DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
T•• A••••••• F•••••••• G••••• I•••
Latest filing Sep 4, 2026
First filing on the tape Mar 13, 2012 · 34 filings
SEC status approved since Apr 17, 1985
RAUM
$971M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$958M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$194M
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$971M as of Aug 28, 2026
Mar 13, 2012$256M then
HNW client RAUM$893M as of Aug 28, 2026
Mar 23, 2018$404M then
State-registered IARs (5.B.3)5 as of Aug 28, 2026
Mar 13, 20120 then
Employees (5.A)11 as of Aug 28, 2026
Mar 27, 20136 then
Private funds: no history
RAUM +13% over the last fiscal year+13% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Sep 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $194MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $584,672derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $153M, 165 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$893M92%
- Individuals$64.8M6.7%
- Charitable organizations$5.5M0.6%
- Pension and profit-sharing plans$4.0M0.4%
- Corporations and businesses$1.8M0.2%
- Individual clients
- 119reported
- HNW clients
- 248reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,661reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $153M for 165 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F••••••• E••• A•••••Certified Financial Planner, Chartered Financial Consultant | Little Rock, Ar | May 24, 1985 | 44 y | 1 |
| K••••••• K••••••• B•••••••Certified Financial Planner, Personal Financial Specialist | Little Rock, Ar | Jan 1, 2002 | 27 y | 0 |
| M••• E•••••••• M•••••Certified Financial Planner | Little Rock, Ar | Nov 14, 2008 | 23 y | 3 |
| J••• R•••• B•••••••••Certified Financial Planner | Little Rock, Ar | Jan 9, 2009 | 38 y | 2 |
| J•••• L••••••• S•••••••Certified Financial Planner | Little Rock, Ar | Jan 3, 2025 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- J••••••• M••••• R••••••• to H•••••• C•••••• I••••••••• I•••Apr 25, 2025 · RIA to RIA
- Z•••••• D••• O••••• to V•••• C••••••• I•••Oct 29, 2022 · RIA to RIA
- J••• W•••• K••••• to F•••••••• L••••• M••••••••• N••Jun 30, 2005 · Other
- R•••••• F••••••••• to S•••••••• A••••••• L••Oct 22, 2003 · Other
Joined, latest
- J••••••• M••••• R••••••• from S•••••••Mar 29, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••• R•••• B••••••••• from P•••••••• A••••••• R•••••••••Jan 9, 2009 · Other
- M••• E•••••••• M••••• from T•• W••••• C••••••••• I•••Nov 14, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• F•••••••• E••• · Chief Executive Officercontrolsince 06/1982 · owns 10% to 25%
- B•••••••• K•••••••• K••••••• · Presidentcontrolsince 12/2024 · owns 25% to 50%
- B••••••••• J•••• R•••• · Chief Investment Officercontrolsince 01/2009 · owns 25% to 50%
- M•••••• M•••• E•••••••• · Chief Compliance Officercontrolsince 03/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Little Rock, Ar · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 251-500 to 251-500Aug 28, 2026 to Sep 4, 2026
- Related adviser · false to unsetAug 28, 2026 to Sep 4, 2026
- Related bank · false to unsetAug 28, 2026 to Sep 4, 2026
- Related broker-dealer · false to unsetAug 28, 2026 to Sep 4, 2026
- Related insurance company · false to unsetAug 28, 2026 to Sep 4, 2026
- Succession · false to unsetAug 28, 2026 to Sep 4, 2026
- Accounts · 1,608 to 1,661Mar 10, 2025 to Mar 5, 2026
- HNW clients · 224 to 248Mar 10, 2025 to Mar 5, 2026
- Individual clients · 126 to 119Mar 10, 2025 to Mar 5, 2026
- Assets in custody · $88.9M to $153MMar 10, 2025 to Mar 5, 2026
- State-registered IARs · 6 to 5Mar 10, 2025 to Mar 5, 2026
- Discretionary RAUM · $861M to $971MMar 10, 2025 to Mar 5, 2026
- HNW RAUM · $777M to $893MMar 10, 2025 to Mar 5, 2026
- Individual RAUM · $72.0M to $64.8MMar 10, 2025 to Mar 5, 2026
- Pension RAUM · $3.4M to $4.0MMar 10, 2025 to Mar 5, 2026
- RAUM · $861M to $971MMar 10, 2025 to Mar 5, 2026
- Accounts · 1,595 to 1,608Mar 14, 2024 to Mar 10, 2025
- Advisory employees · 4 to 5Mar 14, 2024 to Mar 10, 2025
- HNW clients · 194 to 224Mar 14, 2024 to Mar 10, 2025
- Individual clients · 144 to 126Mar 14, 2024 to Mar 10, 2025
- Assets in custody · $90.3M to $88.9MMar 14, 2024 to Mar 10, 2025
- Employees · 10 to 11Mar 14, 2024 to Mar 10, 2025
- Financial planning clients · 251-500 to 251-500Mar 14, 2024 to Mar 10, 2025
- State-registered IARs · 4 to 6Mar 14, 2024 to Mar 10, 2025
- Discretionary RAUM · $755M to $861MMar 14, 2024 to Mar 10, 2025
- HNW RAUM · $659M to $777MMar 14, 2024 to Mar 10, 2025
- Individual RAUM · $82.5M to $72.0MMar 14, 2024 to Mar 10, 2025
- Pension RAUM · $5.2M to $3.4MMar 14, 2024 to Mar 10, 2025
- RAUM · $755M to $861MMar 14, 2024 to Mar 10, 2025
- Accounts · 1,462 to 1,595Mar 27, 2023 to Mar 13, 2024
- HNW clients · 171 to 194Mar 27, 2023 to Mar 13, 2024
- Individual clients · 151 to 144Mar 27, 2023 to Mar 13, 2024
- Assets in custody · $84.4M to $90.3MMar 27, 2023 to Mar 13, 2024
- Employees · 9 to 10Mar 27, 2023 to Mar 13, 2024
- Discretionary RAUM · $667M to $755MMar 27, 2023 to Mar 13, 2024
- HNW RAUM · $569M to $659MMar 27, 2023 to Mar 13, 2024
- Individual RAUM · $83.5M to $82.5MMar 27, 2023 to Mar 13, 2024
- Pension RAUM · $6.3M to $5.2MMar 27, 2023 to Mar 13, 2024
- RAUM · $667M to $755MMar 27, 2023 to Mar 13, 2024
- Accounts · 1,385 to 1,462Nov 3, 2022 to Mar 23, 2023
Signals
2 dated events
- J••••••• M••••• R••••••• left T•• A••••••• F•••••••• G••••• I••• for H•••••• C•••••• I••••••••• I••• (registered 2025-07-16)Apr 25, 2025 · Advisor changed firm · fact
- Z•••••• D••• O••••• left T•• A••••••• F•••••••• G••••• I••• for V•••• C••••••• I••• (registered 2026-06-05)Oct 29, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- ARFINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 501-376-9051reportedpublic record, Form ADV, Sep 4, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $194Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026