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
Tmb Capital Partners, LLC
Latest filing Sep 15, 2026
First filing on the tape Mar 31, 2025 · 7 filings
SEC status approved since Apr 30, 2025
RAUM
$868M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
65%
$561M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$217M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$868M as of May 1, 2026
Mar 31, 2025$0 then
HNW client RAUM$375M as of May 1, 2026
Aug 27, 2025$317M then
State-registered IARs (5.B.3)4 as of May 1, 2026
Mar 31, 20254 then
Employees (5.A)6 as of May 1, 2026
Mar 31, 20256 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Sep 15, 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
- $217MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.0MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10%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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%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, pension consultingreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$375M43%
- Corporations and businesses$216M25%
- Individuals$185M21%
- Charitable organizations$87.5M10%
- Pension and profit-sharing plans$1.9M0.2%
- Banks and thrifts$1.3M0.1%
- Individual clients
- 346reported
- HNW clients
- 63reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 456reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.65 fund_share=0.0 institutional_share=0.1 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 |
|---|---|---|---|---|
| William Madison Mcmillan | Little Rock, Ar | Jul 1, 2025 | 25 y | 2 |
| Benjamin Andrew Bailey | Little Rock, Ar | Jul 1, 2025 | 20 y | 2 |
| Zachary Sokora | Little Rock, Ar | Jul 1, 2025 | 11 y | 2 |
| Scott Edward Tabor | Little Rock, Ar | Jul 1, 2025 | 34 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Scott Edward Tabor from Raymond James & Associates, Inc.Jul 1, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- William Madison Mcmillan from Raymond James & Associates, Inc.Jul 1, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- Benjamin Andrew Bailey from Raymond James & Associates, Inc.Jul 1, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- Zachary Sokora from Raymond James & Associates, Inc.Jul 1, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from Raymond James & Associates, Inc.Jul 1, 2025 · Little Rock, Ar
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Andrew Benjamin Bailey · Principalcontrolsince 03/2025 · owns less than 5%
- Madison William Mcmillan · Principal Compliance Officercontrolsince 03/2025 · owns less than 5%
Entity owners
- Tmb Capital Partners Holding · Managing Memberdirect · 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 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250May 1, 2026 to Sep 15, 2026
- Succession · false to unsetMay 1, 2026 to Sep 15, 2026
- Accounts · 1,430 to 456Sep 23, 2025 to Feb 4, 2026
- Corporate clients · 26 to 23Sep 23, 2025 to Feb 4, 2026
- HNW clients · 55 to 63Sep 23, 2025 to Feb 4, 2026
- Individual clients · 343 to 346Sep 23, 2025 to Feb 4, 2026
- Financial planning clients · 0 to 101-250Sep 23, 2025 to Feb 4, 2026
- Discretionary RAUM · $834M to $868MSep 23, 2025 to Feb 4, 2026
- HNW RAUM · $317M to $375MSep 23, 2025 to Feb 4, 2026
- Individual RAUM · $182M to $185MSep 23, 2025 to Feb 4, 2026
- Pension RAUM · $4.4M to $1.9MSep 23, 2025 to Feb 4, 2026
- RAUM · $834M to $868MSep 23, 2025 to Feb 4, 2026
- Wrap assets (manager) · unset to 0.0Sep 23, 2025 to Feb 4, 2026
- Wrap assets (sponsor) · unset to 0.0Sep 23, 2025 to Feb 4, 2026
- Financial planning clients · 0 to 0Aug 27, 2025 to Sep 23, 2025
- Accounts · 0 to 1,430May 5, 2025 to Aug 27, 2025
- Corporate clients · unset to 26.0May 5, 2025 to Aug 27, 2025
- HNW clients · unset to 55.0May 5, 2025 to Aug 27, 2025
- Individual clients · unset to 343.0May 5, 2025 to Aug 27, 2025
- Discretionary RAUM · $0 to $834MMay 5, 2025 to Aug 27, 2025
- HNW RAUM · unset to 317494155.0May 5, 2025 to Aug 27, 2025
- Individual RAUM · unset to 181900441.0May 5, 2025 to Aug 27, 2025
- Pension RAUM · unset to 4365269.0May 5, 2025 to Aug 27, 2025
- RAUM · $0 to $834MMay 5, 2025 to Aug 27, 2025
Signals
1 dated events
- 4 advisors left Raymond James & Associates, Inc. (Little Rock, AR) for Tmb Capital Partners, LLC on the same dayJul 1, 2025 · 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
- Business phone
- 501-671-1140reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-758-4025reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/tmbcapitalpartnersreportedpublic record, Form ADV, Sep 17, 2026
- Website
- tmbcapitalpartners.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 501-671-1140reportedpublic record, Form ADV, Sep 15, 2026
- Contact form
- tmbcapitalpartners.com/contactreportedpublished 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
- $217Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026