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
Floyd Financial Group LLC
Latest filing Mar 18, 2026
First filing on the tape Mar 20, 2024 · 5 filings
SEC status approved since Apr 22, 2024
RAUM
$164M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$164M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$164M
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
5 filings and snapshots on the tape
RAUM$164M as of Mar 18, 2026
Mar 24, 2025$146M then
HNW client RAUM$23.2M as of Mar 18, 2026
Mar 24, 2025$12.8M then
State-registered IARs (5.B.3)2 as of Mar 18, 2026
Mar 24, 20252 then
Employees (5.A)5 as of Mar 18, 2026
Mar 24, 20255 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $164MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 686derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $238,716derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$141M86%
- High-net-worth individuals$23.2M14%
- Corporations and businesses$475,0000.3%
- Individual clients
- 670reported
- HNW clients
- 16reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 689reported
- Financial planning clients
- 500reported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jacob Randal Floyd | Springfield, Mo | May 14, 2020 | 19 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months
Left, latest
- Randy Leon Floyd to Brookstone Wealth Advisors, LLCJun 29, 2026 · Other
Joined, latest
- Randy Leon Floyd from Brookstone Wealth Advisors, LLCAug 28, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Randal Jacob Floyd · Managing Member, Ccocontrolsince 07/2023 · 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 |
|---|---|---|---|---|---|
| Springfield, Mo · principal | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 18, 2026custody of client assets (Item 9.A): yes on the filing of 2025-03-24, no on the filing of 2026-03-18peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 618 to 689Mar 24, 2025 to Mar 18, 2026
- Corporate clients · 1 to 3Mar 24, 2025 to Mar 18, 2026
- HNW clients · 7 to 16Mar 24, 2025 to Mar 18, 2026
- Individual clients · 610 to 670Mar 24, 2025 to Mar 18, 2026
- Assets in custody · 50000.0 to unsetMar 24, 2025 to Mar 18, 2026
- Custody of client assets · true to falseMar 24, 2025 to Mar 18, 2026
- Financial planning clients · 101-250 to More than 500Mar 24, 2025 to Mar 18, 2026
- Discretionary RAUM · $146M to $164MMar 24, 2025 to Mar 18, 2026
- HNW RAUM · $12.8M to $23.2MMar 24, 2025 to Mar 18, 2026
- Individual RAUM · $133M to $141MMar 24, 2025 to Mar 18, 2026
- RAUM · $146M to $164MMar 24, 2025 to Mar 18, 2026
- Assets in custody · $345 to $50,000Dec 6, 2024 to Mar 24, 2025
- Accounts · 1,000 to 618Dec 6, 2024 to Mar 24, 2025
- HNW clients · 6 to 7Dec 6, 2024 to Mar 24, 2025
- Individual clients · 560 to 610Dec 6, 2024 to Mar 24, 2025
- Financial planning clients · 101-250 to 101-250Dec 6, 2024 to Mar 24, 2025
- Discretionary RAUM · $118M to $146MDec 6, 2024 to Mar 24, 2025
- HNW RAUM · $12.4M to $12.8MDec 6, 2024 to Mar 24, 2025
- Individual RAUM · $106M to $133MDec 6, 2024 to Mar 24, 2025
- RAUM · $118M to $146MDec 6, 2024 to Mar 24, 2025
Signals
2 dated events
- Randy Leon Floyd left Floyd Financial Group Llc for Brookstone Wealth Advisors, Llc (registered 2026-07-08)Jun 29, 2026 · Advisor changed firm · fact
- Floyd Financial Group Llc filed its initial SEC registration (Form ADV)Mar 20, 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
- 417-889-7233reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- FLOYDFINANCIALGROUP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 417-889-7233reportedpublic record, Form ADV, Mar 18, 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
- $164Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026