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
B•••• C•••••• M••••••••• L••
Latest filing Aug 6, 2026
First filing on the tape Mar 27, 2024 · 7 filings
SEC status approved since Apr 26, 2024
RAUM
$216M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
94%
$203M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$54.0M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$216M as of Aug 6, 2026
Apr 1, 2025$161M then
HNW client RAUM$162M as of Aug 6, 2026
Apr 1, 2025$113M then
State-registered IARs (5.B.3)4 as of Aug 6, 2026
Apr 1, 20254 then
Employees (5.A)5 as of Aug 6, 2026
Apr 1, 20254 then
Private funds: no history
RAUM +34% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Aug 6, 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
- $54.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $660,990derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 6.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +54%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$162M75%
- Individuals$41.1M19%
- Pension and profit-sharing plans$13.0M6.0%
- Individual clients
- 252reported
- HNW clients
- 62reported
- Pension plan clients
- 13reported
- Charitable clients
- n/areported
- Accounts
- 327reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• R•••••• B••••Certified Financial Planner | Little Rock, Ar | Apr 14, 2021 | 19 y | 1 |
| K•••• D•••• H••• | Little Rock, Ar | Mar 25, 2025 | 28 y | 1 |
| J•••• R•••••• G••••• | Little Rock, Ar | Nov 5, 2025 | 26 y | 0 |
| L••• N••••• C••• | Little Rock, Ar | Apr 26, 2026 | 23 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- L••• N••••• C••• from S•••••••• A••••••• L••Apr 26, 2026 · Affiliated broker-dealer or bank to independent RIA
- K•••• D•••• H••• from A••••••••• F•••••••• S•••••••• L••Mar 25, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••••• R•••••• B•••• from S••••••••• C•••••• M•••••••••Apr 14, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••••• R•••••• · President, Ceo & Ccocontrolsince 05/2013 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Little Rock, Ar · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Apr 24, 2026accounts (Item 5.F.2.f) moved from 730.0 to 320.0 (-56.0%) between the annual amendments of 2025-04-01 and 2026-04-24; the peer median change was +5.0% (3687 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 2.5% percentile
- client count surgeChange between filings · filing Apr 24, 2026individual and HNW clients (Item 5.D) moved from 200.0 to 307.0 (+54.0%) between the annual amendments of 2025-04-01 and 2026-04-24; the peer median change was +3.0% (3309 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 320 to 327Apr 24, 2026 to Aug 6, 2026
- HNW clients · 61 to 62Apr 24, 2026 to Aug 6, 2026
- Individual clients · 246 to 252Apr 24, 2026 to Aug 6, 2026
- Discretionary RAUM · $197M to $208MApr 24, 2026 to Aug 6, 2026
- HNW RAUM · $155M to $162MApr 24, 2026 to Aug 6, 2026
- Individual RAUM · $38.7M to $41.1MApr 24, 2026 to Aug 6, 2026
- Non-discretionary RAUM · $8.5M to $8.0MApr 24, 2026 to Aug 6, 2026
- Pension RAUM · $11.6M to $13.0MApr 24, 2026 to Aug 6, 2026
- RAUM · $205M to $216MApr 24, 2026 to Aug 6, 2026
- Accounts · 311 to 320Feb 6, 2026 to Apr 24, 2026
- Advisory employees · 3 to 4Feb 6, 2026 to Apr 24, 2026
- HNW clients · 52 to 61Feb 6, 2026 to Apr 24, 2026
- Individual clients · 250 to 246Feb 6, 2026 to Apr 24, 2026
- State-registered IARs · 3 to 4Feb 6, 2026 to Apr 24, 2026
- Discretionary RAUM · $183M to $197MFeb 6, 2026 to Apr 24, 2026
- HNW RAUM · $144M to $155MFeb 6, 2026 to Apr 24, 2026
- Individual RAUM · $35.9M to $38.7MFeb 6, 2026 to Apr 24, 2026
- Non-discretionary RAUM · $9.8M to $8.5MFeb 6, 2026 to Apr 24, 2026
- Pension RAUM · $12.7M to $11.6MFeb 6, 2026 to Apr 24, 2026
- RAUM · $192M to $205MFeb 6, 2026 to Apr 24, 2026
- Accounts · 677 to 311Sep 9, 2025 to Feb 6, 2026
- Advisory employees · 4 to 3Sep 9, 2025 to Feb 6, 2026
- HNW clients · 50 to 52Sep 9, 2025 to Feb 6, 2026
- Individual clients · 270 to 250Sep 9, 2025 to Feb 6, 2026
- Pension plan clients · 18 to 13Sep 9, 2025 to Feb 6, 2026
- State-registered IARs · 4 to 3Sep 9, 2025 to Feb 6, 2026
- Discretionary RAUM · $171M to $183MSep 9, 2025 to Feb 6, 2026
- HNW RAUM · $126M to $144MSep 9, 2025 to Feb 6, 2026
- Individual RAUM · $35.9M to $35.9MSep 9, 2025 to Feb 6, 2026
- Non-discretionary RAUM · $9.0M to $9.8MSep 9, 2025 to Feb 6, 2026
- Pension RAUM · $18.0M to $12.7MSep 9, 2025 to Feb 6, 2026
- RAUM · $180M to $192MSep 9, 2025 to Feb 6, 2026
- Accounts · 730 to 677Apr 1, 2025 to Sep 9, 2025
- Advisory employees · 3 to 4Apr 1, 2025 to Sep 9, 2025
- HNW clients · 40 to 50Apr 1, 2025 to Sep 9, 2025
- Individual clients · 160 to 270Apr 1, 2025 to Sep 9, 2025
- Pension plan clients · 200 to 18Apr 1, 2025 to Sep 9, 2025
- Employees · 4 to 5Apr 1, 2025 to Sep 9, 2025
- Discretionary RAUM · $151M to $171MApr 1, 2025 to Sep 9, 2025
- HNW RAUM · $113M to $126MApr 1, 2025 to Sep 9, 2025
Signals
1 dated events
- B•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 27, 2024 · 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
- Business phone
- 501-503-0001reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- B••••-CM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 501-503-0001reportedpublic record, Form ADV, Aug 6, 2026
- Contact form
- b•••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $54.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026