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
N•••••• W•••••• L••
Latest filing Sep 4, 2026
First filing on the tape Dec 2, 2020 · 30 filings
SEC status approved since Jan 4, 2021
RAUM
$1.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$1.7B individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
15
13 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.6B as of May 21, 2026
Mar 19, 2022$558M then
HNW client RAUM$1.5B as of May 21, 2026
Mar 19, 2022$471M then
State-registered IARs (5.B.3)13 as of May 21, 2026
Mar 19, 20226 then
Employees (5.A)15 as of May 21, 2026
Mar 19, 20227 then
Private funds: no history
RAUM +20% over the last fiscal year+38% a year over threeIARs 11 to 13offices 2 to 1
Practice profile
derived from the filing of Sep 4, 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
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.7MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 8.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -40%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $605M, 197 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.7B90%
- Pension and profit-sharing plans$67.3M3.6%
- Corporations and businesses$59.5M3.2%
- Charitable organizations$28.1M1.5%
- Individuals$23.3M1.2%
- Individual clients
- 79reported
- HNW clients
- 253reported
- Pension plan clients
- 6reported
- Charitable clients
- 11reported
- Accounts
- 957reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $605M for 197 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••••• P•••••• W•••••• | Little Rock, Ar | Jan 15, 2021 | 18 y | 1 |
| J••• W•••••• K•••••Certified Financial Planner | Little Rock, Ar | Jan 15, 2021 | 11 y | 1 |
| D••••• P••••• R•••••• | Little Rock, Ar | Jan 15, 2021 | 11 y | 1 |
| B•••••• E••••• B•••••••Certified Financial Planner, Chartered Financial Analyst | Little Rock, Ar | Apr 7, 2021 | 31 y | 2 |
| J•••••• P••• R••••••• | Little Rock, Ar | Apr 17, 2023 | 14 y | 0 |
| C•••••• M•••• M•••••••Certified Financial Planner | Little Rock, Ar | Oct 2, 2023 | 16 y | 0 |
| B•••• A•••••Certified Financial Planner | Little Rock, Ar | Dec 15, 2023 | 16 y | 2 |
| J••••• L• B••••Certified Financial Planner | Little Rock, Ar | Jan 23, 2024 | 12 y | 1 |
| G•••• W•••••• S•••••••• | Little Rock, Ar | Oct 19, 2024 | 11 y | 0 |
| T••••• W•••••• B•••• | Little Rock, Ar | Nov 12, 2024 | 14 y | 0 |
| R••••• B•••• B••••• | Laurel Hill, Fl | Feb 24, 2025 | 20 y | 5 |
| C••••• R••••••• | Little Rock, Ar | Oct 13, 2025 | 11 y | 0 |
| M•••••• K••• E•••• | Little Rock, Ar | Nov 3, 2025 | 39 y | 5 |
| N••••• H•••• | Little Rock, Ar | May 11, 2026 | 18 y | 0 |
| L•••• D••• R•••••Chartered Financial Analyst | Carlsbad, Ca | May 21, 2026 | 12 y | 3 |
| N••• A••••• S•••• | Little Rock, Ar | May 27, 2026 | 10 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- A••••• B••• F••••• D•••••••• to U•••••• W••••• P•••••••Jun 30, 2025 · RIA to RIA
- R•••••• A• D•••••••• to U•••••• W••••• P•••••••Jun 30, 2025 · RIA to RIA
Joined, latest
- L•••• D••• R••••• from I••••••••• D••••• A•••••••• L••May 21, 2026 · RIA to RIA
- M•••••• K••• E•••• from L•••• F••• A••••••• S•••••••Nov 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- R••••• B•••• B••••• from R•••••••• A•••••••Feb 24, 2025 · RIA to RIA
- J••••• L• B•••• from S•••••••Jan 23, 2024 · Affiliated broker-dealer or bank to independent RIA
- B•••• A••••• from G•••••• A•• G•••••••• W••••• A••••••• L••Dec 15, 2023 · Other
- A••••• B••• F••••• D•••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Apr 14, 2023 · Affiliated broker-dealer or bank to independent RIA
- R•••••• A• D•••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Apr 14, 2023 · Affiliated broker-dealer or bank to independent RIA
- B•••••• E••••• B••••••• from S•••••••Apr 7, 2021 · Affiliated broker-dealer or bank to independent RIA
- L•••••• P•••••• W•••••• from S•••••••Jan 15, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- J••• W•••••• K••••• from S•••••••Jan 15, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- D••••• P••••• R•••••• from S•••••••Jan 15, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for U•••••• W••••• P•••••••Jun 30, 2025 · Rochester, Ny
- 2 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••Apr 26, 2023 · Rochester, Ny
- 4 joined from S•••••••Jan 29, 2021 · Little Rock, Ar
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••••• L• · Chief Operating Officercontrolsince 01/2021 · owns less than 5%
- B•••••••• B••••••• E••••• · Chief Executive Officercontrolsince 03/2021 · owns less than 5%
- K•••••• J•••• W•••••• · Chief Investment Officercontrolsince 01/2021 · owns less than 5%
- R••••••• D•••••• P••••• · Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- W••••••• L••••••• P•••••• · Presidentcontrolsince 01/2021 · owns less than 5%
- B•••••••• B••••••• E••••• · Trusteecontrolsince 08/2004 · owns F of B•••••• E••••• B••••••• L••••• R•••••••• T••••
Entity owners
- N•••••• H•••••••• L•• · Managing Memberdirect · owns 75% or more
- B•• L•••••• P••••••••• L••• · Memberindirect · owns 75% or more of C•••••• T•• H•••••••• L••
- B•••••• E••••• B••••••• L••••• R•••••••• T•••• · General Partnerindirect · owns 75% or more of B•• L•••••• P••••••••• L•••
- C•••••• T•• H•••••••• L•• · Memberindirect · owns 75% or more of N•••••• H•••••••• L••
Related persons
Schedule D 7.A
- N•••••• I••••••••• L••real estaten
Advisers that list N•••••• W•••••• L•• as a related person
- 309173 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Little Rock, Ar · principal | 16 | 5 | 0 | ||
| Rochester, Ny | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Rochester, NY2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 5, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $1,554,048,979 to $1,601,900,000, advisors 11 to 13, private clients 504 to 303, offices 2 to 1 (2025-03-25 to 2026-03-05)peers: independent wealth managers, $1B to $5B (1,362)
- client count collapseChange between filings · filing Mar 5, 2026individual and HNW clients (Item 5.D) moved from 504.0 to 303.0 (-40.0%) between the annual amendments of 2025-03-25 and 2026-03-05; the peer median change was +5.0% (1132 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,132) · 1.5% percentile
What changed
consecutive filings, newest first
- Accounts · 967 to 957May 21, 2026 to Sep 4, 2026
- Charity clients · unset to 11.0May 21, 2026 to Sep 4, 2026
- Corporate clients · 5 to 12May 21, 2026 to Sep 4, 2026
- HNW clients · 233 to 253May 21, 2026 to Sep 4, 2026
- Individual clients · 70 to 79May 21, 2026 to Sep 4, 2026
- Pension plan clients · unset to 6.0May 21, 2026 to Sep 4, 2026
- Financial planning clients · 11-25 to 11-25May 21, 2026 to Sep 4, 2026
- Discretionary RAUM · $1.6B to $1.9BMay 21, 2026 to Sep 4, 2026
- HNW RAUM · $1.5B to $1.7BMay 21, 2026 to Sep 4, 2026
- Individual RAUM · $16.9M to $23.3MMay 21, 2026 to Sep 4, 2026
- Pension RAUM · $30.6M to $67.3MMay 21, 2026 to Sep 4, 2026
- RAUM · $1.6B to $1.9BMay 21, 2026 to Sep 4, 2026
- Succession · false to unsetMay 21, 2026 to Sep 4, 2026
- Accounts · 1,022 to 967Jul 30, 2025 to Mar 5, 2026
- Advisory employees · 11 to 13Jul 30, 2025 to Mar 5, 2026
- Charity clients · 5.0 to unsetJul 30, 2025 to Mar 5, 2026
- Corporate clients · 33 to 5Jul 30, 2025 to Mar 5, 2026
- HNW clients · 216 to 233Jul 30, 2025 to Mar 5, 2026
- Individual clients · 73 to 70Jul 30, 2025 to Mar 5, 2026
- Assets in custody · $375M to $605MJul 30, 2025 to Mar 5, 2026
- Employees · 17 to 15Jul 30, 2025 to Mar 5, 2026
- Financial planning clients · 1-10 to 11-25Jul 30, 2025 to Mar 5, 2026
- State-registered IARs · 11 to 13Jul 30, 2025 to Mar 5, 2026
- Discretionary RAUM · $1.5B to $1.6BJul 30, 2025 to Mar 5, 2026
- HNW RAUM · $1.2B to $1.5BJul 30, 2025 to Mar 5, 2026
- Individual RAUM · $27.8M to $16.9MJul 30, 2025 to Mar 5, 2026
- Pension RAUM · $49.5M to $30.6MJul 30, 2025 to Mar 5, 2026
- RAUM · $1.5B to $1.6BJul 30, 2025 to Mar 5, 2026
- Accounts · 1,261 to 1,022Mar 25, 2025 to Jul 30, 2025
- Charity clients · unset to 5.0Mar 25, 2025 to Jul 30, 2025
- Corporate clients · unset to 33.0Mar 25, 2025 to Jul 30, 2025
- HNW clients · 253 to 216Mar 25, 2025 to Jul 30, 2025
- Individual clients · 251 to 73Mar 25, 2025 to Jul 30, 2025
- Financial planning clients · 1-10 to 1-10Mar 25, 2025 to Jul 30, 2025
- Other offices · 2 to 1Mar 25, 2025 to Jul 30, 2025
- Discretionary RAUM · $1.6B to $1.5BMar 25, 2025 to Jul 30, 2025
- HNW RAUM · $1.4B to $1.2BMar 25, 2025 to Jul 30, 2025
- Individual RAUM · $93.9M to $27.8MMar 25, 2025 to Jul 30, 2025
- Pension RAUM · $30.8M to $49.5MMar 25, 2025 to Jul 30, 2025
- RAUM · $1.6B to $1.5BMar 25, 2025 to Jul 30, 2025
Signals
15 dated events
- R•••••• A• D•••••••• left N•••••• W•••••• L•• for U•••••• W••••• P••••••• (registered 2025-06-25)Jun 30, 2025 · Advisor changed firm · fact
- A••••• B••• F••••• D•••••••• left N•••••• W•••••• L•• for U•••••• W••••• P••••••• (registered 2025-06-25)Jun 30, 2025 · Advisor changed firm · fact
- 2 advisors left N•••••• W•••••• L•• (Rochester, NY) for U•••••• W••••• P••••••• on the same dayJun 30, 2025 · Team lift-out · derived
- N•••••• W•••••• L•• reported RAUM $1.1B, up 41% from $785.9M (2023-09-21 to 2023-11-16)Nov 16, 2023 · RAUM change · derived
- 2 advisors left C•••••••• I••••••••• R••••••• A•••••••• I••• (Rochester, NY) for N•••••• W•••••• L•• on the same dayApr 26, 2023 · Team lift-out · derived
- N•••••• W•••••• L•• reported RAUM $715.0M, up 28% from $558.2M (2022-11-29 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- William Jay Hummel (Managing Member) no longer on Schedule A of N•••••• W•••••• L•• (listed 2021-07-20, absent 2021-09-09)Sep 9, 2021 · Control person left · inference
- Graham John Phoenix (Managing Member) no longer on Schedule A of N•••••• W•••••• L•• (listed 2021-07-20, absent 2021-09-09)Sep 9, 2021 · Control person left · inference
- N•••••• W•••••• L•• reported RAUM $458.5M, up 351% from $101.7M (2021-02-11 to 2021-04-23)Apr 23, 2021 · RAUM change · derived
- Edward Bentley Blackmon (Chief Executive Officer) appeared on Schedule A of N•••••• W•••••• L••Apr 23, 2021 · Control person joined · fact
- William John Kornet (Chief Investment Officer) appeared on Schedule A of N•••••• W•••••• L••Apr 23, 2021 · Control person joined · fact
- L. Jordan Bauer (Chief Operating Officer) appeared on Schedule A of N•••••• W•••••• L••Apr 23, 2021 · Control person joined · fact
- Patton Daniel Russell (Chief Compliance Officer) appeared on Schedule A of N•••••• W•••••• L••Jan 15, 2021 · Control person joined · fact
- Phillip Lyndell Worthen (President) appeared on Schedule A of N•••••• W•••••• L••Jan 15, 2021 · Control person joined · fact
- N•••••• W••••• L•• filed its initial SEC registration (Form ADV)Dec 2, 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
- Firm profile
- linkedin.com/company/naviterwealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- naviterwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (501) 333-9800reportedpublic record, Form ADV, Sep 4, 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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026