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
Allegiant Wealth Advisors, LLC
Latest filing Mar 16, 2026
First filing on the tape Jun 27, 2024 · 10 filings
SEC status approved since Jul 26, 2024
RAUM
$1.2B
reported, Item 5.F
Discretionary
9.8%
of RAUM
Private clients
82%
$959M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$584M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.2B as of Mar 16, 2026
Mar 19, 2025$956M then
HNW client RAUM$959M as of Mar 16, 2026
Mar 19, 2025$762M then
State-registered IARs (5.B.3)2 as of Mar 16, 2026
Mar 19, 20251 then
Employees (5.A)3 as of Mar 16, 2026
Mar 19, 20253 then
Private funds: no history
RAUM +22% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Mar 16, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $584MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $28.2MderivedHNW RAUM over HNW clients
- Average account
- $11.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 9.8%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $999M, 19 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$959M82%
- Charitable organizations$170M15%
- Corporations and businesses$39.2M3.4%
- Individuals$312,8530.0%
- Individual clients
- n/areported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 104reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $999M for 19 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Frederick ArensChartered Financial Analyst | Tulsa, Ok | Jul 26, 2024 | 29 y | 0 |
| Lesa Anne Creveling | Tulsa, Ok | Jun 5, 2025 | 27 y | 0 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Frederick James Arens · Founder & Ceo / Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
- Frederick James Arens · Managing Membercontrolsince 07/2024 · owns 75% or more of Frontier Legacy Partners, LLC
Entity owners
- Allegiant Wealth Holdings, LLC · Managing Memberdirect · owns 75% or more
- Frontier Legacy Partners, LLC · Managing Memberindirect · owns 75% or more of Allegiant Wealth Holdings, LLC
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 |
|---|---|---|---|---|---|
| Tulsa, Ok · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 18 to 104Oct 24, 2025 to Mar 16, 2026
- Advisory activities · 2 to 3Oct 24, 2025 to Mar 16, 2026
- HNW clients · unset to 34.0Oct 24, 2025 to Mar 16, 2026
- Assets in custody · $814M to $999MOct 24, 2025 to Mar 16, 2026
- Financial planning clients · 0 to 1-10Oct 24, 2025 to Mar 16, 2026
- Discretionary RAUM · $0 to $115MOct 24, 2025 to Mar 16, 2026
- HNW RAUM · $762M to $959MOct 24, 2025 to Mar 16, 2026
- Individual RAUM · unset to 312853.0Oct 24, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $956M to $1.1BOct 24, 2025 to Mar 16, 2026
- RAUM · $956M to $1.2BOct 24, 2025 to Mar 16, 2026
- Financial planning clients · 0 to 0Jun 5, 2025 to Oct 24, 2025
- Advisory employees · 1 to 2Mar 19, 2025 to Jun 5, 2025
- State-registered IARs · 1 to 2Mar 19, 2025 to Jun 5, 2025
- Accounts · 16 to 18Sep 3, 2024 to Mar 19, 2025
- Assets in custody · unset to 814169162.0Sep 3, 2024 to Mar 19, 2025
- Custody of client assets · false to trueSep 3, 2024 to Mar 19, 2025
- Employees · 2 to 3Sep 3, 2024 to Mar 19, 2025
- HNW RAUM · $359M to $762MSep 3, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $393M to $956MSep 3, 2024 to Mar 19, 2025
- RAUM · $393M to $956MSep 3, 2024 to Mar 19, 2025
- Advisory employees · 2 to 1Sep 2, 2024 to Sep 3, 2024
- Employees · 3 to 2Sep 2, 2024 to Sep 3, 2024
- State-registered IARs · 2 to 1Sep 2, 2024 to Sep 3, 2024
- Accounts · 0 to 16Jul 23, 2024 to Aug 30, 2024
- HNW RAUM · unset to 359131030.0Jul 23, 2024 to Aug 30, 2024
- Non-discretionary RAUM · $0 to $393MJul 23, 2024 to Aug 30, 2024
- RAUM · $0 to $393MJul 23, 2024 to Aug 30, 2024
- Wrap assets (manager) · 0.0 to unsetJul 23, 2024 to Aug 30, 2024
- Wrap assets (sponsor) · 0.0 to unsetJul 23, 2024 to Aug 30, 2024
Signals
2 dated events
- Allegiant Wealth Advisors, Llc reported RAUM $956.5M, up 143% from $393.1M (2024-09-03 to 2025-03-19)Mar 19, 2025 · RAUM change · derived
- Allegiant Wealth Advisors, Llc filed its initial SEC registration (Form ADV)Jun 27, 2024 · 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
- info@allegiantwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 918-623-4500reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/allegiant-wealth-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- allegiantwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (918) 623-4500reportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- allegiantwealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- allegiantwealth.com/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
- $584Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026