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
3• N•••• C•••••• M••••••••• L••
Latest filing Feb 2, 2026
First filing on the tape Nov 24, 2021 · 8 filings
SEC status approved since Jan 3, 2022
RAUM
$2.7B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$890M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$2.7B as of Feb 2, 2026
Mar 3, 2023$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 2, 2026
Mar 3, 20230 then
Employees (5.A)4 as of Feb 2, 2026
Mar 3, 20233 then
Private funds: no history
RAUM +14% over the last fiscal year+26% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $890MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $534MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
- Charitable organizations$2.7B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 5reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• A••••• F•••••Chartered Financial Analyst | Bentonville, Ar | Mar 22, 2022 | 33 y | 0 |
| C•••••• A••• K•••••• | Bentonville, Ar | May 24, 2022 | 18 y | 0 |
| T•••• M•••••• S•••••••• | Bentonville, Ar | Aug 25, 2022 | 11 y | 1 |
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
- T•••• M•••••• S•••••••• from J•••••• W••••• I•••Aug 25, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• M•••• A••••• · Chief Investment Officer, Chief Executive Officer & Chief Compliance Officercontrolsince 09/2021 · owns 50% to 75%
- K••••••• C••••••• A••• · Head Of Private Investments, Chief Operating Officer & Chief Financial Officercontrolsince 09/2021 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Bentonville, Ar · principal | 3 | 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
- low discretionary shareStatic outlier · filing Feb 2, 2026discretionary share of RAUM of 0% against a peer median of 99% (121 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: institutional managers, $1B to $5B (121) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 4 to 5Feb 5, 2025 to Feb 2, 2026
- Charity clients · unset to 5.0Feb 5, 2025 to Feb 2, 2026
- Non-discretionary RAUM · $2.3B to $2.7BFeb 5, 2025 to Feb 2, 2026
- RAUM · $2.3B to $2.7BFeb 5, 2025 to Feb 2, 2026
- Accounts · 3 to 4Feb 16, 2024 to Feb 5, 2025
- Employees · 3 to 4Feb 16, 2024 to Feb 5, 2025
- Financial planning clients · 0 to 0Feb 16, 2024 to Feb 5, 2025
- State-registered IARs · 0 to 3Feb 16, 2024 to Feb 5, 2025
- Non-discretionary RAUM · $1.8B to $2.3BFeb 16, 2024 to Feb 5, 2025
- RAUM · $1.8B to $2.3BFeb 16, 2024 to Feb 5, 2025
- Accounts · 1 to 3Mar 3, 2023 to Feb 16, 2024
- Non-discretionary RAUM · $1.3B to $1.8BMar 3, 2023 to Feb 16, 2024
- RAUM · $1.3B to $1.8BMar 3, 2023 to Feb 16, 2024
- HNW RAUM · 0.0 to unsetMay 2, 2022 to Mar 3, 2023
- Individual RAUM · 0.0 to unsetMay 2, 2022 to Mar 3, 2023
- Non-discretionary RAUM · $1.5B to $1.3BMay 2, 2022 to Mar 3, 2023
- Pooled vehicle RAUM · 0.0 to unsetMay 2, 2022 to Mar 3, 2023
- RAUM · $1.5B to $1.3BMay 2, 2022 to Mar 3, 2023
- Accounts · 0 to 1Mar 17, 2022 to May 2, 2022
- Advisory employees · 2 to 3Mar 17, 2022 to May 2, 2022
- Advisory activities · 3 to 4Mar 17, 2022 to May 2, 2022
- Employees · 2 to 3Mar 17, 2022 to May 2, 2022
- Non-discretionary RAUM · $0 to $1.5BMar 17, 2022 to May 2, 2022
- RAUM · $0 to $1.5BMar 17, 2022 to May 2, 2022
Signals
3 dated events
- 3• N•••• C•••••• M••••••••• L•• reported RAUM $2.3B, up 30% from $1.8B (2024-02-16 to 2025-02-05)Feb 5, 2025 · RAUM change · derived
- 3• N•••• C•••••• M••••••••• L•• reported RAUM $1.8B, up 36% from $1.3B (2023-03-03 to 2024-02-16)Feb 16, 2024 · RAUM change · derived
- 3• N•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 24, 2021 · 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
- 3•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 479-250-9540reportedpublic record, Form ADV, Feb 2, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $890Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026