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
Rivertree Wealth
Legal name Rivertree Wealth LLC
Latest filing Jul 31, 2026
First filing on the tape Oct 20, 2025 · 6 filings
SEC status approved since Sep 22, 2025
RAUM
$143M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$143M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$35.8M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$143M as of Jul 31, 2026
Oct 20, 2025$109M then
HNW client RAUM$94.3M as of Jul 31, 2026
Oct 20, 2025$65.9M then
State-registered IARs (5.B.3)4 as of Jul 31, 2026
Oct 20, 20252 then
Employees (5.A)6 as of Jul 31, 2026
Oct 20, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 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
- RAUM per advisor
- $35.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $213,276derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$94.3M66%
- Individuals$48.8M34%
- Individual clients
- 111reported
- HNW clients
- 56reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 671reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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 |
|---|---|---|---|---|
| Jacob Ivan DukeCertified Financial Planner | Little Rock, Ar | Mar 14, 2024 | 10 y | 1 |
| Sean Mark HilliardCertified Financial Planner | Wake Forest, Nc | Oct 20, 2025 | 12 y | 5 |
| Justin Michael HobbsCertified Financial Planner | Little Rock, Ar | Mar 3, 2026 | 11 y | 3 |
| Shaun Douglas MizeCertified Financial Planner | Little Rock, Ar | Jul 31, 2026 | 12 y | 1 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Fred Andrew Wood to Arvest Wealth ManagementMay 1, 2025 · RIA to RIA
Joined, latest
- Shaun Douglas Mize from Brighton Jones LLCJul 31, 2026 · RIA to RIA
- Justin Michael Hobbs from Cerity Partners LLCMar 3, 2026 · RIA to RIA
- Sean Mark Hilliard from Empower Advisory Group, LLCOct 20, 2025 · Affiliated broker-dealer or bank to independent RIA
- Fred Andrew Wood from Mariner Advisor NetworkApr 19, 2024 · Affiliated broker-dealer or bank to independent RIA
- Jacob Ivan Duke from Applied Capital LLCMar 14, 2024 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ivan Jacob Duke · Cco, Membercontrolsince 01/2024 · owns 75% or more
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 | 4 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Jun 24, 2026 to Jul 31, 2026
- Employees · 5 to 6Jun 24, 2026 to Jul 31, 2026
- State-registered IARs · 3 to 4Jun 24, 2026 to Jul 31, 2026
- Other offices · 2 to 3Jun 24, 2026 to Jul 31, 2026
- Advisory employees · 2 to 3Feb 19, 2026 to Mar 3, 2026
- Employees · 4 to 5Feb 19, 2026 to Mar 3, 2026
- State-registered IARs · 2 to 3Feb 19, 2026 to Mar 3, 2026
- Other offices · 1 to 2Feb 19, 2026 to Mar 3, 2026
- Accounts · 549 to 671Oct 20, 2025 to Feb 19, 2026
- HNW clients · 40 to 56Oct 20, 2025 to Feb 19, 2026
- Individual clients · 105 to 111Oct 20, 2025 to Feb 19, 2026
- Employees · 3 to 4Oct 20, 2025 to Feb 19, 2026
- Financial planning clients · 101-250 to 1-10Oct 20, 2025 to Feb 19, 2026
- Discretionary RAUM · $109M to $143MOct 20, 2025 to Feb 19, 2026
- HNW RAUM · $65.9M to $94.3MOct 20, 2025 to Feb 19, 2026
- Individual RAUM · $42.6M to $48.8MOct 20, 2025 to Feb 19, 2026
- RAUM · $109M to $143MOct 20, 2025 to Feb 19, 2026
Signals
1 dated events
- Fred Andrew Wood left Rivertree Wealth for Arvest Wealth Management (registered 2025-06-18)May 1, 2025 · Advisor changed firm · 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
- Firm profile
- linkedin.com/company/rivertreewealthreportedpublic record, Form ADV, Sep 17, 2026
- Website
- rivertreewealth.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (501) 500-0893reportedpublic record, Form ADV, Jul 31, 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
- $35.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026