared on Schedule A of Forge FinancialMar 29, 2023 · Control person joined · fact
- Kay Donna Moore (Chief Operations Officer) appeared on Schedule A of Forge FinancialMar 29, 2023 · Control person joined · fact
- Alan Gary Shaw (Chief Financial Officer) no longer on Schedule A of Forge Financial (listed 2022-10-05, absent 2023-01-31)Jan 31, 2023 · Control person left · inference
- Forge Financial reported RAUM $790.9M, up 77% from $446.5M (2020-10-15 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Shaw Financial Services filed its initial SEC registration (Form ADV)Dec 13, 2019 · 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
- 405-340-1600reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-584-4759reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 918-592-1300reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/forge-financial-at-lpl-financialreportedpublic record, Form ADV, Sep 17, 2026
- Website
- forgefinancial.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 405-340-1600reportedpublic record, Form ADV, Sep 8, 2026
- Team page
- forgefinancial.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $97.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026