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

Mach-1 Financial Group, LLC

Independent wealth managerRogers, ArkansasCRD 298195SEC 801-118093website IAPD

Latest filing Jul 13, 2026

First filing on the tape Jan 17, 2020 · 28 filings

SEC status approved since Feb 14, 2020

RAUM

$546M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$542M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$60.7M

derived; firm RAUM over IAPD count

Employees

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

28 filings and snapshots on the tape

RAUM$546M as of Jul 13, 2026

Feb 5, 2021$189M then

HNW client RAUM$242M as of Jul 13, 2026

Feb 5, 2021$53.6M then

State-registered IARs (5.B.3)8 as of Jul 13, 2026

Feb 5, 20213 then

Employees (5.A)20 as of Jul 13, 2026

Feb 5, 202110 then

Private funds: no history

RAUM +31% over the last fiscal year+26% a year over threeIARs 7 to 8

Practice profile

derived from the filing of Jul 13, 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
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $60.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 174derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.5MderivedHNW RAUM over HNW clients
Average account: $167,848derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.2derivedItem 5.A over advisors
Advisors per office: 9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +31%derivedbetween the last two annual amendments
Advisor growth, one year: +14%derivedItem 5.B.3 between annual amendments
Client growth, one year: +21%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Wrap fee program: $546MreportedItem 5.I
Custody: $398M, 1,656 clientsreportedItem 9.A
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
marketing includes testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$301M55%
High-net-worth individuals$242M44%
Pension and profit-sharing plans$2.1M0.4%
Corporations and businesses$1.9M0.3%

Individual clients: 1,405reported
HNW clients: 161reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3,255reported
Financial planning clients: 251-500reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $398M for 1,656 clientsreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived

Advisors registered through the firm

9 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
David Aaron Lee	Rogers, Ar	Feb 28, 2019	19 y	3
Matthew Jordan WaltersCertified Financial Planner	Rogers, Ar	Feb 28, 2019	13 y	2
Elijah David FreemanCertified Financial Planner	Rogers, Ar	Jan 5, 2022	25 y	0
James Lee Mackey	Rogers, Ar	Mar 25, 2022	31 y	3
John Edward Martfeld	Rogers, Ar	Apr 13, 2023	24 y	7
Isaac B JohnsonCertified Financial Planner	Rogers, Ar	Apr 8, 2024	18 y	0
Graham Mcdaniel Funderburk	Rogers, Ar	Mar 5, 2025	10 y	1
Nicholas Mckenney	Rogers, Ar	Jan 6, 2026	10 y	0
William Martens	Rogers, Ar	Jun 15, 2026	12 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

Ellen Maxine Masters to Masters Financial
Dec 21, 2022 · Other

Joined, latest

Graham Mcdaniel Funderburk from Arvest Wealth Management
Mar 5, 2025 · RIA to RIA
John Edward Martfeld from Level Four Advisory Services
Apr 13, 2023 · Other
James Lee Mackey from LPL Financial LLC
Mar 25, 2022 · RIA to RIA
Matthew Jordan Walters from Coppell Advisory Solutions LLC
Feb 28, 2019 · RIA to RIA
David Aaron Lee from Coppell Advisory Solutions LLC
Feb 28, 2019 · RIA to RIA

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from Coppell Advisory Solutions LLC
Dec 26, 2019 · Bentonville, Ar

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Lagene Tammy Lawler · Controllercontrol
since 02/2022 · owns less than 5%
Brent James Leas · Chief Compliance Officercontrol
since 06/2024 · owns less than 5%
Aaron David Lee · Founder & Managing Partnercontrol
since 01/2023 · owns less than 5%
Jordan Matthew Walters · Ceo & Ownercontrol
since 09/2021 · owns 10% to 25%
Aaron David Lee · Trustee Of The Lee Family Trustcontrol
since 01/2021 · owns 75% or more of Mach-1 Holdings, Inc.
Lee James Mackey · President, Coo & Owner
since 01/2023 · owns 5% to 10%

Entity owners

Mach-1 Holdings, Inc. · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

David A Lee, Inc.
real estaten

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Rogers, Ar · principal	9	2	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 2,719 to 3,255
Oct 10, 2025 to Mar 30, 2026
Advisory employees · 7 to 8
Oct 10, 2025 to Mar 30, 2026
Advisory activities · 2 to 4
Oct 10, 2025 to Mar 30, 2026
BD registered reps · 2 to 1
Oct 10, 2025 to Mar 30, 2026
HNW clients · 98 to 161
Oct 10, 2025 to Mar 30, 2026
Individual clients · 1,195 to 1,405
Oct 10, 2025 to Mar 30, 2026
Assets in custody · $280M to $398M
Oct 10, 2025 to Mar 30, 2026
Financial planning clients · to 251-500
Oct 10, 2025 to Mar 30, 2026
State-registered IARs · 7 to 8
Oct 10, 2025 to Mar 30, 2026
Discretionary RAUM · $417M to $546M
Oct 10, 2025 to Mar 30, 2026
HNW RAUM · $172M to $242M
Oct 10, 2025 to Mar 30, 2026
Individual RAUM · $243M to $301M
Oct 10, 2025 to Mar 30, 2026
Pension RAUM · unset to 2110032.0
Oct 10, 2025 to Mar 30, 2026
RAUM · $417M to $546M
Oct 10, 2025 to Mar 30, 2026
Financial planning clients · unset to
Apr 2, 2025 to Jul 8, 2025
Accounts · 3,089 to 2,719
Oct 9, 2024 to Apr 2, 2025
Advisory employees · 6 to 7
Oct 9, 2024 to Apr 2, 2025
HNW clients · 50 to 98
Oct 9, 2024 to Apr 2, 2025
Individual clients · 1,190 to 1,195
Oct 9, 2024 to Apr 2, 2025
Assets in custody · $235M to $280M
Oct 9, 2024 to Apr 2, 2025
Employees · 19 to 20
Oct 9, 2024 to Apr 2, 2025
State-registered IARs · 6 to 7
Oct 9, 2024 to Apr 2, 2025
Discretionary RAUM · $354M to $417M
Oct 9, 2024 to Apr 2, 2025
HNW RAUM · $85.2M to $172M
Oct 9, 2024 to Apr 2, 2025
Individual RAUM · $268M to $243M
Oct 9, 2024 to Apr 2, 2025
RAUM · $354M to $417M
Oct 9, 2024 to Apr 2, 2025
Wrap assets (sponsor) · $164M to $0
Oct 9, 2024 to Apr 2, 2025
Accounts · 2,827 to 3,089
Jan 19, 2024 to Mar 14, 2024
Advisory employees · 4 to 6
Jan 19, 2024 to Mar 14, 2024
BD registered reps · 1 to 2
Jan 19, 2024 to Mar 14, 2024
HNW clients · 43 to 50
Jan 19, 2024 to Mar 14, 2024
Individual clients · 988 to 1,190
Jan 19, 2024 to Mar 14, 2024
Assets in custody · $154M to $235M
Jan 19, 2024 to Mar 14, 2024
Employees · 16 to 19
Jan 19, 2024 to Mar 14, 2024
State-registered IARs · 4 to 6
Jan 19, 2024 to Mar 14, 2024
Discretionary RAUM · $271M to $354M
Jan 19, 2024 to Mar 14, 2024
HNW RAUM · $67.3M to $85.2M
Jan 19, 2024 to Mar 14, 2024
Individual RAUM · $203M to $268M
Jan 19, 2024 to Mar 14, 2024
RAUM · $271M to $354M
Jan 19, 2024 to Mar 14, 2024
Wrap assets (sponsor) · $148M to $164M
Jan 19, 2024 to Mar 14, 2024

Signals

8 dated events

Mach-1 Financial Group, Llc reported RAUM $546.3M, up 31% from $416.9M (2025-10-10 to 2026-03-30)
Mar 30, 2026 · RAUM change · derived
Brent James Leas (Chief Compliance Officer) appeared on Schedule A of Mach-1 Financial Group, Llc
Jun 14, 2024 · Control person joined · fact
Hankins Connie Blackmon (Cfo) no longer on Schedule A of Mach-1 Financial Group, Llc (listed 2024-01-19, absent 2024-03-14)
Mar 14, 2024 · Control person left · inference
Ellen Maxine Masters left Mach-1 Financial Group, Llc for Masters Financial (registered 2023-09-06)
Dec 21, 2022 · Advisor changed firm · fact
Connie Blackmon (Cfo) appeared on Schedule A of Mach-1 Financial Group, Llc
Mar 25, 2022 · Control person joined · fact
Tammy Lawler (Chief Compliance Officer) appeared on Schedule A of Mach-1 Financial Group, Llc
Mar 25, 2022 · Control person joined · fact
Jordan Matthew Walters (Coo) appeared on Schedule A of Mach-1 Financial Group, Llc
Mar 25, 2022 · Control person joined · fact
Mach-1 Financial Group, Inc. filed its initial SEC registration (Form ADV)
Jan 17, 2020 · 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: 479-876-2100reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 479-876-2960reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/mach1financialreportedpublic record, Form ADV, Sep 17, 2026
Website: mach-1financial.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 479-876-2100reportedpublic record, Form ADV, Jul 13, 2026
Team page: mach-1financial.com/teamreportedpublished 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: $60.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026