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
F•••• F•••••••• S•••••••• L••
Latest filing Aug 31, 2026
First filing on the tape Jan 19, 2024 · 8 filings
SEC status approved since Feb 22, 2024
RAUM
$103M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$100M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$34.4M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$103M as of Aug 31, 2026
Mar 19, 2025$101M then
HNW client RAUM$84.0M as of Aug 31, 2026
Mar 19, 2025$80.3M then
State-registered IARs (5.B.3)3 as of Aug 31, 2026
Mar 19, 20253 then
Employees (5.A)5 as of Aug 31, 2026
Mar 19, 20255 then
Private funds: no history
RAUM +2.3% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Aug 31, 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
- $34.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $523,647derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.4%derived
- Compensation
- percentage of assets, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $99.1MreportedItem 5.I
- Custody
- $74.2M, 72 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$84.0M81%
- Individuals$16.0M16%
- Pension and profit-sharing plans$2.2M2.2%
- Charitable organizations$859,0610.8%
- Individual clients
- 51reported
- HNW clients
- 37reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 197reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $74.2M for 72 clientsreported
- Compensation
- % of AUM, commissionsreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• G•••• B••••Chartered Financial Consultant | Little Rock, Ar | Mar 1, 2024 | 38 y | 4 |
| T••••• D•••• S•••••• | Little Rock, Ar | Apr 30, 2024 | 29 y | 4 |
| S•••••• J••••• S•••••• | Little Rock, Ar | Apr 30, 2024 | 29 y | 2 |
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
- F• J••• D••••••• to S••••• M•••••••••Jul 16, 2024 · RIA to RIA
Joined, latest
- T••••• D•••• S•••••• from S••••• M•••••••••Apr 30, 2024 · RIA to RIA
- S•••••• J••••• S•••••• from S••••• M•••••••••Apr 30, 2024 · RIA to RIA
- F• J••• D••••••• from S••••• M•••••••••Mar 1, 2024 · RIA to a newly registered adviser
- D••••• G•••• B•••• from S••••• M•••••••••Mar 1, 2024 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from S••••• M•••••••••Mar 5, 2024 · North Little Rock, Ar
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• T•••••• D•••• · Ownercontrolsince 01/2024 · owns 75% or more
- H••••••• K•••••• D•••••• · Chief Compliance Officersince 01/2024 · owns less than 5%
Related persons
Schedule D 7.A
- S•••••• F••••••••real estaten
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
- Bentonville, AR1 employees
What changed
consecutive filings, newest first
- Accounts · 204 to 197Oct 20, 2025 to Mar 31, 2026
- Charity clients · unset to 1.0Oct 20, 2025 to Mar 31, 2026
- HNW clients · 36 to 37Oct 20, 2025 to Mar 31, 2026
- Individual clients · 57 to 51Oct 20, 2025 to Mar 31, 2026
- Pension plan clients · unset to 2.0Oct 20, 2025 to Mar 31, 2026
- Commission compensation · false to trueOct 20, 2025 to Mar 31, 2026
- Assets in custody · $91.8M to $74.2MOct 20, 2025 to Mar 31, 2026
- Discretionary RAUM · $101M to $103MOct 20, 2025 to Mar 31, 2026
- HNW RAUM · $80.3M to $84.0MOct 20, 2025 to Mar 31, 2026
- Individual RAUM · $17.5M to $16.0MOct 20, 2025 to Mar 31, 2026
- Pension RAUM · $2.0M to $2.2MOct 20, 2025 to Mar 31, 2026
- RAUM · $101M to $103MOct 20, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 19, 2025 to Oct 20, 2025
- Accounts · 255 to 204Mar 29, 2024 to Mar 19, 2025
- Advisory employees · 4 to 3Mar 29, 2024 to Mar 19, 2025
- HNW clients · 32 to 36Mar 29, 2024 to Mar 19, 2025
- Individual clients · 135 to 57Mar 29, 2024 to Mar 19, 2025
- Assets in custody · unset to 91761608.0Mar 29, 2024 to Mar 19, 2025
- Custody of client assets · false to trueMar 29, 2024 to Mar 19, 2025
- Employees · 6 to 5Mar 29, 2024 to Mar 19, 2025
- State-registered IARs · 4 to 3Mar 29, 2024 to Mar 19, 2025
- Discretionary RAUM · $104M to $101MMar 29, 2024 to Mar 19, 2025
- HNW RAUM · $59.1M to $80.3MMar 29, 2024 to Mar 19, 2025
- Individual RAUM · $40.9M to $17.5MMar 29, 2024 to Mar 19, 2025
- Pension RAUM · $1.6M to $2.0MMar 29, 2024 to Mar 19, 2025
- RAUM · $104M to $101MMar 29, 2024 to Mar 19, 2025
- Accounts · 0 to 255Mar 20, 2024 to Mar 29, 2024
- HNW clients · unset to 32.0Mar 20, 2024 to Mar 29, 2024
- Individual clients · unset to 135.0Mar 20, 2024 to Mar 29, 2024
- Discretionary RAUM · $0 to $104MMar 20, 2024 to Mar 29, 2024
- HNW RAUM · unset to 59114130.0Mar 20, 2024 to Mar 29, 2024
- Individual RAUM · unset to 40861960.0Mar 20, 2024 to Mar 29, 2024
- Pension RAUM · unset to 1569457.0Mar 20, 2024 to Mar 29, 2024
- RAUM · $0 to $104MMar 20, 2024 to Mar 29, 2024
Signals
3 dated events
- F• J••• D••••••• left F•••• F•••••••• S•••••••• L•• for S••••• M••••••••• (registered 2025-01-01)Jul 16, 2024 · Advisor changed firm · fact
- 4 advisors left S••••• M••••••••• (North Little Rock, AR) for F•••• F•••••••• S•••••••• L•• on the same dayMar 5, 2024 · Team lift-out · derived
- F•••• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Jan 19, 2024 · ria f•••• adv filing · 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
- 479-271-9952reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 479-271-9953reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 501-666-0302reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 501-666-0302reportedpublic record, Form ADV, Aug 31, 2026
- Contact form
- f•••••••••.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
- $34.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026