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
L•••••• I••••••••• M••••••••• C••••••
Latest filing Mar 25, 2026
First filing on the tape Dec 20, 2024 · 4 filings
SEC status approved since Dec 12, 2024
RAUM
$1.0B
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
63%
$631M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$337M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$1.0B as of Mar 25, 2026
Jan 2, 2025$0 then
HNW client RAUM$584M as of Mar 25, 2026
Feb 4, 2025$540M then
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Jan 2, 20250 then
Employees (5.A)5 as of Mar 25, 2026
Jan 2, 20252 then
Private funds: no history
RAUM +7.8% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- RAUM per advisor
- $337MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 76%derivedof RAUM
- Institutional
- 35%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $10.3M, 1 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$584M58%
- Pension and profit-sharing plans$339M34%
- Individuals$47.3M4.7%
- Corporations and businesses$28.2M2.8%
- Charitable organizations$11.0M1.1%
- Individual clients
- 79reported
- HNW clients
- 150reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 836reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.3M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.63 fund_share=0.0 institutional_share=0.35 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• W••••• H••••• | Little Rock, Ar | Apr 28, 2025 | 25 y | 1 |
| A••••• A••••• L••••••Chartered Financial Analyst | Little Rock, Ar | Apr 28, 2025 | 39 y | 1 |
| R••• M••••••• G••••• | Little Rock, Ar | Apr 29, 2025 | 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from L•••••• I••••••••• M••••••••• C•••Apr 29, 2025 · Little Rock, Ar · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• J••••• W••••• · Presidentcontrolsince 12/2024 · owns 25% to 50%
- L••••••• G••••••• C•••• · Chairmancontrolsince 12/2024 · owns 75% or more
- G•••••• R•••• M••••••• · Chief Compliance Officersince 01/2025 · owns less than 5%
Entity owners
- G•• H••••••• I•• · Memberdirect · 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 |
|---|---|---|---|---|---|
| Little Rock, Ar · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 25, 2026L••••••• G••••••• C•••• (CHAIRMAN) left Schedule A between the filings of 2024-12-20 and 2026-03-25peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 818 to 836Feb 4, 2025 to Mar 25, 2026
- Advisory employees · 4 to 3Feb 4, 2025 to Mar 25, 2026
- Corporate clients · 3.0 to unsetFeb 4, 2025 to Mar 25, 2026
- HNW clients · 145 to 150Feb 4, 2025 to Mar 25, 2026
- Individual clients · 81 to 79Feb 4, 2025 to Mar 25, 2026
- Pension plan clients · 5 to 6Feb 4, 2025 to Mar 25, 2026
- Assets in custody · $9.0M to $10.3MFeb 4, 2025 to Mar 25, 2026
- Employees · 6 to 5Feb 4, 2025 to Mar 25, 2026
- Financial planning clients · 1-10 to 11-25Feb 4, 2025 to Mar 25, 2026
- Discretionary RAUM · $714M to $766MFeb 4, 2025 to Mar 25, 2026
- HNW RAUM · $540M to $584MFeb 4, 2025 to Mar 25, 2026
- Individual RAUM · $45.9M to $47.3MFeb 4, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $223M to $244MFeb 4, 2025 to Mar 25, 2026
- Pension RAUM · $313M to $339MFeb 4, 2025 to Mar 25, 2026
- RAUM · $937M to $1.0BFeb 4, 2025 to Mar 25, 2026
- Accounts · 0 to 818Jan 2, 2025 to Feb 4, 2025
- Advisory employees · 2 to 4Jan 2, 2025 to Feb 4, 2025
- Advisory activities · 6 to 4Jan 2, 2025 to Feb 4, 2025
- Corporate clients · unset to 3.0Jan 2, 2025 to Feb 4, 2025
- HNW clients · unset to 145.0Jan 2, 2025 to Feb 4, 2025
- Individual clients · unset to 81.0Jan 2, 2025 to Feb 4, 2025
- Pension plan clients · unset to 5.0Jan 2, 2025 to Feb 4, 2025
- Assets in custody · unset to 8957669.0Jan 2, 2025 to Feb 4, 2025
- Custody of client assets · false to trueJan 2, 2025 to Feb 4, 2025
- Employees · 2 to 6Jan 2, 2025 to Feb 4, 2025
- Insurance-licensed employees · 2 to 0Jan 2, 2025 to Feb 4, 2025
- Financial planning clients · 0 to 1-10Jan 2, 2025 to Feb 4, 2025
- Discretionary RAUM · $0 to $714MJan 2, 2025 to Feb 4, 2025
- HNW RAUM · unset to 540230097.0Jan 2, 2025 to Feb 4, 2025
- Individual RAUM · unset to 45887257.0Jan 2, 2025 to Feb 4, 2025
- Non-discretionary RAUM · $0 to $223MJan 2, 2025 to Feb 4, 2025
- Pension RAUM · unset to 312922907.0Jan 2, 2025 to Feb 4, 2025
- RAUM · $0 to $937MJan 2, 2025 to Feb 4, 2025
- Related adviser · true to falseJan 2, 2025 to Feb 4, 2025
- Succession · true to falseDec 20, 2024 to Jan 2, 2025
Signals
3 dated events
- L•••••• I••••••••• M••••••••• C•••'s advisors moved to L•••••• I••••••••• M••••••••• C•••••• (Little Rock, AR): 3 of 3 registered, on the same dayApr 29, 2025 · Firm absorbed (people side) · derived
- L•••••• I••••••••• M••••••••• C•••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 20, 2024 · Succession (Item 4) · fact
- L•••••• I••••••••• M••••••••• C•••••• filed its initial SEC registration (Form ADV)Dec 20, 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
- w••@l•••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- a••@l•••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- r••••@l•••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 501-227-4930reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- l•••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 501-227-4930reportedpublic record, Form ADV, Mar 25, 2026
- Team page
- l•••.comreportedpublished 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
- $337Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026