DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

M••••••••• C•••••• A•••••••• L••

CRD 108641

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 graphsid dfx:ria:2cecb055-5ba1-fc7e-9998-87760ddfca2a

Data as of Apr 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Mar 22, 2012 to Apr 28, 2026
26 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 managerderivedprivate_client_share=0.92 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $232M••• Locked
Discretionary RAUM: $211M
Private client RAUM: $213Mderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $116Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• D••• D••••••	n/a	LITTLE ROCK, AR	14	30	n/a	yes
J••••• P••••	n/a	LITTLE ROCK, AR	0	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• S••••••• G••••• L••	Shareholder	D	yes	06/1996	Mar 22, 2012	Mar 8, 2024
M•••••• P••••••• D•••	President	E	yes	06/1996	Mar 22, 2012	Mar 8, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••••••• I•••••••• S•••••••• L••	n/a	n/a	n/a	N	yes	n/a

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	$232M	$206M	12.5%	$159M	13.5%	3	4	0	0

Relationships

Registered with (3)

← J••••• P••••Advisorregistration: current employment
Aug 4, 2026 to presentfactForm ADV
← J••••• D••• D••••••Advisorregistration: current employment
May 18, 2012 to presentfactForm ADV
← T••••• N••••• M•••••Advisorregistration: previous registration
Dec 16, 2014 to Nov 13, 2020factForm ADV

Owns (1)

Dated events

Occurred
Nov 13, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 27, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 9, 2017
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2cecb055-5ba1-fc7e-9998-87760ddfca2a
First observed: Mar 22, 2012
Last observed: Apr 28, 2026 4 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.