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
A•••• G••••• A•••••••• L••
Latest filing May 12, 2026
First filing on the tape Apr 6, 2017 · 38 filings
SEC status approved since Apr 14, 2017
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$1.0B individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
17
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$1.2B as of May 12, 2026
Mar 29, 2018$496M then
HNW client RAUM$935M as of May 12, 2026
Mar 29, 2018$93.6M then
State-registered IARs (5.B.3)11 as of May 12, 2026
Mar 29, 20188 then
Employees (5.A)17 as of May 12, 2026
Mar 29, 20188 then
Private funds: no history
RAUM +4.1% over the last fiscal year+9.1% a year over threeIARs 14 to 11
Practice profile
derived from the filing of May 12, 2026; every figure names its basis
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.8MderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 5.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -21%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$935M81%
- Charitable organizations$128M11%
- Individuals$92.4M8.0%
- Pension and profit-sharing plans$116,0190.0%
- Corporations and businesses$5,2270.0%
- Individual clients
- 271reported
- HNW clients
- 161reported
- Pension plan clients
- 1reported
- Charitable clients
- 10reported
- Accounts
- 444reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• A••• T••••• | Houston, Tx | Apr 25, 2017 | 31 y | 3 |
| E•••• H• P•••••• | Houston, Tx | Apr 25, 2017 | 14 y | 1 |
| A••••• C•••• D••••• | Houston, Tx | May 25, 2017 | 13 y | 0 |
| M•••••• H••••• R•••••• | Houston, Tx | May 31, 2017 | 29 y | 3 |
| L••••• M• B••••••• | Milton, Ga | Mar 20, 2020 | 27 y | 3 |
| T•••••• K••• M•••••• | Houston, Tx | Mar 20, 2020 | 19 y | 3 |
| T••••• B•••• H••••• | Houston, Tx | Jun 23, 2020 | 12 y | 0 |
| J•••• T••••• L•••••• | Houston, Tx | Sep 2, 2021 | 10 y | 1 |
| C•••• C••••••• D••••• | Houston, Tx | May 3, 2022 | 18 y | 3 |
| W•••••• C••••••••• G•••••• | Milton, Ga | Feb 21, 2023 | 10 y | 1 |
| C•••••• R••• S••••• | Milton, Ga | Jun 24, 2024 | 11 y | 1 |
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 headcount1 left over 36 months
Left, latest
- J••••• S•••• A•••••••• to O•••••••• F•••••••• S••••••• L••Jun 26, 2024 · RIA to RIA
- T••••• A• W••••• to P••• F•••••••• A•••••••Apr 3, 2023 · RIA to RIA
- P•••••• D••••• C•••• to C•••• C•••••• P•••••••Sep 30, 2020 · RIA to a state-registered adviser
- C••••• R••• C•••• to C•••• C•••••• P•••••••Sep 30, 2020 · RIA to a state-registered adviser
- J•••• R•• M•••••••• to T•••••• S••••• A•••••••• L••Mar 20, 2018 · Other
- T••••• P••••• to E•••••• W••••• P•••••••• L••Jun 14, 2017 · Other
Joined, latest
- C•••••• R••• S••••• from E••••• J••••Jun 24, 2024 · Affiliated broker-dealer or bank to independent RIA
- W•••••• C••••••••• G•••••• from E••••• J••••Feb 21, 2023 · Affiliated broker-dealer or bank to independent RIA
- C•••• C••••••• D••••• from H•••••••• A•••••••• L••May 3, 2022 · Affiliated broker-dealer or bank to independent RIA
- T••••• A• W••••• from F•• S••••••••• C•••••••••Jan 11, 2022 · Affiliated broker-dealer or bank to independent RIA
- J•••• T••••• L•••••• from P•••• S••••••••• L••Sep 2, 2021 · Affiliated broker-dealer or bank to independent RIA
- T•••••• K••• M•••••• from B•••• W•••••• L••Mar 20, 2020 · RIA to RIA
- L••••• M• B••••••• from B•••• W•••••• L••Mar 20, 2020 · RIA to RIA
- J••••• S•••• A•••••••• from B••• O•• S••••••••• C•••••••••Jan 7, 2020 · Other
- P•••••• D••••• C•••• from S•••••••• 4• W•••••Aug 18, 2017 · Other
- M•••••• H••••• R•••••• from U•• C•••••• A•••••••• L••May 31, 2017 · Other
- E•••• H• P•••••• from M••••• S••••••Apr 25, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J•••• R•• M•••••••• from A•••••• W••••• S••••••••Apr 25, 2017 · Other
- T••••• P••••• from S•••••••• F••••••••• I•••Apr 25, 2017 · Other
- J•••••• A••• T••••• from M••••• S••••••Apr 25, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C•••• C•••••• P•••••••Sep 30, 2020 · Southlake, Tx
- 2 joined from B•••• W•••••• L••Mar 24, 2020 · Atlanta, Ga
- 2 joined from M••••• S••••••Apr 26, 2017 · Houston, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• M•••••• M•••• · Chief Compliance Officercontrolsince 01/2025 · owns less than 5%
- T•••••• J••••••• A••• · Ceo/Membercontrolsince 04/2017 · owns 50% to 75%
- T•••••• J••••••• A••• · Ownercontrolsince 12/2019 · owns 50% to 75% of A•••• G••••• A•••••••• L•••
Entity owners
- A•••• G••••• A•••••••• L••• · Ownerdirect · owns 25% to 50%
- N••••••• C•••••••• T•••• · Ownerindirect · owns 25% to 50% of A•••• G••••• A•••••••• L•••
Related persons
Schedule D 7.A
- M••• R•••••• C••• P•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 11 | 0 | 0 | ||
| Milton, Ga | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Milton, GA4 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing May 12, 2026A••••••••• M•••••• M•••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2023-05-19 and 2026-05-12peers: independent wealth managers, $1B to $5B (1,362)
- account count collapseChange between filings · filing Mar 27, 2026accounts (Item 5.F.2.f) moved from 1,229.0 to 444.0 (-64.0%) between the annual amendments of 2025-04-24 and 2026-03-27; the peer median change was +6.0% (1206 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 1.2% percentile
What changed
consecutive filings, newest first
- Accounts · 1,229 to 444Nov 13, 2025 to Mar 27, 2026
- Advisory employees · 14 to 11Nov 13, 2025 to Mar 27, 2026
- Charity clients · 6 to 10Nov 13, 2025 to Mar 27, 2026
- Corporate clients · 3 to 1Nov 13, 2025 to Mar 27, 2026
- HNW clients · 138 to 161Nov 13, 2025 to Mar 27, 2026
- Pension plan clients · unset to 1.0Nov 13, 2025 to Mar 27, 2026
- Employees · 19 to 17Nov 13, 2025 to Mar 27, 2026
- Financial planning clients · 26-50 to 51-100Nov 13, 2025 to Mar 27, 2026
- State-registered IARs · 14 to 11Nov 13, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.1B to $1.2BNov 13, 2025 to Mar 27, 2026
- HNW RAUM · $812M to $935MNov 13, 2025 to Mar 27, 2026
- Individual RAUM · $93.7M to $92.4MNov 13, 2025 to Mar 27, 2026
- Pension RAUM · $0 to $116,019Nov 13, 2025 to Mar 27, 2026
- RAUM · $1.1B to $1.2BNov 13, 2025 to Mar 27, 2026
- Accounts · 1,103 to 1,229Mar 29, 2024 to Apr 24, 2025
- Advisory employees · 4 to 14Mar 29, 2024 to Apr 24, 2025
- HNW clients · 122 to 138Mar 29, 2024 to Apr 24, 2025
- Individual clients · 240 to 271Mar 29, 2024 to Apr 24, 2025
- Employees · 18 to 19Mar 29, 2024 to Apr 24, 2025
- Financial planning clients · 26-50 to 26-50Mar 29, 2024 to Apr 24, 2025
- Discretionary RAUM · $939M to $1.1BMar 29, 2024 to Apr 24, 2025
- HNW RAUM · $660M to $812MMar 29, 2024 to Apr 24, 2025
- Individual RAUM · $86.7M to $93.7MMar 29, 2024 to Apr 24, 2025
- RAUM · $939M to $1.1BMar 29, 2024 to Apr 24, 2025
- Accounts · 1,169 to 1,103May 19, 2023 to Mar 29, 2024
- Advisory employees · 15 to 4May 19, 2023 to Mar 29, 2024
- Charity clients · 2 to 6May 19, 2023 to Mar 29, 2024
- Corporate clients · unset to 3.0May 19, 2023 to Mar 29, 2024
- HNW clients · 135 to 122May 19, 2023 to Mar 29, 2024
- Individual clients · 293 to 240May 19, 2023 to Mar 29, 2024
- Employees · 16 to 18May 19, 2023 to Mar 29, 2024
- State-registered IARs · 15 to 14May 19, 2023 to Mar 29, 2024
- Other offices · 3 to 1May 19, 2023 to Mar 29, 2024
- Discretionary RAUM · $890M to $939MMay 19, 2023 to Mar 29, 2024
- HNW RAUM · $643M to $660MMay 19, 2023 to Mar 29, 2024
- Individual RAUM · $82.3M to $86.7MMay 19, 2023 to Mar 29, 2024
- RAUM · $890M to $939MMay 19, 2023 to Mar 29, 2024
- Accounts · 1,093 to 1,169Apr 6, 2022 to Mar 31, 2023
- Advisory employees · 13 to 15Apr 6, 2022 to Mar 31, 2023
- Charity clients · unset to 2.0Apr 6, 2022 to Mar 31, 2023
Signals
8 dated events
- J••••• S•••• A•••••••• left A•••• G••••• A•••••••• L•• for O•••••••• F•••••••• S••••••• L•• (registered 2024-09-11)Jun 26, 2024 · Advisor changed firm · fact
- T••••• A• W••••• left A•••• G••••• A•••••••• L•• for P••• F•••••••• A••••••• (registered 2023-03-15)Apr 3, 2023 · Advisor changed firm · fact
- A•••• G••••• A•••••••• L•• reported RAUM $889.6M, up 30% from $686.5M (2022-04-06 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- A•••• G••••• A•••••••• L•• reported RAUM $637.5M, up 31% from $486.0M (2022-02-03 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- A•••• G••••• A•••••••• L•• reported RAUM $486.0M, up 39% from $348.5M (2020-11-12 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- A•••• G••••• A•••••••• L•• reported RAUM $254.6M, down 49% from $496.0M (2018-05-01 to 2018-05-07)May 7, 2018 · RAUM change · derived
- A•••• G••••• A•••••••• L•• reported RAUM $496.0M, up 133% from $212.8M (2017-08-09 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- H••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 6, 2017 · 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 email
- info@arkosglobal.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 346-352-2360reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/arkosglobaladvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- arkosglobal.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (346) 352-2360reportedpublic record, Form ADV, May 12, 2026
- Team page
- arkosglobal.com/team-membersreportedpublished by the firm, firm site, Sep 15, 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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026