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

H••••• C•••••• M••••••••• I•••

Independent wealth managerHeber Springs, ArkansasCRD 116183SEC 801-135862IAPD
Latest filing Sep 4, 2026
First filing on the tape Feb 22, 2012 · 5 filings
SEC status approved since Apr 15, 2026
RAUM
$113M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$110M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$113M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$113M as of Mar 16, 2026
Feb 22, 2012$29.3M then
HNW client RAUM: $83.1M
State-registered IARs (5.B.3)1 as of Mar 16, 2026
Feb 22, 20120 then
Employees (5.A): 1
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 4, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$113MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
83derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$471,866derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$49.2M, 52 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$83.1M73%
  • Individuals$27.3M24%
  • Corporations and businesses$1.7M1.5%
  • Charitable organizations$1.2M1.1%
Individual clients
60reported
HNW clients
23reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
240reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$49.2M for 52 clientsreported
Compensation
% of AUMreported
Class basis
private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••••••• L••••••• T•••••Farmington, Ar Dec 14, 201516 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H•••••• K•••• C••••••• · President/Chief Compliance Officercontrol
      since 08/1998 · owns 75% or more
    Related persons
    Schedule D 7.A
    • K••• C• H•••••
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Financial planning clients · to 0
      Mar 16, 2026 to Sep 4, 2026
    • Other offices · 0 to 1
      Mar 16, 2026 to Sep 4, 2026
    • Succession · false to unset
      Mar 16, 2026 to Sep 4, 2026
    • Accounts · 148 to 240
      Apr 26, 2012 to Mar 16, 2026
    • Advisory employees · unset to 1.0
      Apr 26, 2012 to Mar 16, 2026
    • HNW clients · unset to 23.0
      Apr 26, 2012 to Mar 16, 2026
    • Individual clients · unset to 60.0
      Apr 26, 2012 to Mar 16, 2026
    • Assets in custody · unset to 49173138.0
      Apr 26, 2012 to Mar 16, 2026
    • Custody of client assets · false to true
      Apr 26, 2012 to Mar 16, 2026
    • Employees · unset to 1.0
      Apr 26, 2012 to Mar 16, 2026
    • Financial planning clients · 1-10 to
      Apr 26, 2012 to Mar 16, 2026
    • State-registered IARs · 0 to 1
      Apr 26, 2012 to Mar 16, 2026
    • Other offices · unset to 0.0
      Apr 26, 2012 to Mar 16, 2026
    • Discretionary RAUM · $23.7M to $113M
      Apr 26, 2012 to Mar 16, 2026
    • HNW RAUM · unset to 83084070.0
      Apr 26, 2012 to Mar 16, 2026
    • Individual RAUM · unset to 27271335.0
      Apr 26, 2012 to Mar 16, 2026
    • Non-discretionary RAUM · $5.7M to $0
      Apr 26, 2012 to Mar 16, 2026
    • RAUM · $29.3M to $113M
      Apr 26, 2012 to Mar 16, 2026
    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
    501-362-1681reportedpublic 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
    $113Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026