BOK FINANCIAL ADVISORS
BOK FINANCIAL SECURITIES, INC. Legal Name
Adviser information for BOK FINANCIAL ADVISORS last updated from Form ADV on March 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Oklahoma, United States |
Employees
| Total Number of Employees | 165 |
|---|---|
| Investment Advisory/Research | 151 |
| Registered Broker-Dealer Representatives | 147 |
| Registered State Investment Advisers | 151 |
| Licensed Agents of an Insurance Company | 80 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,472 | $397.1M |
| Non-Discretionary | 629 | $340.4M |
| Total | 3,101 | $737.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2,778 | $489.0M |
| HNW Individuals | 253 | $204.6M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $186,120 |
| Charitable organizations | 5 | $4.9M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | 27 | $38.9M |
| Other | 37 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Educational seminars/workshopsFURNISHES ADVICE ABOUT SECURITIES IN ANY MANNER NOT DESCRIBED ABOVE. |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Broker-dealerInsurance broker or agentRegistered municipal advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 406.4M |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WEALTH PORTFOLIOS PROGRAM | BOK FINANCIAL ADVISORS |
| ADVISOR SELECT FLEX PROGRAM | BOK FINANCIAL ADVISORS |
| CUSTOMIZED PORTFOLIO SOLUTIONS PROGRAM | BOK FINANCIAL ADVISORS |
| OUTSIDE INVESTMENT STRATEGIES | BOK FINANCIAL ADVISORS |
| UNIFIED MANAGED ACCOUNT PROGRAM | BOK FINANCIAL ADVISORS |
| SEPARATELY MANAGED ACCOUNT PROGRAM | BOK FINANCIAL ADVISORS |
| PORTFOLIO MANAGER DIRECTED PROGRAM | BOK FINANCIAL ADVISORS |
| ADVISOR DIRECTED PROGRAM | BOK FINANCIAL ADVISORS |
| INVESTON DIGITAL ADVICE PROGRAM | BOK FINANCIAL ADVISORS |
Principal Office
ONE WILLIAMS CENTERPLAZA SOUTHEAST
TULSA
OK
United States
Monday - Friday, 8:30 AM - 5:00 PM (CST)
Tel: 877-781-6889, Fax: None
Chief Compliance Officer
JON SWANSON
SVP
ONE WILLIAMS CENTER
PLAZA LEVEL SE
TULSA
OK
United States
Tel:
918-595-3037
J**********@*******M
(Full email address available in API data)
Industry Affiliates
| BOK FINANCIAL PRIVATE WEALTH, INC. | Other investment adviser, including financial planners |
| BOK FINANCIAL, BANK OF OK, BANK OF TX | Broker-dealer, municipal securities dealer, or gov securities broker or dealerBanking or thrift institution |
| BOKF EQUITY, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BOSC AGENCY, INC. | Insurance company or agency |
| CAVANAL HILL DISTRIBUTORS, INC, | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CAVANAL HILL INVESTMENT MANAGEMENT, INC. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KAISER, GEORGE BRUCE | Individual | BOK FINANCIAL CORP. | INDIRECT BENEFICIAL OWNER | 11/1991 | 50-75% |
| DEAN, BRETT ALAN | Individual | – | PRESIDENT | 04/2012 | < 5% |
| GRAUER, SCOTT BRADLEY | Individual | – | CEO, CHAIRMAN | 04/2012 | < 5% |
| COFFMAN, JOHN MALONE | Individual | – | SVP, OPERATIONS MANAGER | 03/2012 | < 5% |
| BOK FINANCIAL CORPORATION | Domestic Entity | – | DIRECT BENEFICIAL OWNER | 12/2000 | > 75% |
| SWANSON, JON CRAIG | Individual | – | SVP, CHIEF COMPLIANCE OFFICER | 03/2017 | < 5% |
| MAHANEY, MINDY MARGARET | Individual | – | BOKFS BOARD MEMBER | 05/2014 | < 5% |
| SHAW, JAMES AUGUSTUS | Individual | – | SVP, DIRECTOR OF RETAIL SALES | 07/2019 | < 5% |
| STEELE, JAMES BRADFORD | Individual | – | SVP, CHIEF OPERATING OFFICER | 09/2022 | < 5% |
| GALLATIN, THOMAS COY | Individual | – | EXECUTIVE DIRECTOR, ENERGY BANKING | 01/2016 | < 5% |
| DODSON, CATHERINE JOANNE | Individual | – | CFO/FINOP | 08/2023 | < 5% |