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.
SEC-registered adviser
New Wave Wealth Advisors
Legal name New Wave Wealth Advisors LLC
Latest filing Feb 6, 2026
First filing on the tape Sep 26, 2022 · 12 filings
SEC status approved since Oct 25, 2022
RAUM
$387M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$383M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$64.5M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$387M as of Feb 6, 2026
Feb 3, 2023$0 then
HNW client RAUM$277M as of Feb 6, 2026
Feb 1, 2024$136M then
State-registered IARs (5.B.3)6 as of Feb 6, 2026
Feb 3, 20233 then
Employees (5.A)7 as of Feb 6, 2026
Feb 3, 20233 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 5 to 6
Practice profile
derived from the filing of Feb 6, 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
- RAUM per advisor
- $64.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $307,926derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$277M72%
- Individuals$106M27%
- Pension and profit-sharing plans$2.5M0.6%
- Corporations and businesses$1.0M0.3%
- Individual clients
- 385reported
- HNW clients
- 111reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 1,256reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Dustin Heath Stanley | Springdale, Ar | Oct 25, 2022 | 18 y | 2 |
| Hannah Elizabeth Stanley | Springdale, Ar | Oct 25, 2022 | 11 y | 2 |
| Tomek Andrzej Siwiec | Springdale, Ar | Oct 25, 2022 | 20 y | 2 |
| Kelly Sue Penn | Springdale, Ar | May 16, 2023 | 25 y | 3 |
| Caleb Levi Smith | Springdale, Ar | Apr 7, 2024 | 14 y | 1 |
| Miranda Dawn Dubberly | Springdale, Ar | Jul 16, 2024 | 13 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 headcount1 left over 36 months
Left, latest
- Jacqueline Fenix Rogers to Elevated Wealth LLCNov 20, 2024 · RIA to a state-registered adviser
Joined, latest
- Miranda Dawn Dubberly from Arvest Wealth ManagementJul 16, 2024 · RIA to RIA
- Caleb Levi Smith from Arvest Wealth ManagementApr 7, 2024 · RIA to RIA
- Kelly Sue Penn from Sowell ManagementMay 16, 2023 · RIA to RIA
- Jacqueline Fenix Rogers from Arvest Wealth ManagementFeb 27, 2023 · RIA to RIA
- Tomek Andrzej Siwiec from Sowell ManagementOct 25, 2022 · RIA to a newly registered adviser
- Hannah Elizabeth Stanley from Sowell ManagementOct 25, 2022 · RIA to a newly registered adviser
- Dustin Heath Stanley from Sowell ManagementOct 25, 2022 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from Sowell ManagementDec 31, 2022 · North Little Rock, Ar
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Heath Dustin Stanley · Managing Membercontrolsince 09/2022 · owns 50% to 75%
- Elizabeth Hannah Stanley · Managing Member & Ccocontrolsince 12/2022 · 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 |
|---|---|---|---|---|---|
| Springdale, Ar · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bentonville, AR1 employees
What changed
consecutive filings, newest first
- Accounts · 1,253 to 1,256Feb 18, 2025 to Feb 6, 2026
- Corporate clients · 13 to 15Feb 18, 2025 to Feb 6, 2026
- HNW clients · 170 to 111Feb 18, 2025 to Feb 6, 2026
- Individual clients · 273 to 385Feb 18, 2025 to Feb 6, 2026
- Pension plan clients · 3 to 5Feb 18, 2025 to Feb 6, 2026
- Employees · 6 to 7Feb 18, 2025 to Feb 6, 2026
- State-registered IARs · 5 to 6Feb 18, 2025 to Feb 6, 2026
- Discretionary RAUM · $315M to $387MFeb 18, 2025 to Feb 6, 2026
- HNW RAUM · $250M to $277MFeb 18, 2025 to Feb 6, 2026
- Individual RAUM · $43.1M to $106MFeb 18, 2025 to Feb 6, 2026
- Pension RAUM · $4.0M to $2.5MFeb 18, 2025 to Feb 6, 2026
- RAUM · $315M to $387MFeb 18, 2025 to Feb 6, 2026
- Accounts · 890 to 1,253Aug 27, 2024 to Feb 18, 2025
- BD registered reps · 0 to 2Aug 27, 2024 to Feb 18, 2025
- Corporate clients · 21 to 13Aug 27, 2024 to Feb 18, 2025
- HNW clients · 54 to 170Aug 27, 2024 to Feb 18, 2025
- Individual clients · 367 to 273Aug 27, 2024 to Feb 18, 2025
- Employees · 4 to 6Aug 27, 2024 to Feb 18, 2025
- Financial planning clients · 0 to 0Aug 27, 2024 to Feb 18, 2025
- State-registered IARs · 4 to 5Aug 27, 2024 to Feb 18, 2025
- Discretionary RAUM · $215M to $315MAug 27, 2024 to Feb 18, 2025
- HNW RAUM · $136M to $250MAug 27, 2024 to Feb 18, 2025
- Individual RAUM · $61.3M to $43.1MAug 27, 2024 to Feb 18, 2025
- Pension RAUM · $2.0M to $4.0MAug 27, 2024 to Feb 18, 2025
- RAUM · $215M to $315MAug 27, 2024 to Feb 18, 2025
- Accounts · 828 to 890Nov 7, 2023 to Feb 1, 2024
- Advisory employees · 3 to 4Nov 7, 2023 to Feb 1, 2024
- BD registered reps · 3 to 0Nov 7, 2023 to Feb 1, 2024
- Corporate clients · unset to 21.0Nov 7, 2023 to Feb 1, 2024
- HNW clients · 332 to 54Nov 7, 2023 to Feb 1, 2024
- Individual clients · 496 to 367Nov 7, 2023 to Feb 1, 2024
- Pension plan clients · unset to 3.0Nov 7, 2023 to Feb 1, 2024
- Employees · 3 to 4Nov 7, 2023 to Feb 1, 2024
- State-registered IARs · 3 to 4Nov 7, 2023 to Feb 1, 2024
- Discretionary RAUM · $176M to $215MNov 7, 2023 to Feb 1, 2024
- HNW RAUM · $70.5M to $136MNov 7, 2023 to Feb 1, 2024
- Individual RAUM · $106M to $61.3MNov 7, 2023 to Feb 1, 2024
- Pension RAUM · unset to 2045374.0Nov 7, 2023 to Feb 1, 2024
- RAUM · $176M to $215MNov 7, 2023 to Feb 1, 2024
- Accounts · 0 to 828Feb 3, 2023 to Feb 24, 2023
Signals
3 dated events
- Jacqueline Fenix Rogers left New Wave Wealth Advisors for Elevated Wealth Llc (registered 2024-08-30)Nov 20, 2024 · Advisor changed firm · fact
- 4 advisors left Sowell Management (North Little Rock, AR) for New Wave Wealth Advisors on the same dayDec 31, 2022 · Team lift-out · derived
- New Wealth Advisors filed its initial SEC registration (Form ADV)Sep 26, 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
- nwwa@newwavewealthadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 479-334-0297reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 479-877-2521reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 479-877-2525reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- newwavewealthadvisors.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (479) 877-2525reportedpublic record, Form ADV, Feb 6, 2026
- Contact form
- newwavewealthadvisors.com/contact-usreportedpublished 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
- $64.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026