DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 1b 10b

A••••• W••••• M•••••••••

A••••• INVESTMENTS, INC., CRD 42057

LOWELL, AR

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Search this name across graphs

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 461
Dated events: 80
On other graphs: 1
Observed: Mar 29, 2012 to Mar 30, 2026
75 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

A••••• W••••• M•••••••••

Intermediary · key_crd, shared_crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.85 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=167.0
Regulatory AUM: $3.4B••• Locked
Discretionary RAUM: $997M
Private client RAUM: $2.9Bderived••• Locked
Private client share: 85%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 205
RAUM per advisor: $16.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A•• A••••••• C•••••••	Certified Financial Planner	Bentonville, AR \| LITTLE ROCK, AR	27	29	n/a	yes
C••• A••• T•••••••	n/a	Rogers, AR \| LOWELL, AR	27	29

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• B•••	Owner	E	yes	07/1996	Mar 30, 2026	Mar 30, 2026
C•••• K••••• B•••••••	CHIEF COMPLIANCE OFFICER	Na	yes	04/2023	Mar 30, 2026	Mar 30, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• B•••	n/a	n/a	n/a	Y	no	n/a
A••••• I••••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Tulsa	Ok	United States	16	yes
Bentonville	Ar	United States	14	yes
FORT S••••	Ar	United States	14	yes
LITTLE ROCK	Ar	United States	10	yes
Tulsa	Ok	United States

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
6	15	-9	7.3%	2	3	0	17	46

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	$3.4B	$2.8B	21.8%	$2.7B	8.3%	238	232	178	181

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••• I••••••••• A••••••• L••	2	Oct 25, 2024	Sep 30, 2024	RUSSELLVILLE, AR	Team lift out	RIA to ibd	1.0%
L••••• C•••••• W••••• P•••••••• L••	3	Mar 20, 2023

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
U•• F•••••••• S•••••••• I•••	2	Apr 19, 2016	May 23, 2016	SPRINGFIELD, MO	Team lift out	Other	4.8%

Relationships

showing 80 of 461

Registered with (62)

← C•••••••• J• B•••••••Advisorregistration: current employment
Sep 4, 2026 to presentfactForm ADV
← J•••• M••••• R•• L••••Advisorregistration: current employment
Aug 28, 2026 to presentfactForm ADV
← G••••• S•••• H•••••••••Advisorregistration: current employment
Jul 29, 2026 to presentfactForm ADV
← N••••••••• P••••

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
16 Sep 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
19 Aug 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
30 Mar 2026
Advisor headcount changed
••• Locked
Form ADV
down 51 iars
Occurred
1 Jul 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
30 Mar 2026
Ria indirect owner change
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 29, 2012
Last observed: Mar 30, 2026 5 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.

All 25 rows

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••••• S•••••• G••••	n/a	FAYETTEVILLE, AR \| BELLA VISTA, AR	22	23	n/a	yes
D••••• D•••••• A•••••	n/a	YUKON, OK \| Tulsa, OK	22	25	n/a	yes
R••• E•••••• R••••••	n/a	OVE••••• PARK, KS \| LOWELL, AR	21	21	n/a	no
J•••• D••• A••••••••	n/a	LOWELL, AR \| FAYETTEVILLE, AR	21	21	n/a	yes
K•••••• R•• W•••••	n/a	NORTH LITTLE ROCK, AR \| FT S••••, AR	21	21	n/a	yes
R••• M•••••• T•••••	n/a	Rogers, AR \| FAYETTEVILLE, AR	20	20	n/a	yes
E•••• A• A•••	n/a	GRAVETTE, AR \| FAYETTEVILLE, AR \| BENTONVILLE, AR	20	24	n/a	yes
W•••••• F•••••• H••••	n/a	FT S••••, AR	20	34	2	yes
B•• K•• C••••	Certified Financial Planner	FAYETTEVILLE, AR	20	20	n/a	yes
S•••• A•••• F••••	n/a	SPRINGDALE, AR \| LOWELL, AR	20	20	n/a	yes
D••••• J•••• W••••••••	Chartered Financial Analyst	LITTLE ROCK, AR \| OVE••••• PARK, KS	20	28	1	yes
R••••• A••••• H•••••	n/a	FAYETTEVILLE, AR \| SILOAM SPRINGS, AR	19	25	n/a	yes
J•••• M•••• W•••••	n/a	Oklahoma City, OK \| Tulsa, OK	18	28	3	yes
M•••••• J•••• C•••••••	n/a	LOWELL, AR	18	18	n/a	yes
C•••••••• S• C•••••••	n/a	LOWELL, AR \| LITTLE ROCK, AR	18	22	n/a	yes

All 25 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••• B•••• A•••••	DIRECTOR, EXECUTIVE VICE PRESIDENT, SENIOR DIRECTOR OF SALES, DIRECTOR OF RETIREMENT PLAN CONSULTING	Na	yes	06/2021	Mar 30, 2026	Mar 30, 2026
A••••••• L•••• J•••	Director	Na	yes	12/2019	Mar 16, 2022	Nov 7, 2024
A••••• B••• G••••• I•••	Shareholder	E	yes	01/2000	Mar 29, 2012	Nov 7, 2024
A••••• H•••••••• I•••	Shareholder	E	yes	10/2001	Mar 21, 2017	Nov 7, 2024
R••••••• C•••• A•••	Director	Na	yes	03/2020	Mar 29, 2012	Nov 7, 2024
S••••• K•••••• K••••	Director	Na	yes	06/2011	Mar 29, 2012	Nov 7, 2024
W•••••• J•• C•	Shareholder	C	yes	12/1988	Mar 29, 2012	Nov 7, 2024
W•••••• S••••• R•••••	Shareholder	C	yes	12/1988	Mar 29, 2012	Nov 7, 2024
B•••••• G••••••• D••••••	FINANCIAL AND OPERATIONAL PRINCIPAL AND PRINCIPAL FINANCIAL OFFICER	Na	no	10/2024	Mar 30, 2026	Mar 30, 2026
H•••• K••• J•••••	Director	Na	no	08/2025	Mar 30, 2026	Mar 30, 2026
L•••••••• T•••••• H••••	Director	Na	no	05/2023	Mar 30, 2026	Mar 30, 2026
M••••••• A•• M••••	Director	Na	no	08/2024	Mar 30, 2026	Mar 30, 2026
P•••••••• Y•••• I•••	Director	Na	no	12/2025	Mar 30, 2026	Mar 30, 2026
P•••••• J••• A••••••	A•••••1 MANAGER / MANAGER OF CLIENT SERVICES, MUNICIPAL PRINCIPAL	Na	no	06/2016	Mar 30, 2026	Mar 30, 2026
S••••••• R••••• L••••	Director	Na	no	02/2024	Mar 30, 2026	Mar 30, 2026

All 25 rows

City	State	Country	Employees	Also broker-dealer
R•••••	Ar	United States	6	yes
Bentonville	Ar	United States	5	yes
SILOAM SPRINGS	Ar	United States	5	yes
Springfield	Mo	United States	5	yes
LITTLE ROCK	Ar	United States	4	yes
NORTH LITTLE ROCK	Ar	United States	4	yes
Mission	Ks	United States	4	yes
Joplin	Mo	United States	4	yes
OKLAHOMA CITY	Ok	United States	4	yes
Jacksonville	Ar	United States	3	yes
Lowell	Ar	United States	3	yes
Springdale	Ar	United States	3	yes
Norman	Ok	United States	3	yes
Tulsa	Ok	United States	3	yes
Wagoner	Ok	United States	3	yes

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 23, 2016	$1.4B	$551M	196	163	n/a	n/a	n/a
2014	Mar 27, 2015	$1.3B	$492M	195	95	n/a	n/a	n/a
2013	Mar 18, 2014	$1.2B	$310M	190	95	n/a	n/a	n/a
2012	Mar 14, 2013	$941M	$232M	160	85	n/a	n/a	n/a
2011	Mar 29, 2012	$794M	$206M	n/a	n/a	n/a	n/a	n/a