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
Westrock Asset Management, LLC
Latest filing May 1, 2026
First filing on the tape Aug 12, 2016 · 19 filings
SEC status approved since Aug 22, 2016
RAUM
$163M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$54.2M
derived; firm RAUM over IAPD count
Employees
12
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$163M as of May 1, 2026
Mar 29, 2017$1.1B then
HNW client RAUM$491,220 as of Mar 27, 2020
Mar 29, 2018$31.0M then
State-registered IARs (5.B.3)3 as of May 1, 2026
Mar 29, 20177 then
Employees (5.A)12 as of May 1, 2026
Mar 29, 201716 then
Private funds3 as of May 1, 2026
Mar 29, 20171 then
RAUM -22% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of May 1, 2026; every figure names its basis
- RAUM per advisor
- $54.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $40.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$163M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Scott Thomas Ford | Little Rock, Ar | May 11, 2015 | 40 y | 0 |
| Jeffery Byron Pascoe | Little Rock, Ar | Jul 8, 2015 | 36 y | 0 |
| Brady Clark Preston | Little Rock, Ar | Sep 12, 2016 | 10 y | 0 |
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
- Jonathan Blair Leader to Morgan StanleyJan 30, 2020 · Other
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Westrock Alpha Master Fund, L.P. | Hedge Fund | $406M | 11 | Aug 12, 2016 |
| Westrock Absolute Return Fund, LP | Other Private Fund | $19.7M | 9 | Mar 31, 2022 |
| Westrock Arch Fund, LP | Other Private Fund | $13.5M | 8 | Mar 27, 2020 |
Owners and control persons
Schedule A and B, latest filing
- Thomas Samuel Ford · Chief Executive Officer And Chief Investment Officercontrolsince 11/2017 · owns less than 5%
- Thomas Scott Ford · Chairmancontrolsince 01/2015 · owns less than 5%
- Thomas Joe Ford · Sole Membercontrolsince 12/2013 · owns 75% or more of Wooster Capital, LLC
- Thomas Scott Ford · Sole Membercontrolsince 12/2013 · owns 75% or more of Greenbrier Holdings, LLC
- Ann Mary Smith · Chief Compliance Officersince 04/2020 · owns less than 5%
Entity owners
- Westrock Group, LLC · Sole Memberdirect · owns 75% or more
- Greenbrier Holdings, LLC · Memberindirect · owns 50% to 75% of Westrock Group, LLC
- Wooster Capital, LLC · Memberindirect · owns 25% to 50% of Westrock Group, LLC
Related persons
Schedule D 7.A
- Westrock Absolute Return Gp, LLCbankpooled vehicle sponsory
- Westrock Alpha Gp, L.P.bankpooled vehicle sponsory
- Westrock Arch Gp, LLCbankpooled vehicle sponsory
- Westrock Equities Gp, LLCy
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Little Rock, Ar · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 9 to 12May 7, 2025 to Mar 27, 2026
- Discretionary RAUM · $209M to $163MMay 7, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $209M to $163MMay 7, 2025 to Mar 27, 2026
- RAUM · $209M to $163MMay 7, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 7, 2025
- Employees · 10 to 9May 6, 2024 to Mar 28, 2025
- Discretionary RAUM · $417M to $209MMay 6, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $417M to $209MMay 6, 2024 to Mar 28, 2025
- RAUM · $417M to $209MMay 6, 2024 to Mar 28, 2025
- Employees · 9 to 10May 8, 2023 to Mar 28, 2024
- Discretionary RAUM · $119M to $417MMay 8, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $119M to $417MMay 8, 2023 to Mar 28, 2024
- RAUM · $119M to $417MMay 8, 2023 to Mar 28, 2024
- Employees · 8 to 9Jan 26, 2023 to Mar 28, 2023
- Discretionary RAUM · $394M to $119MJan 26, 2023 to Mar 28, 2023
- Pooled vehicle RAUM · $394M to $119MJan 26, 2023 to Mar 28, 2023
- RAUM · $394M to $119MJan 26, 2023 to Mar 28, 2023
- Advisory activities · 2 to 1Mar 29, 2021 to Mar 31, 2022
- Employees · 7 to 8Mar 29, 2021 to Mar 31, 2022
- Private funds · 2 to 3Mar 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $116M to $394MMar 29, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $116M to $394MMar 29, 2021 to Mar 31, 2022
- RAUM · $116M to $394MMar 29, 2021 to Mar 31, 2022
- Accounts · 5 to 4Apr 22, 2020 to Mar 29, 2021
- Advisory employees · 6 to 4Apr 22, 2020 to Mar 29, 2021
- Employees · 12 to 7Apr 22, 2020 to Mar 29, 2021
- State-registered IARs · 5 to 3Apr 22, 2020 to Mar 29, 2021
- Discretionary RAUM · $99.5M to $116MApr 22, 2020 to Mar 29, 2021
- HNW RAUM · 491220.0 to unsetApr 22, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $99.0M to $116MApr 22, 2020 to Mar 29, 2021
- RAUM · $99.5M to $116MApr 22, 2020 to Mar 29, 2021
- Accounts · 6 to 5Jun 29, 2019 to Mar 27, 2020
- Pooled vehicle clients · 3 to 4Jun 29, 2019 to Mar 27, 2020
- Private funds · 1 to 2Jun 29, 2019 to Mar 27, 2020
- Discretionary RAUM · $231M to $99.5MJun 29, 2019 to Mar 27, 2020
- HNW RAUM · $20.7M to $491,220Jun 29, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $210M to $99.0MJun 29, 2019 to Mar 27, 2020
- RAUM · $231M to $99.5MJun 29, 2019 to Mar 27, 2020
- Discretionary RAUM · $1.0B to $231MMar 29, 2018 to Mar 27, 2019
- HNW RAUM · $31.0M to $20.7MMar 29, 2018 to Mar 27, 2019
Signals
8 dated events
- Westrock Asset Management, Llc reported RAUM $208.5M, down 50% from $416.8M (2024-05-06 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Westrock Asset Management, Llc reported RAUM $416.8M, up 249% from $119.3M (2023-05-08 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Westrock Asset Management, Llc reported RAUM $119.3M, down 70% from $394.1M (2023-01-26 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- Westrock Asset Management, Llc reported RAUM $394.1M, up 239% from $116.3M (2021-03-29 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Westrock Asset Management, Llc reported RAUM $99.5M, down 57% from $230.6M (2019-06-29 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Augustine John Ebner (Chief Financial Officer) no longer on Schedule A of Westrock Asset Management, Llc (listed 2019-06-29, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- Westrock Asset Management, Llc reported RAUM $230.6M, down 78% from $1.0B (2018-03-29 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- Westrock Asset Management, Llc filed its initial SEC registration (Form ADV)Aug 12, 2016 · 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/westrock-asset-management/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- WESTROCKAM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 501.320.4867reportedpublic record, Form ADV, May 1, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $54.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026