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.
SEC-registered adviser
Arlington Partners LLC
Latest filing Mar 26, 2026
First filing on the tape Mar 27, 2012 · 53 filings
SEC status approved since Feb 8, 2000
RAUM
$2.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$330M
derived; firm RAUM over IAPD count
Employees
14
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
15
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$2.3B as of Mar 26, 2026
Mar 27, 2012$2.1B then
HNW client RAUM$4.6B as of Mar 16, 2023
Mar 28, 2018$1.0B then
State-registered IARs (5.B.3)7 as of Mar 26, 2026
Mar 27, 20120 then
Employees (5.A)14 as of Mar 26, 2026
Mar 27, 201320 then
Private funds15 as of Mar 26, 2026
Mar 27, 20126 then
RAUM +40% over the last fiscal year-28% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
- RAUM per advisor
- $330MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $96.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +40%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Custody
- yesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.7B74%
- Investment companies$605M26%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 24reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kenneth Howell PolkCertified Financial Planner | Birmingham, Al | Apr 13, 2000 | 31 y | 0 |
| William Anthony LevantChartered Financial Analyst | Birmingham, Al | Mar 17, 2008 | 15 y | 0 |
| Jordan Ellis CherryChartered Financial Analyst | Birmingham, Al | Oct 5, 2011 | 15 y | 0 |
| Stephen Jackson Rowe | Birmingham, Al | Jul 26, 2017 | 29 y | 0 |
| John L Lueken | Franklin, Tn | Jun 24, 2020 | 22 y | 1 |
| Charles Allen Brand | Birmingham, Al | Aug 6, 2020 | 10 y | 0 |
| Willliam Lee Cook | Franklin, Tn | Nov 26, 2024 | 11 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
- Peyton Thomas Hazelrig to Winebrenner Capital Management LLCJun 10, 2024 · Other
- Jeffrey David Hays to Cypress Capital, LLCJun 1, 2021 · RIA to RIA
- Emily Lauren Farrior to Raymond James Financial Services Advisors, IncAug 16, 2017 · Other
- Christopher Shannon Elliotte to Colony Family Offices, LLCAug 4, 2014 · Other
- Ann Damon Haas to Sterne Agee Asset Management, Inc.Nov 2, 2011 · Other
- William Kelly Nicrosi to Leavell Investment Management, Inc.Feb 2, 2010 · Other
- Melanie Luther Nichols to Waverly Advisors, LLCJul 20, 2006 · Other
Joined, latest
- John L Lueken from Capwealth Advisors, LLCJun 24, 2020 · RIA to RIA
- Jeffrey David Hays from Cypress Capital, LLCMar 19, 2019 · RIA to RIA
- Emily Lauren Farrior from Stifel, Nicolaus & Company, IncorporatedJun 1, 2016 · Other
- Christopher Shannon Elliotte from Stanford Family Office, LLCJun 23, 2010 · Other
Private funds
23 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Arlington Global Value Fund, LP | Other Private Fund | $335M | 179 | Mar 27, 2012 |
| Arlington Income Fund, LLC | Other Private Fund | $319M | 239 | Mar 31, 2021 |
| Arlington Diversified Fund LLC | Hedge Fund | $249M | 176 | Mar 27, 2012 |
| Arlington Private Value Fund, LLCno longer reported | Other Private Fund | $87.1M | 70 | Mar 27, 2012 |
| Arlington Private Equity Fund V, LLC | Private Equity Fund | $63.9M | 172 | Mar 31, 2021 |
| Arlington Private Equity Fund IV, LLC | Private Equity Fund | $41.9M | 55 | Mar 14, 2017 |
| Arlington Ig Real Estate Fund, LLC | Real Estate Fund | $40.4M | 53 | Mar 16, 2023 |
| High Hampton Holdings, LLC | Real Estate Fund | $33.2M | 66 | Mar 28, 2018 |
| Gac Capital, LLC | Private Equity Fund | $30.5M | 115 | Mar 31, 2022 |
| Milo'S Holdings LLC | Private Equity Fund | $30.4M | 20 | Aug 13, 2012 |
| Arlington Private Equity Fund III, LLC | Private Equity Fund | $15.0M | 40 | Mar 25, 2014 |
| Milo'S Re Holdings, LLCno longer reported | Real Estate Fund | $10.7M | 13 | Aug 13, 2012 |
| Nbc Holdings, LLCno longer reported | Private Equity Fund | $9.5M | 35 | Aug 13, 2012 |
| Arlington Private Equity Fund Vi, LLC | Private Equity Fund | $6.7M | 31 | Mar 27, 2024 |
| Arlington Private Equity Fund II, LLC | Private Equity Fund | $6.2M | 70 | Mar 27, 2012 |
| Arlington Opportunity Fundno longer reported | Private Equity Fund | $6.2M | 74 | Mar 27, 2012 |
| Rfg Capital II, LLC | Private Equity Fund | $4.3M | 10 | Mar 30, 2020 |
| Milo'S Re Holdings II, LLCno longer reported | Real Estate Fund | $2.7M | 17 | Mar 28, 2016 |
| Arlington Agg I, LLC | Real Estate Fund | $1.4M | 24 | Mar 28, 2016 |
| Rfg Capital III, LLC | Private Equity Fund | $1.1M | 1 | Mar 31, 2022 |
| Arlington Agg III, LLC | Real Estate Fund | $746,438 | 20 | Mar 28, 2018 |
| Arlington Private Equity Fund I, LPno longer reported | Private Equity Fund | $274,547 | 12 | Mar 27, 2012 |
| Arlington Agg II, LLC | Real Estate Fund | $235,151 | 29 | Mar 14, 2017 |
Owners and control persons
Schedule A and B, latest filing
- Anthony William Levant · Chief Investment Strategistcontrolsince 01/2007 · owns less than 5%
- Lee Richard Pearson · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- Howell Kenneth Polk · Chief Executive Officer/Chief Investment Officercontrolsince 06/2003 · owns less than 5%
- Jackson Stephen Rowe · General Counselcontrolsince 01/2017 · owns less than 5%
- Emily Vanlandingham · Chief Operating Officercontrolsince 01/2010 · owns less than 5%
- Howell Kenneth Polk · Trusteecontrolsince 12/2021 · owns F of Polk 2021 Irrevocable Trust
- Howell Kenneth Polk · Member (Class A Units & Class B Units)/Managercontrolsince 07/2016 · owns 50% to 75% of Main Street Capital, LLC
- Howell Kenneth Polk · Membercontrolsince 01/2003 · owns 25% to 50% of Arlington Holdings, LLC
Entity owners
- Arlington Holdings, LLC · Parent Company/Memberdirect · owns 75% or more
- Arlington Management Company, Inc · Managerindirect · owns F of Arlington Holdings, LLC
- Main Street Capital, LLC · Memberindirect · owns 25% to 50% of Arlington Holdings, LLC
- Polk 2021 Irrevocable Trust · Member (Class B Units)indirect · owns 25% to 50% of Main Street Capital, LLC
Related persons
Schedule D 7.A
- Agg Manager, LLCpooled vehicle sponsorn
- Arlington Associates, LLCinsurancen
- Arlington Fund Manager, LLCpooled vehicle sponsorn
- Arlington Trust Company, LLCinvestment advisercustodiann
- Pc1, LLCpooled vehicle sponsorn
- Pc3, LLCpooled vehicle sponsorn
- Pc4, LLCpooled vehicle sponsorn
- Pc5, LLCpooled vehicle sponsorn
- Pc6, LLCpooled vehicle sponsorn
- Pc7, LLCpooled vehicle sponsorn
- Pc8, LLCpooled vehicle sponsorn
- Pc9, LLCpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Birmingham, Al · principal | 5 | 0 | 0 | ||
| Franklin, Tn | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Franklin, TN1 employees
What changed
consecutive filings, newest first
- Accounts · 23 to 24Dec 17, 2025 to Mar 26, 2026
- Advisory employees · 9 to 11Dec 17, 2025 to Mar 26, 2026
- Advisory activities · 2 to 3Dec 17, 2025 to Mar 26, 2026
- Pooled vehicle clients · 16 to 15Dec 17, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.7B to $2.3BDec 17, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $1.7B to $1.7BDec 17, 2025 to Mar 26, 2026
- RAUM · $1.7B to $2.3BDec 17, 2025 to Mar 26, 2026
- Accounts · 25 to 23Jul 25, 2024 to Mar 28, 2025
- Advisory employees · 7 to 9Jul 25, 2024 to Mar 28, 2025
- Employees · 12 to 14Jul 25, 2024 to Mar 28, 2025
- Financial planning clients · unset to Jul 25, 2024 to Mar 28, 2025
- Private funds · 16 to 15Jul 25, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.3B to $1.7BJul 25, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.3B to $1.7BJul 25, 2024 to Mar 28, 2025
- RAUM · $1.3B to $1.7BJul 25, 2024 to Mar 28, 2025
- Accounts · 978 to 25Oct 26, 2023 to Mar 27, 2024
- Advisory employees · 16 to 7Oct 26, 2023 to Mar 27, 2024
- Advisory activities · 6 to 2Oct 26, 2023 to Mar 27, 2024
- Charity clients · 23.0 to unsetOct 26, 2023 to Mar 27, 2024
- Corporate clients · 3.0 to unsetOct 26, 2023 to Mar 27, 2024
- HNW clients · 112.0 to unsetOct 26, 2023 to Mar 27, 2024
- Individual clients · 22.0 to unsetOct 26, 2023 to Mar 27, 2024
- Employees · 39 to 12Oct 26, 2023 to Mar 27, 2024
- Financial planning clients · 101-250 to unsetOct 26, 2023 to Mar 27, 2024
- State-registered IARs · 16 to 7Oct 26, 2023 to Mar 27, 2024
- Discretionary RAUM · $3.4B to $1.3BOct 26, 2023 to Mar 27, 2024
- HNW RAUM · 4568849427.0 to unsetOct 26, 2023 to Mar 27, 2024
- Individual RAUM · 4616797.0 to unsetOct 26, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $2.7B to $0Oct 26, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.1B to $1.3BOct 26, 2023 to Mar 27, 2024
- RAUM · $6.1B to $1.3BOct 26, 2023 to Mar 27, 2024
- Related adviser · false to trueOct 26, 2023 to Mar 27, 2024
- Accounts · 928 to 978Sep 13, 2022 to Mar 16, 2023
- Advisory employees · 13 to 16Sep 13, 2022 to Mar 16, 2023
- Corporate clients · 2 to 3Sep 13, 2022 to Mar 16, 2023
- HNW clients · 107 to 112Sep 13, 2022 to Mar 16, 2023
- Individual clients · 21 to 22Sep 13, 2022 to Mar 16, 2023
- Pooled vehicle clients · 15 to 16Sep 13, 2022 to Mar 16, 2023
- Financial planning clients · 51-100 to 101-250Sep 13, 2022 to Mar 16, 2023
- State-registered IARs · 13 to 16Sep 13, 2022 to Mar 16, 2023
Signals
11 dated events
- Arlington Partners Llc reported RAUM $2.3B, up 40% from $1.7B (2025-12-17 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- Peyton Thomas Hazelrig left Arlington Partners Llc for Winebrenner Capital Management Llc (registered 2025-10-14)Jun 10, 2024 · Advisor changed firm · fact
- Arlington Partners Llc reported RAUM $1.3B, down 78% from $6.1B (2023-10-26 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Lee Richard Pearson (Chief Compliance Officer) appeared on Schedule A of Arlington Partners LlcMar 27, 2024 · Control person joined · fact
- Earl Peter Barber (Managing Director, Family Wealth Planning) no longer on Schedule A of Arlington Partners Llc (listed 2023-10-26, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Bradford Elliot Robbins (Family Wealth Planning Officer) no longer on Schedule A of Arlington Partners Llc (listed 2023-10-26, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Martin Craig Stephens (Senior Family Wealth Advisor) no longer on Schedule A of Arlington Partners Llc (listed 2023-10-26, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Martin Craig Stephens (Senior Family Wealth Advisor) appeared on Schedule A of Arlington Partners LlcMar 16, 2023 · Control person joined · fact
- P. Gregory Logan (Member) no longer on Schedule A of Arlington Partners Llc (listed 2020-05-01, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Arlington Partners Llc reported RAUM $5.4B, up 280% from $1.4B (2019-12-02 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Robert Christopher Trotter (Member/Chief Investment Officer) no longer on Schedule A of Arlington Partners Llc (listed 2018-12-27, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Arlington Partners LLC · Independent Sponsorsshared crd · capital_provider
- Arlington Partners LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- ARLINGTON.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 205-488-4300reportedpublic record, Form ADV, Mar 26, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $330Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Arlington Partners LLC is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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