DFX Intelligence

S••••••• G•••• A•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 1b 10b

S••••••• G•••• A•••• M••••••••• L••

CRD 288981

LITTLE ROCK, AR

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 10:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 2
On other graphs: 0
Observed: Aug 25, 2017 to Mar 27, 2026
33 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderived••• Locked
Regulatory AUM: $1.7B••• Locked
Discretionary RAUM: $1.7B
Private client RAUM: $1.3Bderived••• Locked
Private client share: 77%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $568Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••• B•••••• T••••••	n/a	LITTLE ROCK, AR	8	28	1	no
C•••••• B•••••• J••••	n/a	Stilwelll, OK \| LITTLE ROCK, AR	7	27

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• E••••••••• S•••••••	TRUSTEE OF E•••••••• S• C••••••• R•••••••• T••••	C	yes	08/1992	Mar 27, 2026	Mar 27, 2026
E•••••••• S• C•••••••	Member	C	yes	10/2017	Mar 27, 2026	Mar 27, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.7B	$1.4B	20.9%	$1.0B	19.1%	4	4	1	1

Relationships

Registered with (3)

← S••••• W•••••••• D••••••Advisorregistration: current employment
Jun 1, 2026 to presentfactForm ADV
← C•••••• B•••••• J••••Advisorregistration: current employment
Aug 20, 2019 to presentfactForm ADV
← A••• B•••••• T••••••Advisorregistration: current employment
Oct 6, 2017 to presentfactForm ADV

Controls (10)

Dated events

Order

Occurred
3 Mar 2021
Regulatory AUM changed
••• Locked
Form ADV
$229M
Occurred
25 Aug 2017
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 25, 2017
Last observed: Mar 27, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.