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

T•• S••••• G••••• I•••

Independent wealth managerMountain Home, ArkansasCRD 146271SEC 801-133990IAPD
Latest filing Jan 22, 2026
First filing on the tape Feb 17, 2012 · 7 filings
SEC status approved since Jul 25, 2025
RAUM
$130M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$130M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$43.4M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$130M as of Jan 22, 2026
Feb 17, 2012$36.1M then
HNW client RAUM$84.7M as of Jan 22, 2026
Jul 11, 2025$68.0M then
State-registered IARs (5.B.3)3 as of Jan 22, 2026
Feb 17, 20120 then
Employees (5.A)6 as of Jan 22, 2026
Jul 11, 20256 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 22, 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
  • 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
$43.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
68derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$277,843derivedRAUM 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
1.5derived2 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 assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$130M, 201 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$84.7M65%
  • Individuals$45.6M35%
Individual clients
164reported
HNW clients
39reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
469reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$130M for 201 clientsreported
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=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
T••••• R••••• C•••••••••Certified Financial PlannerMountain Home, Ar May 6, 200828 y1
H• R•••••• S•••••Chartered Financial ConsultantMountain Home, ArMay 6, 200834 y1
S•••• R•••••• S•••••Mountain Home, ArNov 12, 202422 y0
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
    • C••••••••• T•••••• R••••• · Chief Compliance Officercontrol
      since 11/2007 · owns less than 5%
    • S•••••• H•••••• R•••••• · President, Secretary Treasurercontrol
      since 11/2007 · owns less than 5%
    • S•••••• H•••••• R•••••• · Trusteecontrol
      since 08/2001 · owns 50% to 75% of T•• S••••• F••••• T••••• U•• D•••• 8••••••
    • S•••••• J•••• J••• · Trusteecontrol
      since 08/2001 · owns 50% to 75% of T•• S••••• F••••• T••••• U•• D•••• 8••••••
    Entity owners
    • T•• S••••• F••••• T••••• U•• D•••• 8•••••• · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Mountain Home, Ar · principal300
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 473 to 469
      Oct 9, 2025 to Jan 22, 2026
    • HNW clients · 59 to 39
      Oct 9, 2025 to Jan 22, 2026
    • Individual clients · 213 to 164
      Oct 9, 2025 to Jan 22, 2026
    • Assets in custody · $112M to $130M
      Oct 9, 2025 to Jan 22, 2026
    • Other offices · 0 to 1
      Oct 9, 2025 to Jan 22, 2026
    • Discretionary RAUM · $112M to $130M
      Oct 9, 2025 to Jan 22, 2026
    • HNW RAUM · $68.0M to $84.7M
      Oct 9, 2025 to Jan 22, 2026
    • Individual RAUM · $43.8M to $45.6M
      Oct 9, 2025 to Jan 22, 2026
    • RAUM · $112M to $130M
      Oct 9, 2025 to Jan 22, 2026
    • Accounts · 369 to 473
      Jun 1, 2012 to Jul 11, 2025
    • Advisory employees · unset to 3.0
      Jun 1, 2012 to Jul 11, 2025
    • Advisory activities · 4 to 5
      Jun 1, 2012 to Jul 11, 2025
    • BD registered reps · unset to 3.0
      Jun 1, 2012 to Jul 11, 2025
    • HNW clients · unset to 59.0
      Jun 1, 2012 to Jul 11, 2025
    • Individual clients · unset to 213.0
      Jun 1, 2012 to Jul 11, 2025
    • Assets in custody · unset to 111867695.0
      Jun 1, 2012 to Jul 11, 2025
    • Custody of client assets · false to true
      Jun 1, 2012 to Jul 11, 2025
    • Employees · unset to 6.0
      Jun 1, 2012 to Jul 11, 2025
    • Financial planning clients · 0 to 1-10
      Jun 1, 2012 to Jul 11, 2025
    • State-registered IARs · 0 to 3
      Jun 1, 2012 to Jul 11, 2025
    • Other offices · unset to 0.0
      Jun 1, 2012 to Jul 11, 2025
    • Discretionary RAUM · $0 to $112M
      Jun 1, 2012 to Jul 11, 2025
    • HNW RAUM · unset to 68048939.0
      Jun 1, 2012 to Jul 11, 2025
    • Individual RAUM · unset to 43818756.0
      Jun 1, 2012 to Jul 11, 2025
    • Non-discretionary RAUM · $36.1M to $0
      Jun 1, 2012 to Jul 11, 2025
    • RAUM · $36.1M to $112M
      Jun 1, 2012 to Jul 11, 2025
    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
    870-425-8252reportedpublic record, Form ADV, Jan 22, 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
    $43.4Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026