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
C••••••••• A••••••• L••
Latest filing Jul 29, 2026
First filing on the tape May 6, 2024 · 13 filings
SEC status approved since Jun 5, 2024
RAUM
$7.2M
reported, Item 5.F
Discretionary
31%
of RAUM
Private clients
100%
$7.2M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$1.8M
derived; firm RAUM over IAPD count
Employees
6
6 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$7.2M as of Jul 29, 2026
Jan 2, 2025$274M then
HNW client RAUM$0 as of Jul 29, 2026
Jan 2, 2025$243M then
State-registered IARs (5.B.3)6 as of Jul 29, 2026
Jan 2, 20259 then
Employees (5.A)6 as of Jul 29, 2026
Jan 2, 20259 then
Private funds: no history
RAUM -97% over the last fiscal yearIARs 9 to 6offices 4 to 0
Practice profile
derived from the filing of Jul 29, 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 a••••••s, one to three offices, no public reporting company control
- Mass-affluent RIA · p••••••-client s•••• at least 50 percent, non-HNW individuals at least 60 percent of p••••••-client RAUM
- RAUM per advisor
- $1.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $101,148derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 31%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- Individuals$7.2M100%
- Individual clients
- 71reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 71reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• C•••••• S••••• | Fayetteville, Ar | Mar 3, 2025 | 9 y | 0 |
| H••••• M•••••• C•••••Chartered Financial Consultant | Fayetteville, Ar | Dec 26, 2025 | 37 y | 2 |
| B•••• A•••• P•••• | Fayetteville, Ar | Sep 8, 2026 | 20 y | 4 |
| D••••• B•••• C••••••••Chartered Financial Consultant | Fayetteville, Ar | Sep 8, 2026 | 41 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount8 left over 36 months
Left, latest
- N•••••• A••••••••• P••••• to A••••••• S••••••• N••••••May 8, 2025 · RIA to RIA
- K•••••• J• U••••• to A••••••• S••••••• N••••••Apr 25, 2025 · RIA to RIA
- S•••• A•••••••• P••••• to A••••••• S••••••• N••••••Apr 25, 2025 · RIA to RIA
- G••• M••• H••••• to A••••••• S••••••• N••••••Apr 24, 2025 · RIA to RIA
- T•••• M••• H••••• to A••••••• S••••••• N••••••Apr 15, 2025 · RIA to RIA
- R••••• C••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Feb 24, 2025 · RIA to affiliated broker-dealer or bank
- C••••••• L••••• W•••• I••••• to R•••••• P•••••• W•••••Oct 9, 2024 · RIA to RIA
- C••••• Q• I••••• to B•••••••• I••••••••• G••••Oct 9, 2024 · RIA to RIA
Joined, latest
- H••••• M•••••• C••••• from C••••••••• R••••••••• I••••••••• A•••••••Dec 26, 2025 · Other
- C••••• Q• I••••• from S••••• O•• S••••••••• I•••Sep 3, 2024 · Affiliated broker-dealer or bank to independent RIA
- C••••••• L••••• W•••• I••••• from A•••••• S•••• W••••• M••••••••• L••Aug 5, 2024 · RIA to RIA
- R••••• C••••• from C••••• A••••••• L••Mar 7, 2024 · Affiliated broker-dealer or bank to independent RIA
- D••••• B•••• C•••••••• from C••••••••• R••••••••• I••••••••• A•••••••Aug 18, 2023 · Other
- K•••••• J• U••••• from C••••••••• R••••••••• I••••••••• A•••••••Apr 17, 2023 · Other
- G••• M••• H••••• from C••••••••• R••••••••• I••••••••• A•••••••Apr 14, 2023 · Other
- N•••••• A••••••••• P••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 28, 2023 · Wirehouse to independent RIA
- B•••• A•••• P•••• from C••••••••• R••••••••• I••••••••• A•••••••Jan 2, 2023 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for A••••••• S••••••• N••••••Apr 15, 2025 · Fayetteville, Ar · Firm absorbed
- 2 joined from C••••••••• R••••••••• I••••••••• A•••••••Aug 25, 2023 · Oklahoma City, Ok
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• N••••••• A••••••••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- C•••••• D••••• F•••••• · Membersince 01/2023 · owns 25% to 50% of C••••••••• F•••••••• N••••••• L••
Entity owners
- C••••••••• F•••••••• N••••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- C••••••••• F•••••••• N••••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fayetteville, Ar · principal | 4 | 3 | 0 | ||
| Conyers, Ga | 0 | 0 | 0 | ||
| Opelousas, La | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Conway, AR1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- office count dropChange between filings · filing Mar 31, 2026offices other than the principal office (Item 1.F.5) moved from 4.0 to 1.0 (-75.0%) between the annual amendments of 2025-03-20 and 2026-03-31; the peer median change was 0.0% (34 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, under $100M (34) · 3.0% percentile
What changed
consecutive filings, newest first
- Advisory employees · 7 to 6May 19, 2026 to Jul 29, 2026
- Employees · 7 to 6May 19, 2026 to Jul 29, 2026
- State-registered IARs · 7 to 6May 19, 2026 to Jul 29, 2026
- Other offices · 1 to 0May 19, 2026 to Jul 29, 2026
- Accounts · 206 to 71Mar 31, 2026 to May 19, 2026
- HNW clients · 17 to 0Mar 31, 2026 to May 19, 2026
- Individual clients · 41 to 71Mar 31, 2026 to May 19, 2026
- Discretionary RAUM · $265M to $2.2MMar 31, 2026 to May 19, 2026
- HNW RAUM · $246M to $0Mar 31, 2026 to May 19, 2026
- Individual RAUM · $31.4M to $7.2MMar 31, 2026 to May 19, 2026
- Non-discretionary RAUM · $11.7M to $4.9MMar 31, 2026 to May 19, 2026
- RAUM · $277M to $7.2MMar 31, 2026 to May 19, 2026
- Advisory employees · 5 to 7May 15, 2025 to Mar 31, 2026
- Employees · 5 to 7May 15, 2025 to Mar 31, 2026
- State-registered IARs · 5 to 7May 15, 2025 to Mar 31, 2026
- Advisory employees · 9 to 5Mar 20, 2025 to May 15, 2025
- Employees · 9 to 5Mar 20, 2025 to May 15, 2025
- Financial planning clients · 1-10 to 1-10Mar 20, 2025 to May 15, 2025
- State-registered IARs · 9 to 5Mar 20, 2025 to May 15, 2025
- Other offices · 4 to 1Mar 20, 2025 to May 15, 2025
- Other offices · 3 to 4Feb 3, 2025 to Mar 20, 2025
- Discretionary RAUM · $262M to $265MJan 2, 2025 to Feb 3, 2025
- HNW RAUM · $243M to $246MJan 2, 2025 to Feb 3, 2025
- Individual RAUM · $31.1M to $31.4MJan 2, 2025 to Feb 3, 2025
- Non-discretionary RAUM · $11.5M to $11.7MJan 2, 2025 to Feb 3, 2025
- RAUM · $274M to $277MJan 2, 2025 to Feb 3, 2025
- Other offices · 1 to 3Dec 26, 2024 to Jan 2, 2025
- Accounts · 163 to 206Sep 11, 2024 to Dec 26, 2024
- HNW clients · 152 to 17Sep 11, 2024 to Dec 26, 2024
- Individual clients · 11 to 41Sep 11, 2024 to Dec 26, 2024
- Discretionary RAUM · $183M to $262MSep 11, 2024 to Dec 26, 2024
- HNW RAUM · $124M to $243MSep 11, 2024 to Dec 26, 2024
- Individual RAUM · $58.6M to $31.1MSep 11, 2024 to Dec 26, 2024
- Non-discretionary RAUM · $0 to $11.5MSep 11, 2024 to Dec 26, 2024
- RAUM · $183M to $274MSep 11, 2024 to Dec 26, 2024
- Advisory employees · 8 to 9Aug 20, 2024 to Sep 11, 2024
- Employees · 8 to 9Aug 20, 2024 to Sep 11, 2024
- State-registered IARs · 8 to 9Aug 20, 2024 to Sep 11, 2024
- Advisory employees · 7 to 8Jul 29, 2024 to Aug 20, 2024
- Employees · 7 to 8Jul 29, 2024 to Aug 20, 2024
Signals
12 dated events
- C••••••••• A••••••• L•• reported RAUM $7.2M, down 97% from $276.9M (2026-03-31 to 2026-05-19)May 19, 2026 · RAUM change · derived
- N•••••• A••••••••• P••••• left C••••••••• A••••••• L•• for A••••••• S••••••• N•••••• (r••••••••• 2025-05-21)May 8, 2025 · a•••••• firm change · fact
- K•••••• J• U••••• left C••••••••• A••••••• L•• for A••••••• S••••••• N•••••• (r••••••••• 2025-04-28)Apr 25, 2025 · a•••••• firm change · fact
- S•••• A•••••••• P••••• left C••••••••• A••••••• L•• for A••••••• S••••••• N•••••• (r••••••••• 2025-04-28)Apr 25, 2025 · a•••••• firm change · fact
- G••• M••• H••••• left C••••••••• A••••••• L•• for A••••••• S••••••• N•••••• (r••••••••• 2025-04-24)Apr 24, 2025 · a•••••• firm change · fact
- T•••• M••• H••••• left C••••••••• A••••••• L•• for A••••••• S••••••• N•••••• (r••••••••• 2025-04-15)Apr 15, 2025 · a•••••• firm change · fact
- C••••••••• A••••••• L••'s a••••••s moved to A••••••• S••••••• N•••••• (Fayetteville, AR): 4 of 8 r•••••••••, within 23 daysApr 15, 2025 · Firm absorbed (people side) · derived
- R••••• C••••• left C••••••••• A••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (r••••••••• 2025-02-24)Feb 24, 2025 · a•••••• firm change · fact
- C••••• Q• I••••• left C••••••••• A••••••• L•• for B•••••••• I••••••••• G•••• (r••••••••• 2025-05-06)Oct 9, 2024 · a•••••• firm change · fact
- C••••••• L••••• W•••• I••••• left C••••••••• A••••••• L•• for R•••••• P•••••• W••••• (r••••••••• 2024-11-01)Oct 9, 2024 · a•••••• firm change · fact
- C••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)May 6, 2024 · First SEC registration · fact
- 2 a••••••s left C••••••••• R••••••••• I••••••••• A••••••• (Oklahoma City, OK) for C••••••••• A••••••• L•• on the same dayAug 25, 2023 · Team lift-out · derived
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
- Principal office phone
- 501-943-7132reportedpublic record, Form ADV, Jul 29, 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
- $1.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026