Arvest Investments, Inc.
SEC-registered
Broker-Dealer (Dually Registered) · Mid-sized ($1B–$10B)
CRD 42057
· SEC file 801-63738
· Lowell, AR
· www.share.arvest.com
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ADV data as of Mar 30, 2026
- Regulatory AUM
- $3.4B
- Discretionary
- $997M
- Clients
- 6,810
- Avg AUM / client
- $505K
- Accounts
- 8,453
- Employees
- 238
AUM over time
$794M
$3.4B
Dec 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Investments (13F portfolio — 255 positions, $826,637,810)
13F period Jun 30, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Vanguard Tax Managed Fds | VAN FTSE DEV MKT | $66,749,176 | 936,830 | 8.07% | 1.94% |
| 2 | Invesco Exchange Traded Fd T | S&P500 EQL WGT | $58,531,016 | 275,090 | 7.08% | 1.7% |
| 3 | Goldman Sachs Etf Tr | ACCESS INVT GR | $40,147,498 | 874,482 | 4.86% | 1.17% |
| 4 | Janus Detroit Str Tr | HENDERSON MTG | $28,956,033 | 643,610 | 3.5% | 0.84% |
| 5 | Ishares Tr | CORE S&P500 ETF | $26,001,702 | 34,720 | 3.15% | 0.76% |
| 6 | Ishares Tr | CMBS ETF | $24,069,367 | 494,745 | 2.91% | 0.7% |
| 7 | Vanguard Intl Equity Index F | FTSE EMR MKT ETF | $22,898,346 | 383,621 | 2.77% | 0.67% |
| 8 | Vanguard Index Fds | MCAP VL IDXVIP | $22,700,169 | 114,879 | 2.75% | 0.66% |
| 9 | Goldman Sachs Etf Tr | ACTIVEBETA US LG | $22,625,176 | 159,455 | 2.74% | 0.66% |
| 10 | Goldman Sachs Etf Tr | ACTIVEBETA EME | $21,813,222 | 419,485 | 2.64% | 0.63% |
| 11 | Ishares Tr | MBS ETF | $21,174,063 | 224,016 | 2.56% | 0.62% |
| 12 | Vanguard Index Fds | SM CP VAL ETF | $17,787,136 | 73,201 | 2.15% | 0.52% |
| 13 | Ishares Tr | 7-10 YR TRSY BD | $17,399,028 | 183,980 | 2.1% | 0.51% |
| 14 | Vanguard Index Fds | MCAP GR IDXVIP | $15,341,442 | 50,086 | 1.86% | 0.45% |
| 15 | Tortoise Capital Series Trus | NORTH AMRCN PIPE | $14,497,134 | 345,746 | 1.75% | 0.42% |
| 16 | First Tr Exchng Traded Fd Vi | FT ENER INCO ETF | $13,332,530 | 610,463 | 1.61% | 0.39% |
| 17 | Ishares Tr | 10-20 YR TRS ETF | $12,833,598 | 127,888 | 1.55% | 0.37% |
| 18 | Bondbloxx Etf Trust | BLOOMBERG FVE YR | $11,824,274 | 242,898 | 1.43% | 0.34% |
| 19 | Spdr Series Trust | ST STR P500ETF | $10,933,032 | 124,408 | 1.32% | 0.32% |
| 20 | State Str Spdr S&P Midcap 40 | UTSER1 S&PDCRP | $10,927,368 | 15,536 | 1.32% | 0.32% |
| 21 | Vanguard Index Fds | SML CP GRW ETF | $10,878,290 | 29,746 | 1.32% | 0.32% |
| 22 | Ishares Tr | MSCI EAFE ETF | $10,120,673 | 97,426 | 1.22% | 0.29% |
| 23 | First Tr Exchange Traded Fd | SMID RISNG ETF | $9,490,878 | 220,001 | 1.15% | 0.28% |
| 24 | Ishares Tr | AGENCY BOND ETF | $9,115,817 | 83,419 | 1.1% | 0.27% |
| 25 | Schwab Strategic Tr | US TIPS ETF | $8,990,649 | 339,269 | 1.09% | 0.26% |
Top 25 of 255 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 6,100 | $1.6B | 47.2% |
| High net worth individuals | 589 | $1.3B | 38.1% |
| Pension and profit sharing plans | 23 | $19.3M | 0.56% |
| Charitable organizations | 35 | $141M | 4.09% |
| State or municipal government entities | 4 | $100M | 2.91% |
| Corporations and other businesses | 59 | $243M | 7.08% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Fleming Electric, Inc. 401(k) Profit Sharing Plan Fleming Electric, Inc. | 2024 | |
| Superior Inc & Affiliates 401(k) Plan Superior, Inc. | 2024 | |
| Essick Air Products, Inc. 401(k) Profit Sharing Plan & Trust Essick Air Products, Inc. | 2024 | |
| Big Four Companies, Inc. 401(k) Plan Big Four Companies, Inc. | 2024 | |
| Missouri Walnut, Llc 401(k) Plan Missouri Walnut, Llc | 2024 | |
| Circle Of Life Retirement 403 B Plan Circle Of Life Hospice & Palliativate Care | 2024 | |
| Kitestring Technical Services 401(k) Plan Kitestring Technical Services | 2024 | |
| Acme Engineering & Manufacturing Corporation Incentive Savings Plan Acme Engineering & Manufacturing Corp. | 2024 |
People (215)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Walton, Jim C. | Shareholder | Dec 1988 (38y) | ≈ 10.55% – 50% via Arvest Bank Group, Inc. | |
| Walton, Samuel Robson | Shareholder | Dec 1988 (38y) | ≈ 10.55% – 50% via Arvest Bank Group, Inc. | |
| Asa Anderson Cottrell | Chief Executive Officer, Chairman, Director | CFP | Jul 1999 (27y) | Less than 5% |
| Payne, Karla | Director | Jul 2003 (23y) | Less than 5% | |
| Perron, John Arleigh | Registered Options And Security Futures Principal (Rosfp) | Aug 2005 (21y) | Less than 5% | |
| Donny Ray Rogers | President Investment Services, Secretary Of Board, Director | CFP | Nov 2008 (18y) | Less than 5% |
| Sabin, Kenneth Kevin | Director | Jun 2011 (15y) | Less than 5% | |
| Gretchen Daphyne Brewer | Financial And Operational Principal And Principal Financial Officer | Aug 2012 (14y) | Less than 5% | |
| Brian Andrew Smith | Director, Executive Vice President, Senior Director Of Sales, Director Of Retirement Plan Consulting | Sep 2012 (14y) | Less than 5% | |
| Derryberry, Dee Garrison | Coo | Mar 2016 (10y) | Less than 5% | |
| Machen, James Matthew | Director | Dec 2018 (8y) | Less than 5% | |
| Andress, Laura Jean | Director | Dec 2019 (7y) | Less than 5% | |
| Bradley Jean Crain | Regional Executive | Feb 2020 (6y) | Less than 5% | |
| James, Cara Clugston | Director | Mar 2020 (6y) | Less than 5% | |
| Rivaldo, Craig Alan | Director | Mar 2020 (6y) | Less than 5% | |
| Barry Christopher Rooker | Senior Director Of Sales/Director | Oct 2020 (6y) | Less than 5% | |
| Kendra Bradford Cain | Chief Compliance Officer | Mar 2023 (3y) | Less than 5% | |
| Lipscomb, Tabitha Hubbs | Director | May 2023 (3y) | Less than 5% | |
| Shepard, Rodney Leman | Director | Feb 2024 (3y) | Less than 5% | |
| Morbeck, Amy Marie | Chief Product & Innovation Officer | Aug 2024 (2y) | Less than 5% | |
| Chad Alan Townsend | Registered representative | Jul 1999 (27y) | ||
| Jerry Don Roberts | Registered representative | Nov 1999 (27y) | ||
| Roger G Cunningham | Registered representative | Nov 1999 (27y) | ||
| William Keith Walker | Registered representative | Jan 2000 (27y) | ||
| Carrie R Coles | Registered representative | CFP | Feb 2003 (23y) | |
| Barbara Jean Ramsey Mills | Registered representative | CFP | Mar 2003 (23y) | |
| Tommy Duke Karr | Registered representative | CFP | Oct 2003 (23y) | |
| John Erland Kiosterud | Registered representative | Jan 2004 (23y) | ||
| Ricky Don Jones | Registered representative | Jan 2004 (23y) | ||
| Arthur Stephen Gibbs | Registered representative | Feb 2004 (22y) | ||
| Dwight Douglas Adkins | Registered representative | Mar 2004 (22y) | ||
| Ryan Everett Ritchie | Registered representative | Dec 2004 (22y) | ||
| Jamie Dawn Alexander | Registered representative | Jan 2005 (22y) | ||
| Kenneth Rex Wasson | Registered representative | Jul 2005 (21y) | ||
| Ryan Michael Thomas | Registered representative | Nov 2005 (21y) | ||
| Edwin A Alas | Registered representative | Mar 2006 (20y) | ||
| William Francis Hines | Registered representative | Apr 2006 (20y) | ||
| Bee Kim Cheah | Registered representative | CFP | May 2006 (20y) | |
| Scott Allen Fiser | Registered representative | Jul 2006 (20y) | ||
| Dennis Jason Whittaker | Registered representative | CFA | Jul 2006 (20y) | |
| Rachel Arlene Harris | Registered representative | Feb 2007 (19y) | ||
| Janet Marie Wedman | Registered representative | Jan 2008 (19y) | ||
| Christian S. Campbell | Registered representative | Apr 2008 (18y) | ||
| Matthew Jacob Campbell | Registered representative | Apr 2008 (18y) | ||
| William Taylor Deweese | Registered representative | CFP | Aug 2008 (18y) | |
| Michael S. Shirley | Registered representative | CFP | Aug 2008 (18y) | |
| Suzanne L. Duhon | Registered representative | Sep 2008 (18y) | ||
| Jennifer Leigh Tichenor Turner | Registered representative | Oct 2008 (18y) | ||
| Justin Scott Boudreaux | Registered representative | Dec 2008 (18y) | ||
| Timothy Lynn Wyatt | Registered representative | CFP | Jan 2009 (18y) | |
| Britton Lane Nowell | Registered representative | May 2009 (17y) | ||
| Tammy Yolanda Blair | Registered representative | Jul 2009 (17y) | ||
| Terri Lynn Taylor | Registered representative | Aug 2009 (17y) | ||
| Adrienne Lee Jackson | Registered representative | CFP | Aug 2009 (17y) | |
| Timothy Kirk Israel | Registered representative | CFP | Oct 2009 (17y) | |
| Michael Wayne Hazelwood | Registered representative | Aug 2010 (16y) | ||
| Blake Justin Keeley | Registered representative | CFP | Oct 2010 (16y) | |
| Cody M. Pugh | Registered representative | Nov 2010 (16y) | ||
| Scott Martin Cain | Registered representative | Nov 2010 (16y) | ||
| Clay Wesley Nickel | Registered representative | Jan 2011 (16y) | ||
| Bret Blakely O'meara | Registered representative | CFA | Apr 2011 (15y) | |
| Randal Eric Lyons | Registered representative | Mar 2012 (14y) | ||
| Erik John Juilfs | Registered representative | Apr 2012 (14y) | ||
| Garrett N. Taylor | Registered representative | CFP | Dec 2012 (14y) | |
| Pierce Reynolds Baker | Registered representative | CFP | Mar 2013 (13y) | |
| Benjamin Titus Laney | Registered representative | Mar 2013 (13y) | ||
| Daniel Wayne Robinson | Registered representative | Apr 2013 (13y) | ||
| Kevin Scott Lacewell | Registered representative | CFP | Apr 2013 (13y) | |
| Tianna Faith Piland | Registered representative | Aug 2013 (13y) | ||
| Kendra Jean Van Horn | Registered representative | Nov 2013 (13y) | ||
| Ben Ross Mclintock | Registered representative | CFP | May 2014 (12y) | |
| David Franklin Frost | Registered representative | Aug 2014 (12y) | ||
| Randall Scott Hopson | Registered representative | Oct 2014 (12y) | ||
| Stephanie Diane Mason | Registered representative | Nov 2014 (12y) | ||
| Cory Christopher Sloan | Registered representative | Jan 2015 (12y) | ||
| Don Joseph Kirn | Registered representative | Jun 2015 (11y) | ||
| Caleb Andrew Akers | Registered representative | Jul 2015 (11y) | ||
| Eric James Clay Eidson | Registered representative | Sep 2015 (11y) | ||
| Kristen Nicole Carroll | Registered representative | Mar 2016 (10y) | ||
| Maria Carmen Obispo | Registered representative | Apr 2016 (10y) | ||
| Allen Brent Wagner | Registered representative | May 2016 (10y) | ||
| Rhonda Lee Sorensen | Registered representative | Jun 2016 (10y) | ||
| Clint Earl Morris | Registered representative | CFP | Jun 2016 (10y) | |
| Shantell Rene' Owen | Registered representative | Jul 2016 (10y) | ||
| James Randall Southerland | Registered representative | Nov 2016 (10y) | ||
| Matthew Lee Clinkscales | Registered representative | Jan 2017 (10y) | ||
| James Alexander Mazzanti | Registered representative | Feb 2017 (9y) | ||
| Kelley B Hunt | Registered representative | Feb 2017 (9y) | ||
| Darin Andrew Drennan | Registered representative | Feb 2017 (9y) | ||
| Hannah Jaye Bode | Registered representative | Feb 2017 (9y) | ||
| Colby R Jacobs | Registered representative | Mar 2017 (9y) | ||
| Andrew Neil Goos | Registered representative | Mar 2017 (9y) | ||
| Robert Kelly Carlson | Registered representative | Mar 2017 (9y) | ||
| Taylor Rachelle Crutchfield Henderson | Registered representative | Apr 2017 (9y) | ||
| Christopher Paul Golden | Registered representative | May 2017 (9y) | ||
| Jessie Ryan Zamaripas | Registered representative | Jun 2017 (9y) | ||
| Mindy Ann Craig | Registered representative | Jun 2017 (9y) | ||
| Andrew Kenneth Skinner | Registered representative | Jun 2017 (9y) | ||
| Michael Thomas Gaffigan | Registered representative | Aug 2017 (9y) | ||
| Homer Justin Giles | Registered representative | Sep 2017 (9y) | ||
| Ray Zorback Ford | Registered representative | Oct 2017 (9y) | ||
| Carlous Noschese | Registered representative | Nov 2017 (9y) | ||
| Ashley Regina Franco | Registered representative | Nov 2017 (9y) | ||
| Neil Smith Royston | Registered representative | Dec 2017 (9y) | ||
| Eric Brian Shepard | Registered representative | Dec 2017 (9y) | ||
| Jerry Suskind | Registered representative | Mar 2018 (8y) | ||
| Cody Lynn Bean | Registered representative | CFP | Mar 2018 (8y) | |
| Jeffrey Alfred Shelton | Registered representative | Chartered Financial Consultant | Apr 2018 (8y) | |
| Byron Anthony Galloway | Registered representative | May 2018 (8y) | ||
| William Howard Oligher | Registered representative | CFP Chartered Financial Consultant | Jul 2018 (8y) | |
| James Patrick Linder | Registered representative | Jul 2018 (8y) | ||
| Ronnie Tyson Backus | Registered representative | Aug 2018 (8y) | ||
| Christopher Jerrod Schroeder | Registered representative | Aug 2018 (8y) | ||
| Joshua Warren Neal | Registered representative | Jan 2019 (8y) | ||
| Colton Roy Nix | Registered representative | Jan 2019 (8y) | ||
| Joshua Lee Coody | Registered representative | Feb 2019 (7y) | ||
| James Kenton Mcneill | Registered representative | Mar 2019 (7y) | ||
| James Michael Baker | Registered representative | May 2019 (7y) | ||
| Christine Ann Gullett | Registered representative | Jul 2019 (7y) | ||
| Seth Dylan Covey | Registered representative | Aug 2019 (7y) | ||
| Lisa Maree Latshaw | Registered representative | Aug 2019 (7y) | ||
| Matthew James Mauldin | Registered representative | Sep 2019 (7y) | ||
| Timothy Matthew Murphy | Registered representative | Sep 2019 (7y) | ||
| Ryan Milton Nelson | Registered representative | Sep 2019 (7y) | ||
| Robin Lee Cole | Registered representative | Sep 2019 (7y) | ||
| Colin Michael Cathey | Registered representative | Oct 2019 (7y) | ||
| David Morales | Registered representative | Dec 2019 (7y) | ||
| Elizabeth Anne Hutcheson | Registered representative | Dec 2019 (7y) | ||
| Jacob Raymond Lopez | Registered representative | Dec 2019 (7y) | ||
| Joshua Clark Warner | Registered representative | Jan 2020 (7y) | ||
| Carol Jane Caster Page | Registered representative | Chartered Financial Consultant | Feb 2020 (6y) | |
| Kory Andrew Allsop | Registered representative | Mar 2020 (6y) | ||
| Christon Drake Newkirk | Registered representative | Mar 2020 (6y) | ||
| Adrienne Brooke Kersey | Registered representative | May 2020 (6y) | ||
| Travis Alan Beckerdite | Registered representative | May 2020 (6y) | ||
| Rupal Jashbhai Poltack | Registered representative | Jul 2020 (6y) | ||
| William Alexander Gossett | Registered representative | Oct 2020 (6y) | ||
| Brandi Nicole Springer | Registered representative | Oct 2020 (6y) | ||
| Andrea Sue Kennedy | Registered representative | Oct 2020 (6y) | ||
| Brayden Cole Mallett | Registered representative | Feb 2021 (5y) | ||
| Ashley Nicole Rucker | Registered representative | May 2021 (5y) | ||
| Matthew Jonah Barson | Registered representative | Jul 2021 (5y) | ||
| Samuel Tyler Wier | Registered representative | CFP | Aug 2021 (5y) | |
| Landon David Anderson | Registered representative | Aug 2021 (5y) | ||
| Anne Luke Boozer | Registered representative | Sep 2021 (5y) | ||
| Robert Lynn Still | Registered representative | Sep 2021 (5y) | ||
| Christel Dawn Subbert | Registered representative | Oct 2021 (5y) | ||
| Jimmy Rodriguez Quiroz | Registered representative | Dec 2021 (5y) | ||
| Joseph Henry Lienhard | Registered representative | Jan 2022 (5y) | ||
| Bradley Daniel Soliman | Registered representative | Feb 2022 (4y) | ||
| Marcus Isaiah Carr | Registered representative | Apr 2022 (4y) | ||
| Mandy Dawn Winefeldt | Registered representative | Jun 2022 (4y) | ||
| Johnathon Andrew Vermillion | Registered representative | Jun 2022 (4y) | ||
| Edward Charles Zimmermann | Registered representative | Jun 2022 (4y) | ||
| Abigail Esther Nowell | Registered representative | Jul 2022 (4y) | ||
| Janoah Ryan Kent Goldsberry | Registered representative | Jul 2022 (4y) | ||
| Edgar Manuel Pacheco | Registered representative | Jul 2022 (4y) | ||
| Tanya R. Wilson | Registered representative | CFP | Jul 2022 (4y) | |
| Cassie Marie Brisco | Registered representative | Aug 2022 (4y) | ||
| Destin Chase Johnson | Registered representative | Aug 2022 (4y) | ||
| Chera Kaye Moore | Registered representative | Sep 2022 (4y) | ||
| Mary Kate Ikenberry | Registered representative | Sep 2022 (4y) | ||
| Konnor Paul Anthony Anawaty | Registered representative | Oct 2022 (4y) | ||
| Lee Richmond Musser | Registered representative | Nov 2022 (4y) | ||
| William Keith Orr | Registered representative | Nov 2022 (4y) | ||
| Ifeoma Ada Ibekwe | Registered representative | Dec 2022 (4y) | ||
| Sasha Renee Gray | Registered representative | Jan 2023 (4y) | ||
| Ryan Anthony Bates | Registered representative | Feb 2023 (3y) | ||
| Nancy Ann Lewis | Registered representative | Feb 2023 (3y) | ||
| Philip D Gottsponer | Registered representative | Feb 2023 (3y) | ||
| Connor Lance Court | Registered representative | Apr 2023 (3y) | ||
| Jaysa Le Ann Carnal | Registered representative | Apr 2023 (3y) | ||
| Charles Dean Holliday | Registered representative | May 2023 (3y) | ||
| Hunter Thomas Alexander | Registered representative | Jun 2023 (3y) | ||
| Victor Paul Wheeler | Registered representative | Jun 2023 (3y) | ||
| Carol Roland Ross | Registered representative | Jul 2023 (3y) | ||
| Odessa Miranda Fowler | Registered representative | Jul 2023 (3y) | ||
| Kelli Rene Trahan | Registered representative | Jul 2023 (3y) | ||
| Isaac David Lee | Registered representative | Sep 2023 (3y) | ||
| Ryan Richard Rodgers | Registered representative | Sep 2023 (3y) | ||
| Joel David Amaro | Registered representative | Dec 2023 (3y) | ||
| Heather Nicole Yarbrough | Registered representative | Jan 2024 (3y) | ||
| Cody Brandon Johnson | Registered representative | Jan 2024 (3y) | ||
| Lindsay Glenda Ledbetter | Registered representative | Jan 2024 (3y) | ||
| Aurora Gabrielle Bailey | Registered representative | Jan 2024 (3y) | ||
| Isaac James Johnson | Registered representative | Feb 2024 (2y) | ||
| Marquise Lamont Haliburton | Registered representative | Mar 2024 (2y) | ||
| Samantha Lee Dodson | Registered representative | CFP | Mar 2024 (2y) | |
| Rina R Mehta | Registered representative | May 2024 (2y) | ||
| Christopher Dale Endres | Registered representative | May 2024 (2y) | ||
| Nicholas Aaron Slavin | Registered representative | Jul 2024 (2y) | ||
| Chad Jerome Meyer | Registered representative | Aug 2024 (2y) | ||
| Tho Minh Ho | Registered representative | Sep 2024 (2y) | ||
| Rebecca Speck Foster | Registered representative | Jan 2025 (2y) | ||
| Anne Marie Reed | Registered representative | CFP | Apr 2025 (1y) | |
| Hunter Dean Brooks | Registered representative | Apr 2025 (1y) | ||
| Roberto Carlos Aguilar | Registered representative | May 2025 (1y) | ||
| Fred Andrew Wood | Registered representative | Jun 2025 (1y) | ||
| Griffin Wade Wuensch | Registered representative | Jul 2025 (1y) | ||
| Toy P Hudson | Registered representative | Jul 2025 (1y) | ||
| Darius La Trell Rawlings | Registered representative | Jul 2025 (1y) | ||
| Mac Kenzie Lee Wolf | Registered representative | Aug 2025 (1y) | ||
| Cale Morgan Cabbiness | Registered representative | Aug 2025 (1y) | ||
| Krissi Sutton | Registered representative | Sep 2025 (1y) | ||
| David William Kempfe | Registered representative | Jan 2026 (1y) | ||
| Matthew Michael Freed | Registered representative | Feb 2026 (0y) | ||
| Townsend Key Wenzler | Registered representative | Feb 2026 (0y) | ||
| Allen Brenbeck Johnson | Registered representative | Mar 2026 (0y) | ||
| Connor Alan Zimmerman | Registered representative | Mar 2026 (0y) | ||
| Luke David Taggart | Registered representative | Apr 2026 (0y) | ||
| Jazz Scott | Registered representative | May 2026 (0y) | ||
| Dakota Dean Mc Kinsey | Registered representative | Jun 2026 (0y) | ||
| Aaron Tesavis | Registered representative | CFP | Jun 2026 (0y) | |
| Elias Lairmore | Registered representative | Jun 2026 (0y) | ||
| Reese Mc Carty Roberts | Registered representative | Jun 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Arvest Bank | Owner | Jul 1996 | A | 75% or more |
| Arvest Bank Group, Inc. | Shareholder | Jan 2000 | B | ≈ 42.19% – 100% via Arvest Holdings, Inc. |
| Arvest Holdings, Inc. | Shareholder | Oct 2001 | B | ≈ 56.25% – 100% via Arvest Bank |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Walton, Jim C.: 25% – 50% of Arvest Bank Group, Inc. × 75% – 100% of Arvest Holdings, Inc. × 75% – 100% of Arvest Bank × 75% – 100% direct ≈ 10.55% – 50% of the firm
- Walton, Samuel Robson: 25% – 50% of Arvest Bank Group, Inc. × 75% – 100% of Arvest Holdings, Inc. × 75% – 100% of Arvest Bank × 75% – 100% direct ≈ 10.55% – 50% of the firm
- Arvest Bank Group, Inc.: 75% – 100% of Arvest Holdings, Inc. × 75% – 100% of Arvest Bank × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Arvest Holdings, Inc.: 75% – 100% of Arvest Bank × 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 (8)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Fleming Electric, Inc. 401(k) Profit Sharing Plan | Fleming Electric, Inc. | 140 | $5.3M | 01/01/2024 |
| Superior Inc & Affiliates 401(k) Plan | Superior, Inc. | 827 | $31.1M | 01/01/2024 |
| Essick Air Products, Inc. 401(k) Profit Sharing Plan & Trust | Essick Air Products, Inc. | 165 | $8.6M | 01/01/2024 |
| Big Four Companies, Inc. 401(k) Plan | Big Four Companies, Inc. | 257 | $7.7M | 01/01/2024 |
| Missouri Walnut, Llc 401(k) Plan | Missouri Walnut, Llc | 112 | $6.2M | 01/01/2024 |
| Circle Of Life Retirement 403 B Plan | Circle Of Life Hospice & Palliativate Care | 336 | $7.1M | 01/01/2024 |
| Kitestring Technical Services 401(k) Plan | Kitestring Technical Services | 86 | $11.1M | 01/01/2024 |
| Acme Engineering & Manufacturing Corporation Incentive Savings Plan | Acme Engineering & Manufacturing Corp. | 237 | $9.7M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 1.66 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.D(4)
as of Nov 07, 2024
Allegations: ALLEGED THAT CCO FAILED TO COMPLY WITH APPLICABLE WRITTEN POLICIES AND PROCEDURES OF AAM REQUIRING THE COMPLETION OF VERBAL COMPLAINT FORM AS TO 3 AAM BROKER/DEALER CUSTOMERS. NO ALLEGATION OF ILLEGAL ACTIVITY, OR THAT ANY CUSTOMER SUFFERED FINANCIAL LOSS. Status: Final Sanction Detail: FINE PAID BEFORE MAY 15, 2013 Summary: THE MATTER WAS SETTLED BY AGREEMENT. AAM PAID FINE, AMENDED ITS POLICIES AND PROCEDURES AS RELATED TO THE HANDLING OF VERBAL COMPLAINTS, AND THE CCO HAS SERVED 3 DAYS SUSPENSION.
Regulatory · Item 11.D(4), 11.D(5)
as of Nov 07, 2024
Allegations: ALLEGED THAT AAM FAILED TO COMPLY WITH AND TO ENFORCE ITS APPLICABLE WRITTEN POLICIES AND PROCEDURES OF REQUIRING THE COMPLETION OF THE AAM VERBAL COMPLAINT FORM AS TO 3 AAM CUSTOMERS. Status: Final Sanction Detail: $20,000.00 LEVIED AGAINST AAM PAID ON 05/10/2013. MR. HARPS WAS SUSPENDED FROM 06/17/2013 THROUGH 06/19/2013.
Regulatory · Item 11.D(4), 11.D(5)
as of Nov 07, 2024
Allegations: ALLEGED THAT AAM FAILED TO COMPLY WITH AND TO ENFORCE ITS APPLICABLE WRITTEN POLICIES AND PROCEDURES OF REQUIRING THE COMPLETION OF THE AAM VERBAL COMPLAINT FORM AS TO 3 AAM CUSTOMERS. Status: Final Sanction Detail: $20,000.00 LEVIED AGAINST AAM PAID ON 05/10/2013. MR. HARPS WAS SUSPENDED FROM 06/17/2013 THROUGH 06/19/2013. Summary: STATE OF OKLAHOMA DEPARTMENT OF SECURITIES LEVIED A $20,000 FINE AGAINST AAM, WHICH WAS PAID ON 05/10/2013. MR. HARPS, AAM'S CHIEF COMPLIANCE OFFICER, WAS SUSPENDED FROM 06/17/2013 THROUGH 06/19/2013.
Regulatory · Item 11.E(2)
as of Nov 07, 2024
Allegations: FINRA ALLEGED THAT AWM VIOLATED RULES 4 AND 5 OF REGULATION S-P, NASD RULE 3010(A)(2) AND (B)(1), AND FINRA RULES 3110(A)(2), (B)(1) AND 2010 BY, BETWEEN JANUARY 2009 AND DECEMBER 2016, FAILING TO PROVIDE REQUIRED INITIAL AND ANNUAL PRIVACY NOTICES TO CERTAIN BROKERAGE CUSTOMERS AND ALSO FAILING TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO ENSURE THAT IT WAS MEETING ITS PRIVACY NOTICE OBLIGATIONS. Status: Final Sanction Detail: THE $150,000 FINE WAS LEVIED AGAINST THE APPLICANT. Summary: FINRA ALLEGED THAT AWM VIOLATED RULES 4 AND 5 OF REGULATION S-P, NASD RULE 3010(A)(2) AND (B)(1), AND FINRA RULES 3110(A)(2), (B)(1) AND 2010 BY, BETWEEN JANUARY 2009 AND DECEMBER 2016, FAILING TO PROVIDE REQUIRED INITIAL AND ANNUAL PRIVACY NOTICES TO CERTAIN BROKERAGE CUSTOMERS AND ALSO FAILING TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO ENSURE THAT IT WAS MEETING ITS PRIVACY NOTICE OBLIGATIONS. ON MAY 23, 2018, WITHOUT ADMITTING OR DENYING FINRA'S FINDINGS, AWM CONSENTED TO THE ENTRY OF FINDINGS AND TO THE FOLLOWING SANCTIONS, INCLUDING A CENSURE, A FINE IN THE AMOUNT OF $150,000, AND AN UNDERTAKING TO REVISE AS NECESSARY ITS POLICIES, PROCEDURES AND INTERNAL CONTROLS, WHICH AWM HAS ALREADY COMPLIED WITH.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Pershing $3.4B (100% of AUM) Mar 2026
- Wells Fargo $1.6B (82% of AUM) Mar 2019
- Raymond James $239M (12% of AUM) Aug 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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 30, 2026.
View current Form ADV (SEC/IAPD) ↗