Bok Financial Private Wealth, Inc.
- Regulatory AUM
- $3.7B
- Discretionary
- $3.7B
- Clients
- 818
- Avg AUM / client
- $4.5M
- Accounts
- 2,402
- Employees
- 37
AUM over time
Annual snapshots from Form ADV filings · as of Mar 26, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 323 | $149M | 4.0% |
| High net worth individuals | 414 | $2.9B | 78.7% |
| Investment companies | 1 | $5.5M | 0.15% |
| Pension and profit sharing plans | 5 | $11.2M | 0.3% |
| Charitable organizations | 24 | $167M | 4.48% |
| Corporations and other businesses | 51 | $459M | 12.3% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Jackson Walker Llp Qualified Retirement Plan I Jackson Walker Llp | 2024 |
People (36)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kaiser, George, Bruce | Indirect Beneficial Owner | Aug 2012 (14y) | ≈ 56.25% – 100% via Bok Financial Corporation | |
| Scott Bradley Grauer | Chairman | Aug 2012 (14y) | Less than 5% | |
| Gregory Ayres Wheeler | Chief Executive Officer | Aug 2015 (11y) | Less than 5% | |
| Mahaney, Mindy, Margaret | Chief Operating Officer, Secretary | Aug 2015 (11y) | Less than 5% | |
| David Charles Sego | Managing Director | CFP Personal Financial Specialist | Mar 2016 (10y) | Less than 5% |
| Marrone, Mark, Stephen | Chief Compliance Officer | Mar 2018 (8y) | Less than 5% | |
| Eric Scott Holt | President | CFA | Oct 2018 (8y) | Less than 5% |
| Cleveland, Shelly, Ann | Tax Officer, Treasurer | Jun 2019 (7y) | Less than 5% | |
| Dishman, Clint, Scott | Manager, Strategic Investment Advisors | Jun 2019 (7y) | Less than 5% | |
| Kimberly A Bridges | Director Of Financial Planning | CFP | Jun 2019 (7y) | Less than 5% |
| Nell, Steven, E. | Chief Financial Officer | Jun 2019 (7y) | Less than 5% | |
| Wyett, Stephen, Michael | Managing Director, Investments | Jun 2019 (7y) | Less than 5% | |
| Andrew Robert Hicks | Registered representative | CFA | Nov 2016 (10y) | |
| Jacqueline Ann Sheahan | Registered representative | May 2018 (8y) | ||
| Gregory Donelson Carlin | Registered representative | Mar 2019 (7y) | ||
| Brian Philip Quill | Registered representative | May 2019 (7y) | ||
| Michael Vincent Manna | Registered representative | CFP | Aug 2019 (7y) | |
| Martin Holtwick Walsh | Registered representative | CFP | Oct 2019 (7y) | |
| Kayla Jo Smiley | Registered representative | Oct 2019 (7y) | ||
| Robert Harry Lambright | Registered representative | Oct 2021 (5y) | ||
| Adam Seth Baker | Registered representative | Jan 2022 (5y) | ||
| Michael Joseph Zarich | Registered representative | Feb 2022 (4y) | ||
| Robert Logan Burnam | Registered representative | Jun 2022 (4y) | ||
| Alessandro Ugge | Registered representative | Chartered Financial Consultant | Sep 2023 (3y) | |
| George Cameron Decell | Registered representative | Sep 2023 (3y) | ||
| Fenny Jie | Registered representative | CFA | Feb 2024 (3y) | |
| Josh David Lozow | Registered representative | Apr 2024 (2y) | ||
| Kelly Ann Landen | Registered representative | May 2025 (1y) | ||
| Ryan Michael Flippo | Registered representative | Jun 2025 (1y) | ||
| Nora Calderon Gil | Registered representative | CFP | Jul 2025 (1y) | |
| Erin Melissa Finley Lee | Registered representative | CFA | Oct 2025 (1y) | |
| John Kim | Registered representative | CFP | Oct 2025 (1y) | |
| George Venegas Pedraza | Registered representative | Nov 2025 (1y) | ||
| Cynthia Lee Burton | Registered representative | CFP Chartered Financial Consultant | Jan 2026 (1y) | |
| Leah Beth Collette | Registered representative | Jun 2026 (0y) | ||
| Colin Ray Thomas | Registered representative | Jun 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Bok Financial Corporation | Direct Beneficial Owner | Aug 2012 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Kaiser, George, Bruce: 75% – 100% of Bok Financial Corporation × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Jackson Walker Llp Qualified Retirement Plan I | Jackson Walker Llp | 490 | $309M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/26/2026 | 1.27 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: ON SEPTEMBER 9, 2016, BOKF, NA ("BOKF"), AN AFFILIATE OF THE BOK FINANCIAL PRIVATE WEALTH, INC, ENTERED INTO A CONSENT DECREE (THE "CONSENT DECREE") WITH THE SECURITIES AND EXCHANGE COMMISSION (THE "SEC"). BOKF NEITHER ADMITTED NOR DENIED THE FINDINGS OF THE CONSENT DECREE. THIS MATTER RELATES TO BOKF'S RELATIONSHIP WITH CHRISTOPHER BROGDON WHO HAS BEEN ACCUSED BY THE SEC OF VIOLATING ANTIFRAUD PROVISIONS OF THE FEDERAL SECURITIES LAWS. BOKF SERVED AS INDENTURE TRUSTEE AND DISSEMINATION AGENT FOR SEVERAL CONDUIT MUNICIPAL BOND OFFERINGS FOR WHICH MR. BROGDON'S ENTITIES ACTED AS BORROWER SINCE 2000. THE CONSENT DECREE STATES THAT BOKF, PRIMARILY THROUGH THE ACTIONS OF A FORMER BOKF EMPLOYEE, ALLOWED MR. BROGDON TO PERPETUATE HIS FRAUD BY FAILING TO PERFORM DISCLOSURE AND NOTICE OBLIGATIONS BOKF OWED TO BONDHOLDERS. BOK FINANCIAL PRIVATE WEALTH, INC. MAKES THIS DISCLOSURE SOLELY BECAUSE BOKF SHARES CERTAIN MANAGEMENT PERSONNEL WITH BOK FINANCIAL PRIVATE WEALTH, INC. NEITHER BOK FINANCIAL PRIVATE WEALTH, INC, NOR ANY MEMBER OF BOK FINANCIAL PRIVATE WEALTH, INC., INCLUDING THOSE THAT ALSO HAVE RESPONSIBILITIES AT BOKF, WAS NAMED OR IMPLICATED IN THE ABOVE REFERENCED VIOLATION. Status: Final Sanction Detail: FINE, DISGORGEMENT AND INTEREST PAID IN FULL ON 9/14/2016. Summary: ON SEPTEMBER 9, 2016, BOKF, NA ("BOKF"), AN AFFILIATE OF BOK FINANCIAL PRIVATE WEALTH, INC, ENTERED INTO A CONSENT DECREE (THE "CONSENT DECREE") WITH THE SECURITIES AND EXCHANGE COMMISSION (THE "SEC"). BOKF NEITHER ADMITTED NOR DENIED THE FINDINGS OF THE CONSENT DECREE. THIS MATTER RELATES TO BOKF'S RELATIONSHIP WITH CHRISTOPHER BROGDON WHO HAS BEEN ACCUSED BY THE SEC OF VIOLATING ANTIFRAUD PROVISIONS OF THE FEDERAL SECURITIES LAWS. BOKF SERVED AS INDENTURE TRUSTEE AND DISSEMINATION AGENT FOR SEVERAL CONDUIT MUNICIPAL BOND OFFERINGS FOR WHICH MR. BROGDON'S ENTITIES ACTED AS BORROWER SINCE 2000. THE CONSENT DECREE STATES THAT BOKF, PRIMARILY THROUGH THE ACTIONS OF A FORMER BOKF EMPLOYEE, ALLOWED MR. BROGDON TO PERPETUATE HIS FRAUD BY FAILING TO PERFORM DISCLOSURE AND NOTICE OBLIGATIONS BOKF OWED TO BONDHOLDERS. BOK FINANCIAL PRIVATE WEALTH, INC. MAKES THIS DISCLOSURE SOLELY BECAUSE BOKF SHARES CERTAIN MANAGEMENT PERSONNEL WITH BOK FINANCIAL PRIVATE WEALTH, INC. NEITHER BOK FINANCIAL PRIVATE WEALTH, INC, NOR ANY MEMBER OF BOK FINANCIAL PRIVATE WEALTH, INC, INCLUDING THOSE THAT ALSO HAVE RESPONSIBILITIES AT BOKF, WAS NAMED OR IMPLICATED IN THE ABOVE REFERENCED VIOLATION.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $2.8B (76% of AUM) Mar 2026
- Fidelity Brokerage Services $617M (17% of AUM) Mar 2026
- Bokf, Na $99.5M (4% of AUM) Jun 2020
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 26, 2026.
View current Form ADV (SEC/IAPD) ↗