DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

W•••••

W••••• FINANCIAL LLC, CRD 325785

ROGERS, AR

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Data as of Jun 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: May 2, 2023 to Jun 30, 2026
18 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $128M••• Locked
Discretionary RAUM: $128M
Private client RAUM: $128Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $31.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• M•••••• S••••••	Certified Financial Planner	ROGERS, AR	3	18	1	no
P••••• A• K•••••	n/a	ROGERS, AR	3	11

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••••• P•••••• A•	MEMBER / PRINCIPAL AND CHIEF COMPLIANCE OFFICER	C	yes	05/2023	May 2, 2023	Oct 8, 2024
S••••••• S•••••• M••••••	MANAGING MEMBER / PRINCIPAL	D	yes	05/2023	May 2, 2023	Oct 8, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 10, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	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	$128M	$110M	15.9%	n/a	n/a	5	6	1	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T••••••• I••••••••• M••••••••• I•••	2	Jun 30, 2023	Jun 29, 2023	ROGERS, AR	Team lift out	Ibd to new firm	0.1%

Relationships

Registered with (4)

← J••••• A••••• C••••••••Advisorregistration: current employment
Oct 23, 2025 to presentfactForm ADV
← S••••• M•••••• S••••••Advisorregistration: current employment
Jun 29, 2023 to presentfactForm ADV
← P••••• A• K•••••Advisorregistration: current employment
Jun 29, 2023 to presentfactForm ADV
← M•••••• E•••••••• D•••••

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
30 Jun 2026
Ria office opened
••• Locked
Form ADV
Occurred
30 Jun 2023
Team lift-out
••• Locked
Form ADV
2 advisors
Occurred
2 May 2023
First Form ADV filing
••• Locked
Form ADV

Show 1 bookkeeping event

Occurred
Jun 30, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 2, 2023
Last observed: Jun 30, 2026 2 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.