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
G•••••••• W••••• A•••••••• L••
Latest filing Sep 1, 2026
First filing on the tape Sep 2, 2022 · 11 filings
SEC status approved since Oct 3, 2022
RAUM
$329M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
96%
$316M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$65.9M
derived; firm RAUM over IAPD count
Employees
4
4 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$329M as of Mar 13, 2026
Jan 27, 2023$167M then
HNW client RAUM$286M as of Mar 13, 2026
Jan 27, 2023$151M then
State-registered IARs (5.B.3)4 as of Mar 13, 2026
Jan 27, 20232 then
Employees (5.A)4 as of Mar 13, 2026
Jan 27, 20234 then
Private funds: no history
RAUM +17% over the last fiscal year+25% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Sep 1, 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
- $65.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $645,738derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $123M, 112 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$286M89%
- Individuals$30.2M9.4%
- Insurance companies$4.0M1.2%
- Charitable organizations$828,9850.3%
- Corporations and businesses$312,1300.1%
- Individual clients
- 64reported
- HNW clients
- 68reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 510reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $123M for 112 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• H••• G•••••••• | Little Rock, Ar | Oct 23, 2022 | 19 y | 1 |
| R•• D•••• G•••••••• | Little Rock, Ar | Oct 23, 2022 | 45 y | 1 |
| H•••••• M•••• C••••••••• | Little Rock, Ar | Mar 15, 2023 | 24 y | 3 |
| L••••••• K•••••• A••••• | Little Rock, Ar | May 31, 2023 | 32 y | 1 |
| M•••••• W•••• G••••••••Chartered Financial Analyst | Little Rock, Ar | Sep 11, 2026 | 16 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• W•••• G•••••••• from U•• F•••••••• S••••••• I•••Sep 11, 2026 · Wirehouse to independent RIA
- L••••••• K•••••• A••••• from U•• F•••••••• S••••••• I•••May 31, 2023 · Wirehouse to independent RIA
- H•••••• M•••• C••••••••• from U•• F•••••••• S••••••• I•••Mar 15, 2023 · Wirehouse to independent RIA
- R•• D•••• G•••••••• from U•• F•••••••• S••••••• I•••Oct 23, 2022 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- D•••• H••• G•••••••• from U•• F•••••••• S••••••• I•••Oct 23, 2022 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from U•• F•••••••• S••••••• I•••Nov 4, 2022 · Little Rock, Ar
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• D••••• H••• · Co-Founder & Chief Compliance Officercontrolsince 10/2022 · owns 50% to 75%
- G••••••••• R••• D•••• · Co-Foundercontrolsince 10/2022 · owns 50% to 75%
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 | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Mar 13, 2026 to Sep 1, 2026
- Related adviser · false to unsetMar 13, 2026 to Sep 1, 2026
- Related bank · false to unsetMar 13, 2026 to Sep 1, 2026
- Related broker-dealer · false to unsetMar 13, 2026 to Sep 1, 2026
- Related insurance company · false to unsetMar 13, 2026 to Sep 1, 2026
- Succession · false to unsetMar 13, 2026 to Sep 1, 2026
- Accounts · 469 to 510Nov 11, 2025 to Mar 13, 2026
- HNW clients · 66 to 68Nov 11, 2025 to Mar 13, 2026
- Individual clients · 61 to 64Nov 11, 2025 to Mar 13, 2026
- Assets in custody · $119M to $123MNov 11, 2025 to Mar 13, 2026
- Discretionary RAUM · $275M to $323MNov 11, 2025 to Mar 13, 2026
- HNW RAUM · $248M to $286MNov 11, 2025 to Mar 13, 2026
- Individual RAUM · $23.3M to $30.2MNov 11, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $5.5M to $6.0MNov 11, 2025 to Mar 13, 2026
- RAUM · $280M to $329MNov 11, 2025 to Mar 13, 2026
- Financial planning clients · 0 to 0Mar 12, 2025 to Nov 11, 2025
- Accounts · 433 to 469Feb 2, 2024 to Mar 12, 2025
- Advisory employees · 2 to 4Feb 2, 2024 to Mar 12, 2025
- BD registered reps · 4 to 1Feb 2, 2024 to Mar 12, 2025
- HNW clients · 61 to 66Feb 2, 2024 to Mar 12, 2025
- Individual clients · 65 to 61Feb 2, 2024 to Mar 12, 2025
- Assets in custody · unset to 118916252.0Feb 2, 2024 to Mar 12, 2025
- Custody of client assets · false to trueFeb 2, 2024 to Mar 12, 2025
- Discretionary RAUM · $225M to $275MFeb 2, 2024 to Mar 12, 2025
- HNW RAUM · $198M to $248MFeb 2, 2024 to Mar 12, 2025
- Individual RAUM · $22.1M to $23.3MFeb 2, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $5.2M to $5.5MFeb 2, 2024 to Mar 12, 2025
- RAUM · $230M to $280MFeb 2, 2024 to Mar 12, 2025
- Accounts · 245 to 433Nov 7, 2023 to Feb 2, 2024
- Charity clients · unset to 2.0Nov 7, 2023 to Feb 2, 2024
- Corporate clients · 2 to 3Nov 7, 2023 to Feb 2, 2024
- HNW clients · 47 to 61Nov 7, 2023 to Feb 2, 2024
- Individual clients · 31 to 65Nov 7, 2023 to Feb 2, 2024
- State-registered IARs · 2 to 4Nov 7, 2023 to Feb 2, 2024
- Discretionary RAUM · $167M to $225MNov 7, 2023 to Feb 2, 2024
- HNW RAUM · $151M to $198MNov 7, 2023 to Feb 2, 2024
- Individual RAUM · $15.4M to $22.1MNov 7, 2023 to Feb 2, 2024
- Non-discretionary RAUM · $0 to $5.2MNov 7, 2023 to Feb 2, 2024
- RAUM · $167M to $230MNov 7, 2023 to Feb 2, 2024
- Accounts · 0 to 245Oct 25, 2022 to Jan 27, 2023
Signals
6 dated events
- 4 advisors left U•• F•••••••• S••••••• I••• (Little Rock, AR) for G•••••••• W••••• A•••••••• L•• within 4 daysNov 4, 2022 · Team lift-out · derived
- G•••••••• W••••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 21, 2022 · Succession (Item 4) · fact
- David Roy G•••••••• (Co-Founder) appeared on Schedule A of G•••••••• W••••• A•••••••• L••Oct 21, 2022 · Control person joined · fact
- Hale David G•••••••• (Co-Founder & Chief Compliance Officer) appeared on Schedule A of G•••••••• W••••• A•••••••• L••Oct 21, 2022 · Control person joined · fact
- L••••• R•••••• C••• (Chief Executive Officer & Chief Compliance Officer) no longer on Schedule A of G•••••••• W••••• A•••••••• L•• (listed 2022-09-02, absent 2022-10-21)Oct 21, 2022 · Control person left · inference
- G•••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Sep 2, 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 email
- hello@gutierrezwealthadvisory.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 501-451-6900reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 501-451-6907reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/gutierrezwealthadvisoryreportedpublic record, Form ADV, Sep 18, 2026
- Website
- gutierrezwealthadvisory.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (501) 451-6900reportedpublic record, Form ADV, Sep 1, 2026
- Team page
- gutierrezwealthadvisory.com/meet-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
- $65.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026