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
L•••••••• R••••••• A•• C•••••• G••••• L••
Latest filing Mar 23, 2026
First filing on the tape Mar 16, 2012 · 24 filings
SEC status approved since Aug 8, 2000
RAUM
$355M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$355M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$355M
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
24 filings and snapshots on the tape
RAUM$355M as of Mar 23, 2026
Mar 16, 2012$215M then
HNW client RAUM$346M as of Mar 23, 2026
Apr 30, 2021$322M then
State-registered IARs (5.B.3)1 as of Mar 23, 2026
Mar 16, 20120 then
Employees (5.A)1 as of Mar 23, 2026
Mar 22, 20131 then
Private funds: no history
RAUM +10% over the last fiscal year+9.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $355MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 205derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$346M98%
- Individuals$8.1M2.3%
- Individual clients
- 45reported
- HNW clients
- 160reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 205reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• T• O•••••• | Fayetteville, Ar | Jul 28, 2015 | 13 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••• S••••••• T• · Owner And Chief Compliance O••••••controlsince 07/2015 · owns 75% or more
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 · 189 to 205Mar 26, 2025 to Mar 23, 2026
- HNW clients · 149 to 160Mar 26, 2025 to Mar 23, 2026
- Individual clients · 40 to 45Mar 26, 2025 to Mar 23, 2026
- Discretionary RAUM · $322M to $355MMar 26, 2025 to Mar 23, 2026
- HNW RAUM · $317M to $346MMar 26, 2025 to Mar 23, 2026
- Individual RAUM · $5.6M to $8.1MMar 26, 2025 to Mar 23, 2026
- RAUM · $322M to $355MMar 26, 2025 to Mar 23, 2026
- Accounts · 301 to 189Mar 25, 2024 to Mar 26, 2025
- HNW clients · 126 to 149Mar 25, 2024 to Mar 26, 2025
- Individual clients · 34 to 40Mar 25, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Mar 25, 2024 to Mar 26, 2025
- Discretionary RAUM · $294M to $322MMar 25, 2024 to Mar 26, 2025
- HNW RAUM · $282M to $317MMar 25, 2024 to Mar 26, 2025
- Individual RAUM · $12.4M to $5.6MMar 25, 2024 to Mar 26, 2025
- RAUM · $294M to $322MMar 25, 2024 to Mar 26, 2025
- Accounts · 131 to 301Mar 23, 2023 to Mar 25, 2024
- HNW clients · 97 to 126Mar 23, 2023 to Mar 25, 2024
- Discretionary RAUM · $271M to $294MMar 23, 2023 to Mar 25, 2024
- HNW RAUM · $259M to $282MMar 23, 2023 to Mar 25, 2024
- Individual RAUM · $12.5M to $12.4MMar 23, 2023 to Mar 25, 2024
- RAUM · $271M to $294MMar 23, 2023 to Mar 25, 2024
- Accounts · 286 to 131Mar 29, 2022 to Mar 23, 2023
- HNW clients · 177 to 97Mar 29, 2022 to Mar 23, 2023
- Individual clients · 22 to 34Mar 29, 2022 to Mar 23, 2023
- Discretionary RAUM · $330M to $271MMar 29, 2022 to Mar 23, 2023
- HNW RAUM · $327M to $259MMar 29, 2022 to Mar 23, 2023
- Individual RAUM · $3.4M to $12.5MMar 29, 2022 to Mar 23, 2023
- RAUM · $330M to $271MMar 29, 2022 to Mar 23, 2023
- Accounts · 199 to 286Apr 30, 2021 to Mar 29, 2022
- Discretionary RAUM · $326M to $330MApr 30, 2021 to Mar 29, 2022
- HNW RAUM · $322M to $327MApr 30, 2021 to Mar 29, 2022
- RAUM · $326M to $330MApr 30, 2021 to Mar 29, 2022
- Accounts · 291 to 199Nov 30, 2020 to Apr 30, 2021
- HNW clients · unset to 177.0Nov 30, 2020 to Apr 30, 2021
- Individual clients · 291 to 22Nov 30, 2020 to Apr 30, 2021
- Financial planning clients · 251-500 to 0Nov 30, 2020 to Apr 30, 2021
- Legal name · S•••••• TAYLOR O•••••• to L•••••••• R••••••• A•• C•••••• G••••• L••Nov 30, 2020 to Apr 30, 2021
- Discretionary RAUM · $325M to $326MNov 30, 2020 to Apr 30, 2021
- HNW RAUM · unset to 322179533.0Nov 30, 2020 to Apr 30, 2021
- Individual RAUM · $325M to $3.4MNov 30, 2020 to Apr 30, 2021
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 1-859-312-2497reportedpublic record, Form ADV, Mar 23, 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
- $355Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026