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.

Former SEC-registered adviser

First Security Fund Advisers, Inc.

Former SEC-registered adviserLittle Rock, ArkansasCRD 179538SEC 801-96186IAPD
Latest filing Mar 29, 2018
First filing on the tape Apr 17, 2015 · 16 filings
RAUM
$15.1M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$15.1M as of Mar 29, 2018
Jan 26, 2016$3.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 29, 2018
Jan 26, 20162 then
Employees (5.A)5 as of Mar 29, 2018
Jan 26, 20165 then
Private funds: no history
RAUM +2.2% over the last fiscal yearIARs 2 to 5
Practice profile
derived from the filing of Mar 29, 2018; every figure names its basis
RAUM per advisor
$3.0MderivedRAUM 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
$15.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.2%derivedbetween the last two annual amendments
Advisor growth, one year
+150%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$15.1M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Reynolds John Rutledge · Chairman First Security Bancorpcontrol
        since 12/2014 · owns less than 5%
      • Reynolds John Rutledge · Shareholdercontrol
        since 06/1977 · owns 75% or more of First Security Bancorp
      • Parrott Joseph Bumpers · Chief Financial Officer
        since 12/2014 · owns less than 5%
      • Ray Donald Winton · Chief Compliance Officer
        since 12/2014 · owns less than 5%
      Entity owners
      • First Security Bancorp · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 72 to 1
        Mar 10, 2017 to Mar 29, 2018
      • Advisory activities · 3 to 1
        Mar 10, 2017 to Mar 29, 2018
      • BD registered reps · 4 to 5
        Mar 10, 2017 to Mar 29, 2018
      • Insurance-licensed employees · 1 to 2
        Mar 10, 2017 to Mar 29, 2018
      • Financial planning clients · unset to 0
        Mar 10, 2017 to Mar 29, 2018
      • State-registered IARs · 2 to 5
        Mar 10, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 10, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · $14.8M to $15.1M
        Mar 10, 2017 to Mar 29, 2018
      • RAUM · $14.8M to $15.1M
        Mar 10, 2017 to Mar 29, 2018
      • Accounts · 25 to 72
        Feb 21, 2017 to Mar 10, 2017
      • Non-discretionary RAUM · $3.5M to $14.8M
        Feb 21, 2017 to Mar 10, 2017
      • RAUM · $3.5M to $14.8M
        Feb 21, 2017 to Mar 10, 2017
      • Accounts · unset to 25.0
        Jul 15, 2015 to Jan 26, 2016
      • Discretionary RAUM · unset to 0.0
        Jul 15, 2015 to Jan 26, 2016
      • Non-discretionary RAUM · unset to 3500000.0
        Jul 15, 2015 to Jan 26, 2016
      • RAUM · unset to 3500000.0
        Jul 15, 2015 to Jan 26, 2016
      • Advisory activities · 2 to 3
        Apr 22, 2015 to Jul 15, 2015
      • Accounts · 0.0 to unset
        Apr 17, 2015 to Apr 17, 2015
      • Discretionary RAUM · 0.0 to unset
        Apr 17, 2015 to Apr 17, 2015
      • Non-discretionary RAUM · 0.0 to unset
        Apr 17, 2015 to Apr 17, 2015
      • RAUM · 0.0 to unset
        Apr 17, 2015 to Apr 17, 2015
      Signals
      1 dated events
      • First Security Fund Advisers, Inc. filed its initial SEC registration (Form ADV)
        Apr 17, 2015 · 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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026