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
I•••• A•••••• G••••
Legal name I•••• A•••••• G•••• L••
Latest filing Mar 16, 2026
First filing on the tape Jan 3, 2022 · 13 filings
SEC status approved since Feb 2, 2022
RAUM
$236M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
96%
$227M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$78.7M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$236M as of Mar 16, 2026
Mar 30, 2023$204M then
HNW client RAUM$126M as of Mar 16, 2026
Mar 30, 2023$132M then
State-registered IARs (5.B.3)3 as of Mar 16, 2026
Mar 30, 20233 then
Employees (5.A)5 as of Mar 16, 2026
Mar 30, 20234 then
Private funds: no history
RAUM +8.4% over the last fiscal year+5.1% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $78.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 112derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $235,392derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $1.6M, 4 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$126M53%
- Individuals$101M43%
- Corporations and businesses$4.9M2.1%
- Pension and profit-sharing plans$4.6M2.0%
- Individual clients
- 290reported
- HNW clients
- 47reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,003reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.6M for 4 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• M••••••• I••••Certified Financial Planner | Little Rock, Ar | Aug 1, 2022 | 24 y | 2 |
| A•• E•••••••• I•••• | Little Rock, Ar | Aug 1, 2022 | 24 y | 1 |
| J•••• N••••••• M•••••••••Certified Financial Planner | Little Rock, Ar | Aug 1, 2022 | 17 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
- M•••• J•• J•••••• to H•••••••• A•••••••• L••Nov 23, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- L•••• M••••••• I•••• from S••••• M•••••••••Aug 1, 2022 · RIA to RIA
- A•• E•••••••• I•••• from A••••••••• F•••••••• S•••••••• L••Aug 1, 2022 · Affiliated broker-dealer or bank to independent RIA
- J•••• N••••••• M••••••••• from A••••••••• F•••••••• S•••••••• L••Aug 1, 2022 · Affiliated broker-dealer or bank to independent RIA
- M•••• J•• J•••••• from S••••• M•••••••••Mar 8, 2022 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S••••• M•••••••••Mar 31, 2022 · North Little Rock, Ar
- 2 joined from A••••••••• F•••••••• S•••••••• L••Jan 6, 2021 · Little Rock, Ar
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- I••••• A••• E•••••••• · Director Of Operations And Chief Compliance Officercontrolsince 12/2022 · owns 25% to 50%
- I••••• L••••• M••••••• · Chief Executive Officer And Financial Plannercontrolsince 12/2022 · owns 25% to 50%
- M••••••••• J••••• N••••••• · Chief Operations Officercontrolsince 01/2024 · owns 10% to 25%
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 | 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
- business activity changedChange between filings · filing Mar 16, 2026selection of other advisers (Item 5.G.7): no on the filing of 2026-01-06, yes on the filing of 2026-03-16peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,004 to 1,003Jan 6, 2026 to Mar 16, 2026
- Advisory activities · 3 to 4Jan 6, 2026 to Mar 16, 2026
- Charity clients · 0.0 to unsetJan 6, 2026 to Mar 16, 2026
- Corporate clients · 0.0 to unsetJan 6, 2026 to Mar 16, 2026
- Individual clients · 294 to 290Jan 6, 2026 to Mar 16, 2026
- Pension plan clients · 0.0 to unsetJan 6, 2026 to Mar 16, 2026
- Pooled vehicle clients · 0.0 to unsetJan 6, 2026 to Mar 16, 2026
- Assets in custody · $56.7M to $1.6MJan 6, 2026 to Mar 16, 2026
- Financial planning clients · 26-50 to 51-100Jan 6, 2026 to Mar 16, 2026
- Discretionary RAUM · $195M to $223MJan 6, 2026 to Mar 16, 2026
- HNW RAUM · $120M to $126MJan 6, 2026 to Mar 16, 2026
- Individual RAUM · $89.0M to $101MJan 6, 2026 to Mar 16, 2026
- Non-discretionary RAUM · $23.0M to $13.6MJan 6, 2026 to Mar 16, 2026
- Pension RAUM · $4.0M to $4.6MJan 6, 2026 to Mar 16, 2026
- RAUM · $218M to $236MJan 6, 2026 to Mar 16, 2026
- Accounts · 981 to 1,004Dec 20, 2024 to Mar 27, 2025
- Advisory activities · 2 to 3Dec 20, 2024 to Mar 27, 2025
- HNW clients · 68 to 47Dec 20, 2024 to Mar 27, 2025
- Individual clients · 382 to 294Dec 20, 2024 to Mar 27, 2025
- Assets in custody · $34.7M to $56.7MDec 20, 2024 to Mar 27, 2025
- Financial planning clients · 51-100 to 26-50Dec 20, 2024 to Mar 27, 2025
- Discretionary RAUM · $172M to $195MDec 20, 2024 to Mar 27, 2025
- HNW RAUM · $113M to $120MDec 20, 2024 to Mar 27, 2025
- Individual RAUM · $75.3M to $89.0MDec 20, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $20.1M to $23.0MDec 20, 2024 to Mar 27, 2025
- Pension RAUM · $3.0M to $4.0MDec 20, 2024 to Mar 27, 2025
- RAUM · $192M to $218MDec 20, 2024 to Mar 27, 2025
- Accounts · 1,005 to 981Oct 9, 2023 to Mar 27, 2024
- HNW clients · 65 to 68Oct 9, 2023 to Mar 27, 2024
- Individual clients · 386 to 382Oct 9, 2023 to Mar 27, 2024
- Commission compensation · true to falseOct 9, 2023 to Mar 27, 2024
- Assets in custody · unset to 34712076.0Oct 9, 2023 to Mar 27, 2024
- Custody of client assets · false to trueOct 9, 2023 to Mar 27, 2024
- Employees · 4 to 5Oct 9, 2023 to Mar 27, 2024
- Discretionary RAUM · $187M to $172MOct 9, 2023 to Mar 27, 2024
- HNW RAUM · $132M to $113MOct 9, 2023 to Mar 27, 2024
- Individual RAUM · $67.8M to $75.3MOct 9, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $16.6M to $20.1MOct 9, 2023 to Mar 27, 2024
- Pension RAUM · $2.5M to $3.0MOct 9, 2023 to Mar 27, 2024
- RAUM · $204M to $192MOct 9, 2023 to Mar 27, 2024
Signals
4 dated events
- Nicholas James Merriweather (Chief Operations Officer) appeared on Schedule A of I•••• A•••••• G••••Mar 27, 2024 · Control person joined · fact
- M•••• J•• J•••••• left I•••• A•••••• G•••• for H•••••••• A•••••••• L•• (registered 2022-11-29)Nov 23, 2022 · a•••••• firm change · fact
- 2 advisors left S••••• M••••••••• (North Little Rock, AR) for I•••• A•••••• G•••• on the same dayMar 31, 2022 · Team lift-out · derived
- I•••• A•••••• G•••• filed its initial SEC registration (Form ADV)Jan 3, 2022 · 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
- 501-588-2119reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 501-614-4700reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-285-6892reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- i•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (501) 614-4700reportedpublic record, Form ADV, Mar 16, 2026
- Team page
- i•••••••••.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
- $78.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026