DFX Intelligence

RIA Intelligence

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.

Former SEC-registered adviser

L••••• I••••••••• I••

Former SEC-registered adviserFayetteville, ArkansasCRD 105526SEC 801-26644IAPD
Latest filing Mar 29, 2019
First filing on the tape Apr 2, 2012 · 13 filings
RAUM
$120M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
76%
$91.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$120M as of Mar 29, 2019
Apr 2, 2012$173M then
HNW client RAUM$83.1M as of Mar 29, 2019
Mar 29, 2018$99.6M then
State-registered IARs (5.B.3)1 as of Mar 29, 2019
Apr 2, 20120 then
Employees (5.A)1 as of Mar 29, 2019
Mar 27, 20137 then
Private funds: no history
RAUM -21% over the last fiscal year-5.7% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
RAUM per advisor
$120MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
63derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
10.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-21%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.1%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
Custody
$74.7M, 43 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$83.1M69%
  • Corporations and businesses$16.6M14%
  • Charitable organizations$9.1M7.6%
  • Individuals$8.5M7.1%
  • Pension and profit-sharing plans$2.9M2.4%
Individual clients
31reported
HNW clients
32reported
Pension plan clients
n/areported
Charitable clients
6reported
Accounts
101reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$74.7M for 43 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L•••••• E•••••• M•••• · Director, Presidentcontrol
      since 11/1985 · owns 75% or more
    • C•••••• K••• M•••• · Director, Vp, Sec/Treas, Chief Compliance Officer
      since 10/2004 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 108 to 101
      Jun 5, 2018 to Mar 29, 2019
    • Advisory employees · 5 to 1
      Jun 5, 2018 to Mar 29, 2019
    • Charity clients · 7 to 6
      Jun 5, 2018 to Mar 29, 2019
    • HNW clients · 37 to 32
      Jun 5, 2018 to Mar 29, 2019
    • Individual clients · 28 to 31
      Jun 5, 2018 to Mar 29, 2019
    • Assets in custody · $90.8M to $74.7M
      Jun 5, 2018 to Mar 29, 2019
    • Employees · 7 to 1
      Jun 5, 2018 to Mar 29, 2019
    • State-registered IARs · 2 to 1
      Jun 5, 2018 to Mar 29, 2019
    • Discretionary RAUM · $151M to $120M
      Jun 5, 2018 to Mar 29, 2019
    • HNW RAUM · $99.6M to $83.1M
      Jun 5, 2018 to Mar 29, 2019
    • Individual RAUM · $7.8M to $8.5M
      Jun 5, 2018 to Mar 29, 2019
    • Pension RAUM · $10.6M to $2.9M
      Jun 5, 2018 to Mar 29, 2019
    • RAUM · $151M to $120M
      Jun 5, 2018 to Mar 29, 2019
    • Accounts · 109 to 108
      Mar 14, 2017 to Mar 29, 2018
    • Advisory employees · 4 to 5
      Mar 14, 2017 to Mar 29, 2018
    • Charity clients · unset to 7.0
      Mar 14, 2017 to Mar 29, 2018
    • Corporate clients · unset to 8.0
      Mar 14, 2017 to Mar 29, 2018
    • HNW clients · unset to 37.0
      Mar 14, 2017 to Mar 29, 2018
    • Individual clients · unset to 28.0
      Mar 14, 2017 to Mar 29, 2018
    • Assets in custody · unset to 90777124.0
      Mar 14, 2017 to Mar 29, 2018
    • Custody of client assets · false to true
      Mar 14, 2017 to Mar 29, 2018
    • Employees · 6 to 7
      Mar 14, 2017 to Mar 29, 2018
    • Financial planning clients · 1-10 to 0
      Mar 14, 2017 to Mar 29, 2018
    • Other offices · unset to 0.0
      Mar 14, 2017 to Mar 29, 2018
    • Discretionary RAUM · $146M to $151M
      Mar 14, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 99604879.0
      Mar 14, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 7750708.0
      Mar 14, 2017 to Mar 29, 2018
    • Pension RAUM · unset to 10577761.0
      Mar 14, 2017 to Mar 29, 2018
    • RAUM · $146M to $151M
      Mar 14, 2017 to Mar 29, 2018
    • Accounts · 108 to 109
      Mar 30, 2016 to Mar 14, 2017
    • Discretionary RAUM · $143M to $146M
      Mar 30, 2016 to Mar 14, 2017
    • RAUM · $143M to $146M
      Mar 30, 2016 to Mar 14, 2017
    • Accounts · 123 to 108
      Jun 9, 2015 to Mar 30, 2016
    • Assets in custody · 2422115.0 to unset
      Jun 9, 2015 to Mar 30, 2016
    • Discretionary RAUM · $161M to $143M
      Jun 9, 2015 to Mar 30, 2016
    • RAUM · $161M to $143M
      Jun 9, 2015 to Mar 30, 2016
    • Accounts · 130 to 123
      Jul 17, 2014 to Mar 30, 2015
    • Assets in custody · $2.2M to $2.4M
      Jul 17, 2014 to Mar 30, 2015
    • Discretionary RAUM · $167M to $161M
      Jul 17, 2014 to Mar 30, 2015
    • RAUM · $167M to $161M
      Jul 17, 2014 to Mar 30, 2015
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026