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
S• B•••••• A•••• M••••••••• I•••
Latest filing Feb 6, 2026
First filing on the tape Apr 1, 2020 · 11 filings
SEC status approved since Apr 30, 2020
RAUM
$27.4M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$27.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$27.4M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$27.4M as of Feb 6, 2026
Jan 29, 2021$0 then
HNW client RAUM$6.8M as of Feb 6, 2026
Feb 14, 2024$5.6M then
State-registered IARs (5.B.3)1 as of Feb 6, 2026
Jan 29, 20211 then
Employees (5.A)1 as of Feb 6, 2026
Jan 29, 20211 then
Private funds: no history
RAUM +111% over the last fiscal year+31% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $27.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $396,928derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +111%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +86%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$20.6M75%
- High-net-worth individuals$6.8M25%
- Individual clients
- 66reported
- HNW clients
- 3reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 69reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• K••••• | Conway, Ar | Jun 16, 2016 | 38 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• R••••• · Ceo, Ccocontrolsince 02/2020 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 38 to 69Jan 29, 2025 to Feb 6, 2026
- Individual clients · 34 to 66Jan 29, 2025 to Feb 6, 2026
- Individual RAUM · $6.2M to $20.6MJan 29, 2025 to Feb 6, 2026
- Non-discretionary RAUM · $13.0M to $27.4MJan 29, 2025 to Feb 6, 2026
- RAUM · $13.0M to $27.4MJan 29, 2025 to Feb 6, 2026
- Accounts · 37 to 38Feb 14, 2024 to Jan 29, 2025
- Financial planning clients · 0 to 0Feb 14, 2024 to Jan 29, 2025
- HNW RAUM · $5.6M to $6.8MFeb 14, 2024 to Jan 29, 2025
- Individual RAUM · $6.3M to $6.2MFeb 14, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $11.9M to $13.0MFeb 14, 2024 to Jan 29, 2025
- RAUM · $11.9M to $13.0MFeb 14, 2024 to Jan 29, 2025
- Accounts · 33 to 37Feb 10, 2023 to Feb 14, 2024
- HNW clients · unset to 3.0Feb 10, 2023 to Feb 14, 2024
- Individual clients · 33 to 34Feb 10, 2023 to Feb 14, 2024
- HNW RAUM · unset to 5588091.0Feb 10, 2023 to Feb 14, 2024
- Individual RAUM · $12.1M to $6.3MFeb 10, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $12.1M to $11.9MFeb 10, 2023 to Feb 14, 2024
- RAUM · $12.1M to $11.9MFeb 10, 2023 to Feb 14, 2024
- Accounts · 34 to 33Aug 8, 2022 to Feb 10, 2023
- Individual clients · 34 to 33Aug 8, 2022 to Feb 10, 2023
- Individual RAUM · $12.6M to $12.1MAug 8, 2022 to Feb 10, 2023
- Non-discretionary RAUM · $12.6M to $12.1MAug 8, 2022 to Feb 10, 2023
- RAUM · $12.6M to $12.1MAug 8, 2022 to Feb 10, 2023
- Accounts · 0 to 34Mar 1, 2022 to Aug 8, 2022
- Individual clients · 0 to 34Mar 1, 2022 to Aug 8, 2022
- Financial planning clients · unset to 0Mar 1, 2022 to Aug 8, 2022
- Individual RAUM · $0 to $12.6MMar 1, 2022 to Aug 8, 2022
- Non-discretionary RAUM · $0 to $12.6MMar 1, 2022 to Aug 8, 2022
- RAUM · $0 to $12.6MMar 1, 2022 to Aug 8, 2022
- Related broker-dealer · false to trueJan 29, 2021 to Jun 8, 2021
Signals
1 dated events
- S• B•••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Apr 1, 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
- 479-967-1200reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 479-967-9344reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 479-967-1200reportedpublic record, Form ADV, Feb 6, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $27.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026