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
F••••• L••••• P•••••••
Legal name F•• W••••• M••••••••• L••
Latest filing Aug 14, 2026
First filing on the tape Jun 27, 2024 · 6 filings
SEC status approved since Jul 29, 2024
RAUM
$169M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
96%
$162M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$56.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$169M as of Aug 14, 2026
Feb 20, 2025$136M then
HNW client RAUM$67.8M as of Aug 14, 2026
Feb 20, 2025$76.5M then
State-registered IARs (5.B.3)3 as of Aug 14, 2026
Feb 20, 20253 then
Employees (5.A)3 as of Aug 14, 2026
Feb 20, 20253 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Aug 14, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $56.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $202,324derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$93.8M55%
- High-net-worth individuals$67.8M40%
- Pension and profit-sharing plans$7.0M4.1%
- Corporations and businesses$534,1960.3%
- Individual clients
- 294reported
- HNW clients
- 33reported
- Pension plan clients
- 13reported
- Charitable clients
- 0reported
- Accounts
- 836reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $32.8M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• C•••• W•••••• | Bentonville, Ar | Jun 21, 2018 | 22 y | 1 |
| F•••••••• W•••••• M••••• | Lafayette, La | Dec 17, 2018 | 14 y | 2 |
| B•••• H••••• P•••••• | Bentonville, Ar | Dec 1, 2023 | 19 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- B•••• H••••• P•••••• from T••••••• I••••••••• M••••••••• I•••Dec 1, 2023 · Affiliated broker-dealer or bank to independent RIA
- F•••••••• W•••••• M••••• from A• W••••• M••••••••• L••Dec 17, 2018 · RIA to RIA
- D•••• C•••• W•••••• from A• W••••• M••••••••• L••Jun 21, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• D••••• C•••• · Managing Member And Chief Compliance Officercontrolsince 02/2018 · 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 |
|---|---|---|---|---|---|
| Bentonville, Ar · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lafayette, LA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Apr 7, 2026HNW share of RAUM moved from 56.0% to 40.0% between the annual amendments of 2025-02-20 and 2026-04-07peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 713 to 836Oct 7, 2025 to Feb 20, 2026
- HNW clients · 35 to 33Oct 7, 2025 to Feb 20, 2026
- Individual clients · 271 to 294Oct 7, 2025 to Feb 20, 2026
- Pension plan clients · 18 to 13Oct 7, 2025 to Feb 20, 2026
- Financial planning clients · 101-250 to 251-500Oct 7, 2025 to Feb 20, 2026
- Discretionary RAUM · $132M to $166MOct 7, 2025 to Feb 20, 2026
- HNW RAUM · $76.5M to $67.8MOct 7, 2025 to Feb 20, 2026
- Individual RAUM · $52.7M to $93.8MOct 7, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $3.6M to $2.7MOct 7, 2025 to Feb 20, 2026
- Pension RAUM · $6.0M to $7.0MOct 7, 2025 to Feb 20, 2026
- RAUM · $136M to $169MOct 7, 2025 to Feb 20, 2026
- Wrap assets (manager) · $136M to $32.8MOct 7, 2025 to Feb 20, 2026
- Accounts · 744 to 713Jun 27, 2024 to Feb 20, 2025
- HNW clients · 32 to 35Jun 27, 2024 to Feb 20, 2025
- Individual clients · 234 to 271Jun 27, 2024 to Feb 20, 2025
- Pension plan clients · 15 to 18Jun 27, 2024 to Feb 20, 2025
- Financial planning clients · 251-500 to 101-250Jun 27, 2024 to Feb 20, 2025
- Discretionary RAUM · $105M to $132MJun 27, 2024 to Feb 20, 2025
- HNW RAUM · $52.1M to $76.5MJun 27, 2024 to Feb 20, 2025
- Individual RAUM · $50.5M to $52.7MJun 27, 2024 to Feb 20, 2025
- Non-discretionary RAUM · $7.0M to $3.6MJun 27, 2024 to Feb 20, 2025
- Pension RAUM · $9.2M to $6.0MJun 27, 2024 to Feb 20, 2025
- RAUM · $112M to $136MJun 27, 2024 to Feb 20, 2025
- Wrap assets (manager) · $105M to $136MJun 27, 2024 to Feb 20, 2025
Signals
1 dated events
- F••••• L••••• P••••••• filed its initial SEC registration (Form ADV)Jun 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (479) 273-3040reportedpublic record, Form ADV, Aug 14, 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
- $56.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026