Royce B. Farnam

CAVANAL HILL INVESTMENT MANAGEMENT

TULSA, OK 74172

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CRD#: 4824008

Professional summary

Royce Bentley Farnam III, who also goes by Trey R Farnam III, Trey R Farnam, Trey Royce Bentley Farnam III, is a registered financial advisor currently at CAVANAL HILL INVESTMENT MANAGEMENT, INC. located in Tulsa, Oklahoma.

Royce is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Royce has worked at 4 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Trey R Farnam Iii | Trey R Farnam | Trey Royce Bentley Farnam Iii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Royce Bentley Farnam III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 8, 2023 - Present

CAVANAL HILL INVESTMENT MANAGEMENT, INC.

Office #1: One Williams Center 15th Floor, Tulsa, OK 74172

RIA

CRD#: 110774

TULSA, OK

Past

July 10, 2012 - September 10, 2021

BOK FINANCIAL SECURITIES, INC.

RIA

CRD#: 17530

TULSA, OK

Past

December 1, 2005 - February 15, 2007

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

BROKEN ARROW, OK

Past

December 1, 2005 - February 15, 2007

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

BROKEN ARROW, OK

Past

November 2, 2004 - November 28, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TULSA, OK

Past

September 2, 2004 - November 28, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAVANAL HILL INVESTMENT MANAGEMENT, INC.

AXIA INVESTMENT MANAGEMENT, INC. | INVESTMENT CONCEPTS, INC. | CAVANAL HILL INVESTMENT MANAGEMENT, INC. | BOK INVESTMENT ADVISERS, INC. | AXIA INVESTMENT MANAGMENT, INC.

CRD#: 110774 / SEC#: 801-60138

RIA

Registered Investment Advisory firm - (4/19/2001 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(1/12/2024)

IAR

Arkansas
(12/8/2023)

IAR

Colorado
(11/13/2023)

IAR

Kansas
(11/15/2023)

IAR

Missouri
(11/13/2023)

IAR

New Mexico
(11/14/2023)

IAR

Oklahoma
(11/8/2023)

IAR

Texas
(11/9/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/25/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/1/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 9/1/2004

General Securities Representative Examination

Current Firm

CAVANAL HILL INVESTMENT MANAGEMENT, INC.

AXIA INVESTMENT MANAGEMENT, INC. | INVESTMENT CONCEPTS, INC. | CAVANAL HILL INVESTMENT MANAGEMENT, INC. | BOK INVESTMENT ADVISERS, INC. | AXIA INVESTMENT MANAGMENT, INC.

CRD#: 110774 / SEC#: 801-60138

RIA

Registered Investment Advisory firm - (4/19/2001 Approved)

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Contact information

Main Address

One Williams Center 15th Floor, Tulsa, OK 74172-0172

Mailing Address

6242 E. 41st St. So, Tulsa, OK 74135

Phone number

(800) 958-2942

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAVANAL HILL INVESTMENT MANAGEMENT, INC., FORM ADV PART 2A 062025 (6/16/2025)

Regulatory assets under management

Total Number of Accounts	2,326
AUM (Assets Under Management)	$ 14,223,562,597

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2025	Cover Page	Report
12/18/2024	Cover Page	Report
08/25/2023	Cover Page	Report
09/26/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Royce B. Farnam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Royce Bentley Farnam III's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOK FINANCIAL SECURITIES, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CAVANAL HILL INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2012

Series 66

Date: 11/1/2004

Series 7

Date: 9/1/2004

Current Firm

CAVANAL HILL INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAVANAL HILL INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

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