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

A••••••••• F•••••••• A••••••• I•••

Independent wealth managerOklahoma City, OklahomaCRD 309192SEC 801-118982websiteIAPD
Latest filing May 6, 2026
First filing on the tape May 27, 2020 · 27 filings
SEC status approved since Jun 26, 2020
RAUM
$234M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$234M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$58.4M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$234M as of May 6, 2026
Mar 31, 2021$310M then
HNW client RAUM$103M as of May 6, 2026
Mar 31, 2021$61.0M then
State-registered IARs (5.B.3)4 as of May 6, 2026
Mar 31, 20216 then
Employees (5.A)4 as of May 6, 2026
Mar 31, 202110 then
Private funds: no history
RAUM +7.6% over the last fiscal year+31% a year over threeIARs 4 to 4
Practice profile
derived from the filing of May 6, 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
$58.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
173derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$180,947derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+7.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Wrap fee program
$14.6MreportedItem 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
  • Individuals$131M56%
  • High-net-worth individuals$103M44%
Individual clients
637reported
HNW clients
53reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,291reported
Financial planning clients
101-250reported
Wrap fee programs
$14.6M sponsored, $0 managedreported
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=4.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••••• L• B••••Westerville, OhFeb 9, 202215 y3
A••••• R•••• N••••••Houston, Tx Feb 24, 202314 y1
S••••• M• M•••••Oklahoma City, OkFeb 3, 202612 y0
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 headcount3 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • N••••••• A•••• P••••• · Ceo, Chief Compliance Officercontrol
    since 03/2021 · owns less than 5%
  • N••••••• A••••• G••• · Directorcontrol
    since 09/2024 · owns less than 5%
  • N••••••• A•••• P••••• · Trusteecontrol
    since 05/2021 · owns F of A••• N•••••• T••••
  • E••••••• M••••••• P••• · Shareholder
    since 01/2021 · owns less than 5%
  • K••••• M••••••• D•••• · Shareholder
    since 01/2021 · owns 5% to 10%
  • W••••••• S•••• · Owner
    since 01/2021 · owns 75% or more of S••• E••••••••• I•••
Entity owners
  • A•• A••••••••• F•••••••• H•••••••• L•• · Shareholder
    direct · owns 75% or more
  • K•• C•••••• M••••••••• L•• · Shareholder
    direct · owns 5% to 10%
  • S••• E••••••••• I••• · Shareholder
    direct · owns less than 5%
  • A••• N•••••• T•••• · Member
    indirect · owns 75% or more of A•• A••••••••• F•••••••• H•••••••• L••
Related persons
Schedule D 7.A
  • D••••••••• I•••••••• B•••••••• A••••••••• L••
    real estaten
Advisers that list A••••••••• F•••••••• A••••••• I••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Oklahoma City, Ok · principal310
Offices
Schedule D 1.F, the 25 largest
  • Houston, TX1 employees
  • Westerville, OH1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • account count surgeChange between filings · filing Mar 23, 2026
    accounts (Item 5.F.2.f) moved from 674.0 to 1,291.0 (+92.0%) between the annual amendments of 2025-04-21 and 2026-03-23; the peer median change was +5.0% (3687 comparable advisers, 98.0th percentile of changes)
    peers: independent wealth managers, $100M to $500M (3,687) · 98% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 674 to 1,291
    Nov 6, 2025 to Mar 23, 2026
  • HNW clients · 65 to 53
    Nov 6, 2025 to Mar 23, 2026
  • Individual clients · 609 to 637
    Nov 6, 2025 to Mar 23, 2026
  • Insurance-licensed employees · 3 to 1
    Nov 6, 2025 to Mar 23, 2026
  • Discretionary RAUM · $217M to $234M
    Nov 6, 2025 to Mar 23, 2026
  • HNW RAUM · $103M to $103M
    Nov 6, 2025 to Mar 23, 2026
  • Individual RAUM · $114M to $131M
    Nov 6, 2025 to Mar 23, 2026
  • RAUM · $217M to $234M
    Nov 6, 2025 to Mar 23, 2026
  • Wrap assets (sponsor) · $12.9M to $14.6M
    Nov 6, 2025 to Mar 23, 2026
  • Accounts · 1,182 to 674
    Nov 20, 2024 to Apr 21, 2025
  • Advisory employees · 5 to 4
    Nov 20, 2024 to Apr 21, 2025
  • BD registered reps · 5 to 4
    Nov 20, 2024 to Apr 21, 2025
  • HNW clients · 19 to 65
    Nov 20, 2024 to Apr 21, 2025
  • Individual clients · 633 to 609
    Nov 20, 2024 to Apr 21, 2025
  • Employees · 5 to 4
    Nov 20, 2024 to Apr 21, 2025
  • Insurance-licensed employees · 2 to 3
    Nov 20, 2024 to Apr 21, 2025
  • Financial planning clients · 101-250 to 101-250
    Nov 20, 2024 to Apr 21, 2025
  • State-registered IARs · 5 to 4
    Nov 20, 2024 to Apr 21, 2025
  • Discretionary RAUM · $177M to $217M
    Nov 20, 2024 to Apr 21, 2025
  • HNW RAUM · $29.6M to $103M
    Nov 20, 2024 to Apr 21, 2025
  • Individual RAUM · $148M to $114M
    Nov 20, 2024 to Apr 21, 2025
  • RAUM · $177M to $217M
    Nov 20, 2024 to Apr 21, 2025
  • Wrap assets (sponsor) · $10.2M to $12.9M
    Nov 20, 2024 to Apr 21, 2025
  • Accounts · 1,339 to 1,182
    Nov 1, 2023 to Mar 27, 2024
  • Advisory employees · 7 to 5
    Nov 1, 2023 to Mar 27, 2024
  • BD registered reps · 7 to 5
    Nov 1, 2023 to Mar 27, 2024
  • HNW clients · 36 to 19
    Nov 1, 2023 to Mar 27, 2024
  • Individual clients · 1,303 to 633
    Nov 1, 2023 to Mar 27, 2024
  • Employees · 7 to 5
    Nov 1, 2023 to Mar 27, 2024
  • Insurance-licensed employees · 5 to 2
    Nov 1, 2023 to Mar 27, 2024
  • Financial planning clients · 51-100 to 101-250
    Nov 1, 2023 to Mar 27, 2024
  • State-registered IARs · 7 to 5
    Nov 1, 2023 to Mar 27, 2024
  • Other offices · 1 to 2
    Nov 1, 2023 to Mar 27, 2024
  • Discretionary RAUM · $242M to $177M
    Nov 1, 2023 to Mar 27, 2024
  • HNW RAUM · $56.1M to $29.6M
    Nov 1, 2023 to Mar 27, 2024
  • Individual RAUM · $186M to $148M
    Nov 1, 2023 to Mar 27, 2024
  • RAUM · $242M to $177M
    Nov 1, 2023 to Mar 27, 2024
  • Accounts · 655 to 1,339
    Mar 31, 2023 to Oct 27, 2023
  • Corporate clients · 2.0 to unset
    Mar 31, 2023 to Oct 27, 2023
  • HNW clients · 9 to 36
    Mar 31, 2023 to Oct 27, 2023
Signals
21 dated events
  • C•••••• M•••••• T••••• left A••••••••• F•••••••• A••••••• I••• for L•• E••••••••• L•• (registered 2025-08-18)
    Aug 20, 2025 · a•••••• firm change · fact
  • G••• A•••• N•••••• (Director) appeared on Schedule A of A••••••••• F•••••••• A••••••• I•••
    Nov 18, 2024 · Control person joined · fact
  • Kean Mitchell Robinson (Director Of Compliance, Chief Compliance Officer) no longer on Schedule A of A••••••••• F•••••••• A••••••• I••• (listed 2024-03-27, absent 2024-11-12)
    Nov 12, 2024 · Control person left · inference
  • M••••••• K• R••••••• left A••••••••• F•••••••• A••••••• I••• for M•••••• A•••••• N•••••• (registered 2024-10-31)
    Oct 17, 2024 · a•••••• firm change · fact
  • Lee K•••• B•••••• (Owner) no longer on Schedule A of A••••••••• F•••••••• A••••••• I••• (listed 2023-11-01, absent 2024-03-27)
    Mar 27, 2024 · Control person left · inference
  • E•••• G••••• left A••••••••• F•••••••• A••••••• I••• for J••• M••••• S••••••••• L•• (registered 2024-03-15)
    Dec 5, 2023 · a•••••• firm change · fact
  • A••••••••• F•••••••• A••••••• I••• reported RAUM $242.1M, up 135% from $103.0M (2023-03-31 to 2023-10-27)
    Oct 27, 2023 · RAUM change · derived
  • Lee K•••• B•••••• (Owner) appeared on Schedule A of A••••••••• F•••••••• A••••••• I•••
    Oct 27, 2023 · Control person joined · fact
  • J•••• F• S•••• left A••••••••• F•••••••• A••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2021-12-20)
    Mar 13, 2023 · a•••••• firm change · fact
  • C••••••••• E• M••••• left A••••••••• F•••••••• A••••••• I••• for O••••• F•••••••• G••••• L•• (registered 2022-09-06)
    Jun 22, 2022 · a•••••• firm change · fact
  • A••••• J••••• K••••• left A••••••••• F•••••••• A••••••• I••• for S•••••• P•••••••• L•• (registered 2022-08-22)
    Jun 15, 2022 · a•••••• firm change · fact
  • A••••••••• F•••••••• A••••••• I••• reported RAUM $142.8M, down 54% from $309.9M (2022-02-09 to 2022-03-30)
    Mar 30, 2022 · RAUM change · derived
  • Lebon-Mellencamp Mitch Robinson (Director Of Compliance) no longer on Schedule A of A••••••••• F•••••••• A••••••• I••• (listed 2021-12-07, absent 2022-02-09)
    Feb 9, 2022 · Control person left · inference
  • Kean Mitchell Robinson (Director Of Compliance) appeared on Schedule A of A••••••••• F•••••••• A••••••• I•••
    Feb 9, 2022 · Control person joined · fact
  • J••• P•••••• B•••• left A••••••••• F•••••••• A••••••• I••• for P•••• S••••••••• L•• (registered 2022-09-01)
    Jan 27, 2022 · a•••••• firm change · fact
  • Lebon-Mellencamp Mitch Robinson (Director Of Compliance) appeared on Schedule A of A••••••••• F•••••••• A••••••• I•••
    Dec 7, 2021 · Control person joined · fact
  • Marie Annetta Box T••••• (Assistant Compliance Officer) no longer on Schedule A of A••••••••• F•••••••• A••••••• I••• (listed 2021-09-13, absent 2021-12-07)
    Dec 7, 2021 · Control person left · inference
  • V•••••• K•••• Cox (Member) no longer on Schedule A of A••••••••• F•••••••• A••••••• I••• (listed 2021-03-31, absent 2021-09-13)
    Sep 13, 2021 · Control person left · inference
  • A••••••••• F•••••••• A••••••• I••• reported RAUM $309.9M, up 181% from $110.2M (2020-10-14 to 2021-03-31)
    Mar 31, 2021 · RAUM change · derived
  • Marie Annetta Box T••••• (Assistant Compliance Officer) appeared on Schedule A of A••••••••• F•••••••• A••••••• I•••
    Mar 31, 2021 · Control person joined · fact
  • A••••••••• F•••••••• A••••••• I••• filed its initial SEC registration (Form ADV)
    May 27, 2020 · 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 email
info@adaptfa.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone
405-478-1205reportedpublished by the firm, firm site, Sep 16, 2026
Business phone
405-478-7700reportedpublished by the firm, firm site, Sep 16, 2026
Business phone
405-478-8773reportedpublished by the firm, firm site, Sep 16, 2026
Firm profile
linkedin.com/company/adaptationreportedpublic record, Form ADV, Sep 18, 2026
Website
adaptfa.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
972-774-0700reportedpublic record, Form ADV, May 6, 2026
Contact form
adaptfa.com/contactreportedpublished by the firm, firm site, Sep 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
$58.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026