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
Applied Capital LLC
Latest filing Mar 10, 2026
First filing on the tape Mar 29, 2019 · 20 filings
SEC status approved since Apr 26, 2019
RAUM
$358M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$358M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$39.7M
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$358M as of Mar 10, 2026
Mar 18, 2020$192M then
HNW client RAUM$192M as of Mar 10, 2026
Mar 18, 2020$103M then
State-registered IARs (5.B.3)8 as of Mar 10, 2026
Mar 18, 20208 then
Employees (5.A)9 as of Mar 10, 2026
Mar 18, 20208 then
Private funds: no history
RAUM +22% over the last fiscal year+15% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Mar 10, 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
- RAUM per advisor
- $39.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $162,512derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.7%derived
- Compensation
- percentage of assetsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$192M54%
- Individuals$166M46%
- Individual clients
- 593reported
- HNW clients
- 94reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2,200reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Bradley W. Raines | Little Rock, Ar | Jan 4, 2013 | 19 y | 4 |
| John H. Hudson | Little Rock, Ar | Mar 23, 2015 | 13 y | 1 |
| Timothy M. Cantrell | Little Rock, Ar | Mar 23, 2015 | 13 y | 1 |
| Ethan Joseph Slate | Little Rock, Ar | Jan 10, 2022 | 13 y | 0 |
| David Matthew Cleveland | Little Rock, Ar | Sep 22, 2022 | 10 y | 0 |
| Cannon Calloway Pace | Nashville, Tn | Dec 15, 2022 | 14 y | 0 |
| Lamar Rochell | Little Rock, Ar | Sep 12, 2025 | 18 y | 0 |
| Heather L Berry | Little Rock, Ar | Dec 19, 2025 | 11 y | 0 |
| Jesse Samuel Johnson | Nashville, Tn | Feb 18, 2026 | 11 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 11% of current headcount2 left over 36 months
Left, latest
- Tyler Vaughn Baskin to Defining WealthJan 6, 2026 · RIA to a state-registered adviser
- Jacob Ivan Duke to Rivertree WealthJun 19, 2024 · RIA to RIA
- Seth G Haile to Paladin Investment AdvisorsMay 10, 2023 · RIA to a state-registered adviser
- Andrew Reid Veach to Veach Family FinancialJan 2, 2023 · RIA to RIA
- Michael Joseph Shea to True Equity Wealth Management LLCNov 10, 2021 · RIA to a state-registered adviser
Joined, latest
- Jesse Samuel Johnson from Equitable Advisors, LLCFeb 18, 2026 · Affiliated broker-dealer or bank to independent RIA
- Tyler Vaughn Baskin from Fidelity Personal And Workplace AdvisorsFeb 23, 2024 · Affiliated broker-dealer or bank to independent RIA
- Michael Joseph Shea from Envision Wealth PlanningApr 10, 2017 · Other
- John H. Hudson from Northwestern Mutual Investment Services,LLCMar 23, 2015 · Other
- Timothy M. Cantrell from Northwestern Mutual Investment Services,LLCMar 23, 2015 · Other
- Bradley W. Raines from Brs Financial LLCJan 4, 2013 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W. Bradley Raines · Principal Financial Advisorcontrolsince 11/2012 · owns 75% or more
- W. Christopher Williams · Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Little Rock, Ar · principal | 9 | 2 | 0 | ||
| Nashville, Tn | 5 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Nashville, TN4 employees
What changed
consecutive filings, newest first
- Accounts · 2,067 to 2,200Aug 25, 2025 to Feb 9, 2026
- Advisory employees · 7 to 8Aug 25, 2025 to Feb 9, 2026
- Individual clients · 562 to 593Aug 25, 2025 to Feb 9, 2026
- State-registered IARs · 7 to 8Aug 25, 2025 to Feb 9, 2026
- Discretionary RAUM · $293M to $358MAug 25, 2025 to Feb 9, 2026
- HNW RAUM · $174M to $192MAug 25, 2025 to Feb 9, 2026
- Individual RAUM · $119M to $166MAug 25, 2025 to Feb 9, 2026
- RAUM · $293M to $358MAug 25, 2025 to Feb 9, 2026
- Accounts · 2,255 to 2,067Jul 18, 2024 to Feb 26, 2025
- HNW clients · 74 to 94Jul 18, 2024 to Feb 26, 2025
- Individual clients · 647 to 562Jul 18, 2024 to Feb 26, 2025
- Employees · 10 to 9Jul 18, 2024 to Feb 26, 2025
- Financial planning clients · 101-250 to 101-250Jul 18, 2024 to Feb 26, 2025
- Discretionary RAUM · $287M to $293MJul 18, 2024 to Feb 26, 2025
- HNW RAUM · $145M to $174MJul 18, 2024 to Feb 26, 2025
- Individual RAUM · $141M to $119MJul 18, 2024 to Feb 26, 2025
- RAUM · $287M to $293MJul 18, 2024 to Feb 26, 2025
- Accounts · 2,035 to 2,255Feb 16, 2023 to Feb 13, 2024
- Advisory employees · 8 to 7Feb 16, 2023 to Feb 13, 2024
- HNW clients · 58 to 74Feb 16, 2023 to Feb 13, 2024
- Individual clients · 631 to 647Feb 16, 2023 to Feb 13, 2024
- State-registered IARs · 8 to 7Feb 16, 2023 to Feb 13, 2024
- Discretionary RAUM · $231M to $287MFeb 16, 2023 to Feb 13, 2024
- HNW RAUM · $118M to $145MFeb 16, 2023 to Feb 13, 2024
- Individual RAUM · $116M to $141MFeb 16, 2023 to Feb 13, 2024
- Non-discretionary RAUM · $2.4M to $0Feb 16, 2023 to Feb 13, 2024
- RAUM · $234M to $287MFeb 16, 2023 to Feb 13, 2024
- Accounts · 2,012 to 2,035Nov 23, 2022 to Feb 8, 2023
- Advisory employees · 7 to 8Nov 23, 2022 to Feb 8, 2023
- HNW clients · 85 to 58Nov 23, 2022 to Feb 8, 2023
- Individual clients · 636 to 631Nov 23, 2022 to Feb 8, 2023
- State-registered IARs · 7 to 8Nov 23, 2022 to Feb 8, 2023
- Discretionary RAUM · $232M to $231MNov 23, 2022 to Feb 8, 2023
- HNW RAUM · $112M to $118MNov 23, 2022 to Feb 8, 2023
- Individual RAUM · $123M to $116MNov 23, 2022 to Feb 8, 2023
- Non-discretionary RAUM · $3.2M to $2.4MNov 23, 2022 to Feb 8, 2023
- RAUM · $235M to $234MNov 23, 2022 to Feb 8, 2023
- Accounts · 2,190 to 2,012Mar 21, 2022 to Nov 23, 2022
- Advisory employees · 8 to 7Mar 21, 2022 to Nov 23, 2022
- HNW clients · 87 to 85Mar 21, 2022 to Nov 23, 2022
Signals
9 dated events
- Tyler Vaughn Baskin left Applied Capital Llc for Defining Wealth (registered 2026-02-09)Jan 6, 2026 · Advisor changed firm · fact
- Jacob Ivan Duke left Applied Capital Llc for Rivertree Wealth (registered 2024-03-14)Jun 19, 2024 · Advisor changed firm · fact
- Seth G Haile left Applied Capital Llc for Paladin Investment Advisors (registered 2023-05-10)May 10, 2023 · Advisor changed firm · fact
- Andrew Reid Veach left Applied Capital Llc for Veach Family Financial (registered 2026-01-02)Jan 2, 2023 · Advisor changed firm · fact
- Clifford Ray Veach no longer registered at Applied Capital Llc; no later IA registration on IAPDJan 2, 2023 · Advisor departure · fact
- Applied Capital Llc reported RAUM $235.0M, down 38% from $380.8M (2022-03-21 to 2022-11-23)Nov 23, 2022 · RAUM change · derived
- Applied Capital Llc reported RAUM $380.8M, up 41% from $270.0M (2021-12-06 to 2022-03-21)Mar 21, 2022 · RAUM change · derived
- Wayne Christopher Williams (Chief Compliance Officer) appeared on Schedule A of Applied Capital LlcMar 26, 2021 · Control person joined · fact
- Applied Capital Llc filed its initial SEC registration (Form ADV)Mar 29, 2019 · First SEC registration · fact
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
- Firm profile
- LINKEDIN.COM/COMPANY/2935176reportedpublic record, Form ADV, Sep 18, 2026
- Website
- APPLIEDCAPTAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (501) 500-0890reportedpublic record, Form ADV, Mar 10, 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
- $39.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026