Broker-dealer firm · Tulsa, OK
BOK Financial Advisors
BOK Financial Securities, Inc. · SEC-registered investment adviser · CRD 17530 · SEC 801-53600
At a glance
BOK Financial Advisors is an SEC-registered investment adviser based in Tulsa, Oklahoma, with $1.1 billion in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is individuals, and it reports 3,263 individual clients. By Form ADV it is a broker-dealer firm, ranked 163rd of 391 broker-dealer firms and 5,201st of 17,210 SEC-registered advisers by assets.
Main office 877-781-6889advisors.bokfinancial.comAs filed on Form ADV
- Regulatory AUM
- $1.1B
- Rank among broker-dealer firms
- #163 of 391
- Rank among all SEC RIAs
- #5,201 of 17,210
- Rank in Oklahoma
- #16 of 84
- Individual clients
- 3,263
- High-net-worth clients
- 349
- Accounts
- 3,330
- Discretionary
- 49% of AUM
- Employees
- 165
- Advisory staff
- 142
- Offices
- 115
Owners and executives on its Form ADV
- Brett Alan DeanPresident
- Scott Bradley GrauerCEO, Chairman
- Jon Craig SwansonBokfs Board Member
- Mindy Margaret MahaneyBokfs Board Member
- James Augustus ShawSVP, Director of Retail Sales
- James Bradford SteeleSVP, Chief Operating Officer
- Thomas Coy GallatinExecutive Director, Energy Banking
- Catherine Joanne DodsonCfo/finop
- Rebecca Rose ParrishChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
BOK Financial Advisors is a hybrid RIA: 140 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Bokf, NA and Cavanal Hill Distributors, Inc,.
- Bokf, NA
- Cavanal Hill Distributors, Inc, ↗CRD 175445
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, February 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 2,914 | $588M | 56% |
| High-net-worth individuals | 349 | $421M | 40% |
| Corporations or other businesses | 29 | $44M | 4% |
| Charitable organizations | 5 | $5M | <1% |
| Other | 37 | $0M | <1% |
Disciplinary disclosures
BOK Financial Advisors answers yes to 22 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Selecting other advisers
- Educational seminars and workshops
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗advisors.bokfinancial.com ↗
AtlasMembers
The full record on BOK Financial Advisors
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 121 peers of its type and size
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- Owners and executives, with titles and stakes
- 9 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does BOK Financial Advisors manage?
BOK Financial Advisors reports $1.1 billion in regulatory assets under management across 3,330 accounts, 49% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is BOK Financial Advisors?
BOK Financial Advisors is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are BOK Financial Advisors’s clients?
By assets, its largest client types are individuals ($588 million, 2,914 clients); high-net-worth individuals ($421 million, 349 clients); corporations or other businesses ($44 million, 29 clients).
Does BOK Financial Advisors have any disciplinary history?
BOK Financial Advisors answers yes to 22 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is BOK Financial Advisors’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →