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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Former SEC-registered adviser
T•••• C•••••• M••••••••• I•••
Latest filing Jul 30, 2020
First filing on the tape Feb 1, 2012 · 15 filings
RAUM
$201M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
98%
$197M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$201M as of Mar 5, 2020
Feb 1, 2012$99.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 5, 2020
Mar 11, 20130 then
Employees (5.A)8 as of Mar 5, 2020
Mar 11, 20139 then
Private funds: no history
RAUM +20% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 30, 2020; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $196,655derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.5%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$197M98%
- Pension and profit-sharing plans$2.8M1.4%
- Charitable organizations$652,0000.3%
- Corporations and businesses$527,0000.3%
- Individual clients
- 334reported
- HNW clients
- 0reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 1,021reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Left, latest
- G•••••• G••••• Y•••• to L••••• C•••••• W••••• P•••••••• L••Mar 31, 2021 · RIA to RIA
- K•••• A••••• C•••• to L••••• C•••••• W••••• P•••••••• L••Mar 31, 2021 · RIA to RIA
- N••••• J••••• S••••••••• to L••••• C•••••• W••••• P•••••••• L••Mar 31, 2021 · RIA to RIA
- J•••••• M•••• H•••• to L••••• C•••••• W••••• P•••••••• L••Mar 31, 2021 · RIA to RIA
- M••••• B••• S•••• to L••••• C•••••• W••••• P•••••••• L••Mar 31, 2021 · RIA to RIA
- B•••••• K•••• C•••• to O•••• F•• I•••May 21, 2014 · Other
- C•••• W•••••• V•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 24, 2011 · Other
Joined, latest
- M••••• B••• S•••• from S••••• M•••••••••Mar 26, 2020 · RIA to RIA
- J•••••• M•••• H•••• from A••••• W••••• M•••••••••Sep 8, 2017 · Other
- K•••• A••••• C•••• from S••••••• I••••••••• I•••Jul 21, 2017 · Other
- N••••• J••••• S••••••••• from E•••••••• A•••••••• L••Apr 25, 2011 · Other
- G•••••• G••••• Y•••• from A••••• W••••• M•••••••••Jul 23, 2010 · Other
- C•••• W•••••• V•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 9, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for L••••• C•••••• W••••• P•••••••• L••Mar 31, 2021 · Little Rock, Ar · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• N•••••• J••••• · Chief Compliance Officercontrolsince 09/2009 · owns less than 5%
- T••••• D••••• A••• · President, Chief Executive Officercontrolsince 03/1996 · owns 75% or more
Related persons
Schedule D 7.A
- K•••• A••••• C••••insurancereal estaten
Offices
Schedule D 1.F, the 25 largest
- Jonesboro, AR1 employees
What changed
consecutive filings, newest first
- Accounts · 1,029 to 1,021Jul 17, 2019 to Mar 5, 2020
- Individual clients · 338 to 334Jul 17, 2019 to Mar 5, 2020
- Employees · 10 to 8Jul 17, 2019 to Mar 5, 2020
- Discretionary RAUM · $161M to $166MJul 17, 2019 to Mar 5, 2020
- Individual RAUM · $192M to $197MJul 17, 2019 to Mar 5, 2020
- Non-discretionary RAUM · $35.0M to $35.0MJul 17, 2019 to Mar 5, 2020
- Pension RAUM · $2.7M to $2.8MJul 17, 2019 to Mar 5, 2020
- RAUM · $196M to $201MJul 17, 2019 to Mar 5, 2020
- Accounts · 995 to 1,029Mar 25, 2019 to Jul 17, 2019
- Individual clients · 326 to 338Mar 25, 2019 to Jul 17, 2019
- Pension plan clients · 1 to 2Mar 25, 2019 to Jul 17, 2019
- Discretionary RAUM · $138M to $161MMar 25, 2019 to Jul 17, 2019
- Individual RAUM · $164M to $192MMar 25, 2019 to Jul 17, 2019
- Non-discretionary RAUM · $29.1M to $35.0MMar 25, 2019 to Jul 17, 2019
- Pension RAUM · $1.7M to $2.7MMar 25, 2019 to Jul 17, 2019
- RAUM · $167M to $196MMar 25, 2019 to Jul 17, 2019
- Accounts · 949 to 995Mar 14, 2018 to Mar 25, 2019
- Charity clients · 0 to 1Mar 14, 2018 to Mar 25, 2019
- Individual clients · 327 to 326Mar 14, 2018 to Mar 25, 2019
- Employees · 9 to 10Mar 14, 2018 to Mar 25, 2019
- Financial planning clients · 0 to unsetMar 14, 2018 to Mar 25, 2019
- Discretionary RAUM · $148M to $138MMar 14, 2018 to Mar 25, 2019
- Individual RAUM · $173M to $164MMar 14, 2018 to Mar 25, 2019
- Non-discretionary RAUM · $27.1M to $29.1MMar 14, 2018 to Mar 25, 2019
- Pension RAUM · $1.8M to $1.7MMar 14, 2018 to Mar 25, 2019
- RAUM · $175M to $167MMar 14, 2018 to Mar 25, 2019
- Accounts · 904 to 949Aug 3, 2017 to Mar 14, 2018
- Advisory employees · 4 to 5Aug 3, 2017 to Mar 14, 2018
- Charity clients · unset to 0.0Aug 3, 2017 to Mar 14, 2018
- Corporate clients · unset to 1.0Aug 3, 2017 to Mar 14, 2018
- HNW clients · unset to 0.0Aug 3, 2017 to Mar 14, 2018
- Individual clients · unset to 327.0Aug 3, 2017 to Mar 14, 2018
- Pension plan clients · unset to 1.0Aug 3, 2017 to Mar 14, 2018
- Pooled vehicle clients · unset to 0.0Aug 3, 2017 to Mar 14, 2018
- Employees · 8 to 9Aug 3, 2017 to Mar 14, 2018
- Other offices · unset to 1.0Aug 3, 2017 to Mar 14, 2018
- Discretionary RAUM · $134M to $148MAug 3, 2017 to Mar 14, 2018
- Individual RAUM · unset to 173201000.0Aug 3, 2017 to Mar 14, 2018
- Non-discretionary RAUM · $25.3M to $27.1MAug 3, 2017 to Mar 14, 2018
- Pension RAUM · unset to 1768000.0Aug 3, 2017 to Mar 14, 2018
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