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
C••••••••• W••••• M••••••••• L••
Latest filing May 27, 2026
First filing on the tape Mar 8, 2012 · 31 filings
SEC status approved since Mar 26, 2007
RAUM
$303M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$303M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$151M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$303M as of May 27, 2026
Mar 8, 2012$235M then
HNW client RAUM$299M as of May 27, 2026
Mar 5, 2018$147M then
State-registered IARs (5.B.3)2 as of May 27, 2026
Mar 8, 20120 then
Employees (5.A)4 as of May 27, 2026
Feb 14, 20131 then
Private funds: no history
RAUM +14% over the last fiscal year+11% a year over threeIARs 1 to 2offices 0 to 1
Practice profile
derived from the filing of May 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $151MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.6MderivedHNW RAUM over HNW clients
- Average account
- $2.9MderivedRAUM 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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$299M99%
- Individuals$3.9M1.3%
- Individual clients
- 9reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 105reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• D•••• S••••••••Certified Financial Planner | Little Rock, Ar | Aug 10, 2016 | 26 y | 1 |
| E••••• P•••• M••••••Certified Financial Planner, Chartered Financial Consultant | Little Rock, Ar | Jan 10, 2018 | 42 y | 4 |
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
- E••••• P•••• M•••••• from R•••••• J•••• F•••••••• S•••••••• I•••Apr 22, 2002 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• E•••••• P•••• · President, Senior Portfolio Manager And Chief Compliance Officercontrolsince 11/2001 · owns 75% or more
Related persons
Schedule D 7.A
- F•••••••• W••••• M••••••••• L••investment advisernRAUM $58.5M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Little Rock, Ar · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 53 to 105Apr 3, 2025 to Mar 12, 2026
- Advisory employees · 1 to 2Apr 3, 2025 to Mar 12, 2026
- Individual clients · 8 to 9Apr 3, 2025 to Mar 12, 2026
- Employees · 2 to 4Apr 3, 2025 to Mar 12, 2026
- Insurance-licensed employees · 0 to 1Apr 3, 2025 to Mar 12, 2026
- Financial planning clients · 1-10 to 51-100Apr 3, 2025 to Mar 12, 2026
- State-registered IARs · 1 to 2Apr 3, 2025 to Mar 12, 2026
- Other offices · 0 to 1Apr 3, 2025 to Mar 12, 2026
- Discretionary RAUM · $265M to $303MApr 3, 2025 to Mar 12, 2026
- HNW RAUM · $261M to $299MApr 3, 2025 to Mar 12, 2026
- Individual RAUM · $3.7M to $3.9MApr 3, 2025 to Mar 12, 2026
- RAUM · $265M to $303MApr 3, 2025 to Mar 12, 2026
- Accounts · 52 to 53Nov 19, 2024 to Apr 3, 2025
- Individual clients · 7 to 8Nov 19, 2024 to Apr 3, 2025
- Financial planning clients · 11-25 to 1-10Nov 19, 2024 to Apr 3, 2025
- Discretionary RAUM · $222M to $265MNov 19, 2024 to Apr 3, 2025
- HNW RAUM · $217M to $261MNov 19, 2024 to Apr 3, 2025
- Individual RAUM · $4.2M to $3.7MNov 19, 2024 to Apr 3, 2025
- RAUM · $222M to $265MNov 19, 2024 to Apr 3, 2025
- Accounts · 51 to 52Mar 10, 2023 to Mar 13, 2024
- HNW clients · 44 to 45Mar 10, 2023 to Mar 13, 2024
- Employees · 1 to 2Mar 10, 2023 to Mar 13, 2024
- Financial planning clients · 1-10 to 11-25Mar 10, 2023 to Mar 13, 2024
- Discretionary RAUM · $220M to $222MMar 10, 2023 to Mar 13, 2024
- HNW RAUM · $217M to $217MMar 10, 2023 to Mar 13, 2024
- Individual RAUM · $3.2M to $4.2MMar 10, 2023 to Mar 13, 2024
- RAUM · $220M to $222MMar 10, 2023 to Mar 13, 2024
- Accounts · 42 to 51Mar 28, 2022 to Mar 10, 2023
- HNW clients · 36 to 44Mar 28, 2022 to Mar 10, 2023
- Individual clients · 6 to 7Mar 28, 2022 to Mar 10, 2023
- State-registered IARs · 0 to 1Mar 28, 2022 to Mar 10, 2023
- Discretionary RAUM · $230M to $220MMar 28, 2022 to Mar 10, 2023
- HNW RAUM · $227M to $217MMar 28, 2022 to Mar 10, 2023
- Individual RAUM · $3.3M to $3.2MMar 28, 2022 to Mar 10, 2023
- RAUM · $230M to $220MMar 28, 2022 to Mar 10, 2023
- Accounts · 69 to 42Jun 29, 2021 to Mar 28, 2022
- HNW clients · 63 to 36Jun 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $197M to $230MJun 29, 2021 to Mar 28, 2022
- HNW RAUM · $194M to $227MJun 29, 2021 to Mar 28, 2022
- Individual RAUM · $2.8M to $3.3MJun 29, 2021 to Mar 28, 2022
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
- Business phone
- 501-603-0406reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-600-8416reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 817-546-8018reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- clientfirstwm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (501) 603-0406reportedpublic record, Form ADV, May 27, 2026
- Contact form
- clientfirstwm.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- clientfirstwm.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $151Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026