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
1••••• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 21, 2024 · 4 filings
SEC status approved since Sep 20, 2024
RAUM
$121M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$102M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$30.1M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$121M as of Mar 31, 2026
Mar 28, 2025$109M then
HNW client RAUM$89.9M as of Mar 31, 2026
Mar 28, 2025$84.2M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Mar 28, 20253 then
Employees (5.A)5 as of Mar 31, 2026
Mar 28, 20254 then
Private funds: no history
RAUM +10% over the last fiscal yearIARs 3 to 4offices 3 to 4
Practice profile
derived from the filing of Mar 31, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $30.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 9derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $662,484derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $121MreportedItem 5.I
- Custody
- $27.2M, 1 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$89.9M75%
- Individuals$12.0M10.0%
- Corporations and businesses$11.3M9.4%
- Charitable organizations$7.3M6.1%
- Individual clients
- 18reported
- HNW clients
- 19reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 182reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $27.2M for 1 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••••••• F•••• | Altus, Ok | Aug 21, 2024 | 11 y | 2 |
| R••• W•••••• K•••••Chartered Financial Analyst | Tulsa, Ok | Sep 20, 2024 | 17 y | 3 |
| J•••• B••••• H•••••• | Tulsa, Ok | Jan 2, 2026 | 15 y | 3 |
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
- J•••• B••••• H•••••• from C•••••• O•• I••••••••• I•••Jan 2, 2026 · RIA to RIA
- R••• W•••••• K••••• from C•••••• O•• I••••••••• I•••Sep 20, 2024 · RIA to RIA
- M•••••• J••••••• F•••• from F•••• W••••• M••••••••• L••Aug 21, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• J••••• B••••• · Partner And Chief Compliance Officercontrolsince 09/2022 · owns 10% to 25%
- K•••••• R•••• W•••••• · Managing Partnercontrolsince 09/2022 · 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 |
|---|---|---|---|---|---|
| Tulsa, Ok · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-10-30, yes on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 179 to 182Oct 30, 2025 to Mar 31, 2026
- HNW clients · 24 to 19Oct 30, 2025 to Mar 31, 2026
- Individual clients · 17 to 18Oct 30, 2025 to Mar 31, 2026
- Assets in custody · unset to 27156740.0Oct 30, 2025 to Mar 31, 2026
- Custody of client assets · false to trueOct 30, 2025 to Mar 31, 2026
- HQ city · to TULSAOct 30, 2025 to Mar 31, 2026
- HQ state · to OKOct 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $121M to $121MOct 30, 2025 to Mar 31, 2026
- HNW RAUM · $96.5M to $89.9MOct 30, 2025 to Mar 31, 2026
- Individual RAUM · $5.9M to $12.0MOct 30, 2025 to Mar 31, 2026
- RAUM · $121M to $121MOct 30, 2025 to Mar 31, 2026
- Accounts · 170 to 179Mar 28, 2025 to Oct 30, 2025
- Advisory employees · 2 to 3Mar 28, 2025 to Oct 30, 2025
- HNW clients · 19 to 24Mar 28, 2025 to Oct 30, 2025
- Individual clients · 22 to 17Mar 28, 2025 to Oct 30, 2025
- Employees · 4 to 5Mar 28, 2025 to Oct 30, 2025
- Insurance-licensed employees · 0 to 1Mar 28, 2025 to Oct 30, 2025
- Financial planning clients · 0 to 0Mar 28, 2025 to Oct 30, 2025
- State-registered IARs · 3 to 4Mar 28, 2025 to Oct 30, 2025
- Other offices · 3 to 4Mar 28, 2025 to Oct 30, 2025
- Discretionary RAUM · $109M to $121MMar 28, 2025 to Oct 30, 2025
- HNW RAUM · $84.2M to $96.5MMar 28, 2025 to Oct 30, 2025
- Individual RAUM · $9.2M to $5.9MMar 28, 2025 to Oct 30, 2025
- RAUM · $109M to $121MMar 28, 2025 to Oct 30, 2025
- Accounts · 157 to 170Aug 21, 2024 to Mar 28, 2025
- HNW clients · 21 to 19Aug 21, 2024 to Mar 28, 2025
- HQ city · unset to Aug 21, 2024 to Mar 28, 2025
- HQ state · unset to Aug 21, 2024 to Mar 28, 2025
- Discretionary RAUM · $103M to $109MAug 21, 2024 to Mar 28, 2025
- HNW RAUM · $83.6M to $84.2MAug 21, 2024 to Mar 28, 2025
- Individual RAUM · $7.3M to $9.2MAug 21, 2024 to Mar 28, 2025
- RAUM · $103M to $109MAug 21, 2024 to Mar 28, 2025
Signals
1 dated events
- 1••••• L•• filed its initial SEC registration (Form ADV)Aug 21, 2024 · 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
- mjfinch@10elms.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 520-273-8518reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- 10elms.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 918-812-7998reportedpublic record, Form ADV, Mar 31, 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
- $30.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026