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
H•••••• C•••••• I••••••••• I•••
Latest filing Mar 26, 2026
First filing on the tape Dec 26, 2018 · 9 filings
SEC status approved since Sep 30, 2025
RAUM
$127M
reported, Item 5.F
Discretionary
30%
of RAUM
Private clients
30%
$38.3M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$25.5M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$127M as of Mar 26, 2026
Aug 29, 2025$112M then
HNW client RAUM$17.3M as of Mar 26, 2026
Aug 29, 2025$15.9M then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Aug 29, 20253 then
Employees (5.A)6 as of Mar 26, 2026
Aug 29, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $25.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $70,217derivedHNW RAUM over HNW clients
- Average account
- $235,212derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 30%derivedof RAUM
- Institutional
- 70%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publicationsreportedItem 5.G
- Custody
- $32.6M, 196 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$89.2M70%
- Individuals$20.9M16%
- High-net-worth individuals$17.3M14%
- Individual clients
- 23reported
- HNW clients
- 247reported
- Pension plan clients
- 49reported
- Charitable clients
- n/areported
- Accounts
- 542reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $32.6M for 196 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.3 fund_share=0.0 institutional_share=0.7 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• M••••••• | Little Rock, Ar | Feb 1, 2019 | 12 y | 1 |
| M•••••• J•••• D••••• | Little Rock, Ar | Jan 30, 2024 | 12 y | 0 |
| W••••• C••••••• A•••• W••••• | Little Rock, Ar | Jan 1, 2025 | 10 y | 0 |
| A•• K•••••••• L•••••• | Little Rock, Ar | Jun 12, 2025 | 40 y | 5 |
| J••••••• M••••• R••••••• | Little Rock, Ar | Jul 16, 2025 | 10 y | 2 |
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
- J••••••• M••••• R••••••• from T•• A••••••• F•••••••• G••••• I•••Jul 16, 2025 · RIA to RIA
- A•• K•••••••• L•••••• from A••••••••• F•••••••• S•••••••• L••Jun 12, 2025 · Affiliated broker-dealer or bank to independent RIA
- C••• M••••••• from E••••• J••••Feb 1, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• G•••• L•••• · Presidentcontrolsince 03/2015 · owns 75% or more
- M•••••••• C••• · Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Little Rock, Ar · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 26, 2026institutional share of RAUM of 70% against a peer median of 0% (5676 comparable advisers, 100.0th percentile, 23.5 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 514 to 542Aug 29, 2025 to Mar 26, 2026
- Advisory employees · 3 to 4Aug 29, 2025 to Mar 26, 2026
- HNW clients · 23 to 247Aug 29, 2025 to Mar 26, 2026
- Individual clients · 247 to 23Aug 29, 2025 to Mar 26, 2026
- Assets in custody · $14.6M to $32.6MAug 29, 2025 to Mar 26, 2026
- Employees · 4 to 6Aug 29, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 1-10Aug 29, 2025 to Mar 26, 2026
- State-registered IARs · 3 to 0Aug 29, 2025 to Mar 26, 2026
- Discretionary RAUM · $34.0M to $38.3MAug 29, 2025 to Mar 26, 2026
- HNW RAUM · $15.9M to $17.3MAug 29, 2025 to Mar 26, 2026
- Individual RAUM · $18.1M to $20.9MAug 29, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $78.3M to $89.2MAug 29, 2025 to Mar 26, 2026
- Pension RAUM · $78.3M to $89.2MAug 29, 2025 to Mar 26, 2026
- RAUM · $112M to $127MAug 29, 2025 to Mar 26, 2026
- Accounts · 11 to 514Jun 20, 2019 to Aug 29, 2025
- Advisory employees · 1 to 3Jun 20, 2019 to Aug 29, 2025
- HNW clients · unset to 23.0Jun 20, 2019 to Aug 29, 2025
- Individual clients · 8 to 247Jun 20, 2019 to Aug 29, 2025
- Pension plan clients · unset to 49.0Jun 20, 2019 to Aug 29, 2025
- Assets in custody · unset to 14590559.0Jun 20, 2019 to Aug 29, 2025
- Custody of client assets · false to trueJun 20, 2019 to Aug 29, 2025
- Employees · 2 to 4Jun 20, 2019 to Aug 29, 2025
- Financial planning clients · 0 to 0Jun 20, 2019 to Aug 29, 2025
- State-registered IARs · 1 to 3Jun 20, 2019 to Aug 29, 2025
- Discretionary RAUM · $155,805 to $34.0MJun 20, 2019 to Aug 29, 2025
- HNW RAUM · unset to 15917987.0Jun 20, 2019 to Aug 29, 2025
- Individual RAUM · $414,339 to $18.1MJun 20, 2019 to Aug 29, 2025
- Non-discretionary RAUM · $258,534 to $78.3MJun 20, 2019 to Aug 29, 2025
- Pension RAUM · unset to 78288753.0Jun 20, 2019 to Aug 29, 2025
- RAUM · $414,339 to $112MJun 20, 2019 to Aug 29, 2025
- Advisory activities · 3 to 4Apr 30, 2019 to Jun 6, 2019
- Financial planning clients · unset to 0Apr 30, 2019 to Jun 6, 2019
- Accounts · 0 to 11Jan 30, 2019 to Apr 30, 2019
- Individual clients · unset to 8.0Jan 30, 2019 to Apr 30, 2019
- Discretionary RAUM · $0 to $155,805Jan 30, 2019 to Apr 30, 2019
- Individual RAUM · unset to 414339.0Jan 30, 2019 to Apr 30, 2019
- Non-discretionary RAUM · $0 to $258,534Jan 30, 2019 to Apr 30, 2019
- RAUM · $0 to $414,339Jan 30, 2019 to Apr 30, 2019
Signals
1 dated events
- H•••••• C•••••• I••••••••• I••• filed its initial SEC registration (Form ADV)Dec 26, 2018 · 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••••://WWW.H••••••CAPITALINVESTMENTS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 501-747-2656reportedpublic record, Form ADV, Mar 26, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $25.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026