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
Bass And Bell, Inc.
Latest filing Mar 25, 2026
First filing on the tape Jan 30, 2019 · 12 filings
SEC status approved since Feb 11, 2019
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$888M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$146M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.0B as of Mar 25, 2026
Mar 30, 2020$387M then
HNW client RAUM$810M as of Mar 25, 2026
Mar 30, 2020$277M then
State-registered IARs (5.B.3)6 as of Mar 25, 2026
Mar 30, 20203 then
Employees (5.A)6 as of Mar 25, 2026
Mar 30, 20204 then
Private funds: no history
RAUM +17% over the last fiscal year+23% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Mar 25, 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
- $146MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $775,263derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$810M79%
- Charitable organizations$83.5M8.1%
- Individuals$78.5M7.7%
- Pension and profit-sharing plans$34.6M3.4%
- Corporations and businesses$18.3M1.8%
- Individual clients
- 109reported
- HNW clients
- 220reported
- Pension plan clients
- 15reported
- Charitable clients
- 7reported
- Accounts
- 1,322reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Christopher D BellCertified Financial Planner | Little Rock, Ar | Apr 1, 2019 | 19 y | 2 |
| Robert W Bass | Little Rock, Ar | Apr 1, 2019 | 39 y | 3 |
| Deborah Kelley Neumann | Little Rock, Ar | May 1, 2019 | 40 y | 2 |
| Diana K Gray | Little Rock, Ar | Dec 7, 2020 | 33 y | 1 |
| Anderson Woods Bass | Little Rock, Ar | Aug 14, 2023 | 10 y | 0 |
| Victoria Lynn Page | Little Rock, Ar | Jun 26, 2025 | 12 y | 1 |
| Adams Edward PryorCertified Financial Planner | Little Rock, Ar | Aug 26, 2026 | 10 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
none on the tape
Joined, latest
- Victoria Lynn Page from LPL Financial LLCJun 26, 2025 · Affiliated broker-dealer or bank to independent RIA
- Diana K Gray from Morgan Stanley & Co. LLCDec 7, 2020 · Other
- Deborah Kelley Neumann from Raymond James & Associates, Inc.May 1, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- Robert W Bass from Raymond James & Associates, Inc.Apr 1, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- Christopher D Bell from Raymond James & Associates, Inc.Apr 1, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Raymond James & Associates, Inc.Apr 2, 2019 · Little Rock, Ar
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Woods Anderson Bass · Chief Compliance Officercontrolsince 02/2026 · owns less than 5%
- W Robert Bass · Vice Presidentcontrolsince 02/2026 · owns 10% to 25%
- D Christopher Bell · Presidentcontrolsince 02/2026 · 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 |
|---|---|---|---|---|---|
| Little Rock, Ar · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 25, 2026Bass, Anderson, Woods (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2019-01-30 and 2026-03-25peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 1,145 to 1,322Jan 29, 2025 to Mar 25, 2026
- Advisory employees · 5 to 6Jan 29, 2025 to Mar 25, 2026
- Charity clients · 3 to 7Jan 29, 2025 to Mar 25, 2026
- Corporate clients · 12 to 22Jan 29, 2025 to Mar 25, 2026
- HNW clients · 197 to 220Jan 29, 2025 to Mar 25, 2026
- Individual clients · 98 to 109Jan 29, 2025 to Mar 25, 2026
- Employees · 5 to 6Jan 29, 2025 to Mar 25, 2026
- State-registered IARs · 5 to 6Jan 29, 2025 to Mar 25, 2026
- Discretionary RAUM · $875M to $1.0BJan 29, 2025 to Mar 25, 2026
- HNW RAUM · $655M to $810MJan 29, 2025 to Mar 25, 2026
- Individual RAUM · $64.5M to $78.5MJan 29, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $0 to $3.4MJan 29, 2025 to Mar 25, 2026
- Pension RAUM · $34.5M to $34.6MJan 29, 2025 to Mar 25, 2026
- RAUM · $875M to $1.0BJan 29, 2025 to Mar 25, 2026
- Accounts · 1,135 to 1,145Mar 15, 2024 to Jan 29, 2025
- Corporate clients · 11 to 12Mar 15, 2024 to Jan 29, 2025
- HNW clients · 192 to 197Mar 15, 2024 to Jan 29, 2025
- Individual clients · 103 to 98Mar 15, 2024 to Jan 29, 2025
- Pension plan clients · 14 to 15Mar 15, 2024 to Jan 29, 2025
- Financial planning clients · unset to Mar 15, 2024 to Jan 29, 2025
- Discretionary RAUM · $711M to $875MMar 15, 2024 to Jan 29, 2025
- HNW RAUM · $527M to $655MMar 15, 2024 to Jan 29, 2025
- Individual RAUM · $41.1M to $64.5MMar 15, 2024 to Jan 29, 2025
- Pension RAUM · $28.0M to $34.5MMar 15, 2024 to Jan 29, 2025
- RAUM · $711M to $875MMar 15, 2024 to Jan 29, 2025
- Accounts · 1,052 to 1,135Aug 29, 2023 to Mar 15, 2024
- Charity clients · 1 to 3Aug 29, 2023 to Mar 15, 2024
- HNW clients · 64 to 192Aug 29, 2023 to Mar 15, 2024
- Individual clients · 249 to 103Aug 29, 2023 to Mar 15, 2024
- Pension plan clients · 8 to 14Aug 29, 2023 to Mar 15, 2024
- Discretionary RAUM · $600M to $711MAug 29, 2023 to Mar 15, 2024
- HNW RAUM · $389M to $527MAug 29, 2023 to Mar 15, 2024
- Individual RAUM · $130M to $41.1MAug 29, 2023 to Mar 15, 2024
- Pension RAUM · $24.0M to $28.0MAug 29, 2023 to Mar 15, 2024
- RAUM · $600M to $711MAug 29, 2023 to Mar 15, 2024
- Accounts · 1,035 to 1,052Mar 30, 2023 to Aug 29, 2023
- Advisory employees · 4 to 5Mar 30, 2023 to Aug 29, 2023
- Charity clients · 6 to 1Mar 30, 2023 to Aug 29, 2023
- Corporate clients · 12 to 11Mar 30, 2023 to Aug 29, 2023
- HNW clients · 164 to 64Mar 30, 2023 to Aug 29, 2023
Signals
1 dated events
- Bass And Bell, Inc. filed its initial SEC registration (Form ADV)Jan 30, 2019 · 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
- 501-503-5953reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 501-664-4170reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-233-7088reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- bassandbell.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 501-664-4170reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- bassandbell.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- bassandbell.com/our-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
- $146Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026