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
R••••••• W••••• M••••••••• L••
Latest filing Sep 10, 2026
First filing on the tape Apr 17, 2023 · 11 filings
SEC status approved since May 17, 2023
RAUM
$188M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$188M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$46.9M
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$188M as of Feb 6, 2026
Mar 6, 2024$131M then
HNW client RAUM$67.7M as of Feb 6, 2026
Mar 6, 2024$25.0M then
State-registered IARs (5.B.3)4 as of Feb 6, 2026
Mar 6, 20245 then
Employees (5.A)10 as of Feb 6, 2026
Mar 6, 202410 then
Private funds: no history
RAUM +22% over the last fiscal yearIARs 5 to 4
Practice profile
derived from the filing of Sep 10, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $46.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 148derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $167,291derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -10%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 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
- $176, 36,631,251 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
- 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)
- 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$120M64%
- High-net-worth individuals$67.7M36%
- Individual clients
- 550reported
- HNW clients
- 40reported
- Pension plan clients
- 12reported
- Charitable clients
- n/areported
- Accounts
- 1,122reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $176 for 36,631,251 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=2.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••• B•••• T•••••• | Oklahoma City, Ok | Jan 7, 2021 | 19 y | 4 |
| I••••• L•• C••••••• | Oklahoma City, Ok | Feb 26, 2021 | 16 y | 2 |
| C••••••••• S• S••••••• | Oklahoma City, Ok | Sep 1, 2022 | 23 y | 0 |
| R••••• J•• I••••••Certified Financial Planner | Oklahoma City, Ok | Jan 4, 2023 | 22 y | 0 |
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
- I••••• L•• C••••••• from L•• F•••••••• L••Feb 26, 2021 · Affiliated broker-dealer or bank to independent RIA
- C••••• B•••• T•••••• from L•• F•••••••• L••Jan 7, 2021 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••Dec 6, 2021 · Edmond, Ok
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• I•••••• L•• · Chief Compliance Officercontrolsince 12/2020 · owns less than 5%
- C•••••••• I•••••• L•• · Presidentcontrolsince 01/2014 · owns 50% to 75% of C••••••• G••••• I•••
- C•••••••• M••••••• S•• · Secretary/Treasurercontrolsince 01/2014 · owns 50% to 75% of C••••••• G••••• I•••
Entity owners
- C••••••• G••••• I••• · Memberdirect · 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 |
|---|---|---|---|---|---|
| Oklahoma City, Ok · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Feb 6, 2026 to Sep 10, 2026
- Related adviser · false to unsetFeb 6, 2026 to Sep 10, 2026
- Related bank · false to unsetFeb 6, 2026 to Sep 10, 2026
- Related broker-dealer · false to unsetFeb 6, 2026 to Sep 10, 2026
- Related insurance company · false to unsetFeb 6, 2026 to Sep 10, 2026
- Succession · false to unsetFeb 6, 2026 to Sep 10, 2026
- Accounts · 1,096 to 1,122Mar 5, 2025 to Feb 6, 2026
- Advisory employees · 5 to 4Mar 5, 2025 to Feb 6, 2026
- Advisory activities · 4 to 5Mar 5, 2025 to Feb 6, 2026
- BD registered reps · 3 to 2Mar 5, 2025 to Feb 6, 2026
- HNW clients · 41 to 40Mar 5, 2025 to Feb 6, 2026
- Individual clients · 615 to 550Mar 5, 2025 to Feb 6, 2026
- Assets in custody · unset to 176.0Mar 5, 2025 to Feb 6, 2026
- Custody of client assets · false to trueMar 5, 2025 to Feb 6, 2026
- State-registered IARs · 5 to 4Mar 5, 2025 to Feb 6, 2026
- Discretionary RAUM · $154M to $188MMar 5, 2025 to Feb 6, 2026
- HNW RAUM · $48.8M to $67.7MMar 5, 2025 to Feb 6, 2026
- Individual RAUM · $105M to $120MMar 5, 2025 to Feb 6, 2026
- RAUM · $154M to $188MMar 5, 2025 to Feb 6, 2026
- Accounts · 1,026 to 1,096Jan 2, 2025 to Mar 5, 2025
- HNW clients · 33 to 41Jan 2, 2025 to Mar 5, 2025
- Individual clients · 527 to 615Jan 2, 2025 to Mar 5, 2025
- Financial planning clients · 0 to 0Jan 2, 2025 to Mar 5, 2025
- Discretionary RAUM · $131M to $154MJan 2, 2025 to Mar 5, 2025
- HNW RAUM · $25.0M to $48.8MJan 2, 2025 to Mar 5, 2025
- Individual RAUM · $106M to $105MJan 2, 2025 to Mar 5, 2025
- RAUM · $131M to $154MJan 2, 2025 to Mar 5, 2025
- Accounts · 936 to 1,026Apr 26, 2023 to Mar 6, 2024
- BD registered reps · 4 to 3Apr 26, 2023 to Mar 6, 2024
- HNW clients · 22 to 33Apr 26, 2023 to Mar 6, 2024
- Individual clients · 498 to 527Apr 26, 2023 to Mar 6, 2024
- Pension plan clients · 7 to 12Apr 26, 2023 to Mar 6, 2024
- Employees · 8 to 10Apr 26, 2023 to Mar 6, 2024
- Discretionary RAUM · $108M to $131MApr 26, 2023 to Mar 6, 2024
- HNW RAUM · $18.7M to $25.0MApr 26, 2023 to Mar 6, 2024
- Individual RAUM · $89.3M to $106MApr 26, 2023 to Mar 6, 2024
- RAUM · $108M to $131MApr 26, 2023 to Mar 6, 2024
Signals
1 dated events
- R••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 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
- Business phone
- 405-844-9933reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- redstonewm.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (405) 844-9933reportedpublic record, Form ADV, Sep 10, 2026
- Contact form
- redstonewm.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
- $46.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026