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
St. Bernard Financial Services, Inc.
Latest filing May 5, 2026
First filing on the tape Jan 20, 2012 · 50 filings
SEC status approved since Jul 31, 2018
RAUM
$136M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$136M individuals and HNW
Advisors
31
registered through the firm on IAPD
RAUM per advisor
$4.4M
derived; firm RAUM over IAPD count
Employees
117
30 advisory (5.B.1)
Offices
30
beyond the principal office
Private funds
0
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$136M as of May 5, 2026
Mar 12, 2012$115M then
HNW client RAUM$35.5M as of May 5, 2026
Jan 28, 2019$4.5M then
State-registered IARs (5.B.3)30 as of May 5, 2026
Mar 12, 20120 then
Employees (5.A)117 as of May 5, 2026
Feb 21, 20136 then
Private funds: no history
RAUM +5.8% over the last fiscal year+0.8% a year over threeIARs 30 to 30
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $4.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $170,723derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.8derivedItem 5.A over advisors
- Advisors per office
- 1.0derived31 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$101M74%
- High-net-worth individuals$35.5M26%
- Individual clients
- 786reported
- HNW clients
- 12reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 798reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=113.0derived
Advisors registered through the firm
30 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kathryn Delores Carroll | Russellville, Ar | May 4, 2010 | 36 y | 1 |
| James David Orgeron | Kenner, La | Jun 21, 2012 | 18 y | 1 |
| Adam Kennon Brown | Russellville, Ar | Nov 8, 2012 | 21 y | 3 |
| Joshua Roe Turner | Rogers, Ar | Jan 4, 2014 | 23 y | 1 |
| Phil Galen WardPersonal Financial Specialist | Russellville, Ar | Dec 1, 2015 | 49 y | 2 |
| David James MannaioniCertified Financial Planner, Chartered Financial Consultant | Centennial, Co | Nov 21, 2016 | 26 y | 6 |
| Jeremy Patrick Sakulenzki | San Antonio, Tx | Dec 3, 2016 | 11 y | 0 |
| Harold Irwin Goren | Russellville, Ar | Feb 7, 2017 | 36 y | 1 |
| Carl Christian ReidemeisterChartered Financial Consultant | Groton, Ct | Mar 28, 2017 | 39 y | 2 |
| Wajeehuddin Salim Siddiqui | Russellville, Ar | Nov 29, 2017 | 33 y | 2 |
| Patrick Thayne Williams | Russellville, Ar | Jan 18, 2018 | 30 y | 3 |
| Mark Barkasy | Vernon, Ct | Feb 27, 2018 | 22 y | 4 |
| John Huey Neely | Edmond, Ok | Mar 15, 2019 | 38 y | 5 |
| David Wayne Tomfohrde | Russellville, Ar | Apr 16, 2019 | 33 y | 1 |
| Stephanie Matthews Mitzel | Russellville, Ar | Sep 6, 2019 | 24 y | 4 |
| Emma Gean Godbee | Russellville, Ar | Nov 19, 2019 | 50 y | 3 |
| Mark Edward Celi | Russellville, Ar | Jan 30, 2020 | 34 y | 0 |
| Gregory Harold HubbellCertified Financial Planner | Russellville, Ar | Aug 18, 2021 | 31 y | 3 |
| Frank Thomas Winters | Russellville, Ar | Aug 24, 2021 | 24 y | 5 |
| Robert Martin Nickoson | Russellville, Ar | Jan 5, 2022 | 23 y | 2 |
| Wanda Elaine Warsinski | Royal Oak, Mi | May 23, 2022 | 16 y | 2 |
| Ross L Wamsley | Russellville, Ar | Jun 29, 2023 | 20 y | 4 |
| Eric Alan Sands | Ft. Lauderdale, Fl | Nov 30, 2023 | 26 y | 8 |
| Sidney Eugene Banks | Jonesboro, Ar | Jan 8, 2024 | 46 y | 3 |
| Phillip Dennis Boyd | Edmond, Ok | Apr 22, 2024 | 26 y | 3 |
| Dan R Kessler | Rogers, Ar | Jan 1, 2025 | 29 y | 1 |
| Aaron Jeremiah Ochoa | Broken Arrow, Ok | Jan 1, 2025 | 26 y | 2 |
| Kathleen M White | Pea Ridge, Ar | Jan 1, 2025 | 33 y | 6 |
| Howard Clinton YoungCertified Financial Planner | Russellville, Ar | Aug 18, 2025 | 31 y | 5 |
| Mark Bolton Yarbrough | Rogers, Ar | Dec 2, 2025 | 45 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount3 left over 36 months
Left, latest
- Andre Normand Coulombe to Coulombe And Sons Wealth ManagementApr 25, 2024 · Affiliated broker-dealer or bank to a state-registered adviser
- George Chui to Wells Fargo AdvisorsDec 22, 2023 · Affiliated broker-dealer or bank to wirehouse
- Steve Durant Pontiff to Primerica AdvisorsDec 22, 2023 · Affiliated broker-dealer or bank to another
- Eustis Gerard Habighorst to U.S. Bancorp Investments, Inc.Aug 28, 2023 · Affiliated broker-dealer or bank to another
- Carlyle Alton Wimberly to Pruco Securities, LLCDec 31, 2022 · Affiliated broker-dealer or bank to another
- Jeremiah Samuel Castaneda to Kws Advisory Group, LLCSep 9, 2020 · Affiliated broker-dealer or bank to a state-registered adviser
- Lee Edward Taylor to The Jamison Edward GroupOct 17, 2019 · RIA to a state-registered adviser
- Carl Patrick O'Brien to O'Brien Capital Advisors, LLCOct 31, 2018 · Affiliated broker-dealer or bank to a state-registered adviser
- Jacob R O'Brien to O'Brien Capital Advisors, LLCOct 31, 2018 · Affiliated broker-dealer or bank to a state-registered adviser
- Ledell Johnson to Msi Financial Services, Inc.Dec 31, 2016 · Other
- Gary Thomas Seibel to TrutoroAug 21, 2014 · Other
- Mitchum Wilhite Tapson to TrutoroAug 18, 2014 · Other
- Rebecca Gail Murdoch to TrutoroAug 5, 2014 · Other
- Victor Dwain Jones to Jones Financial AdvisorsJul 8, 2014 · Other
- James Michael Meaders to Bfc Planning, Inc.Jun 21, 2011 · Other
Joined, latest
- Mark Bolton Yarbrough from Eastern Point Advisors Inc.Dec 2, 2025 · Other
- Howard Clinton Young from Osaic Wealth, Inc.Aug 18, 2025 · Affiliated broker-dealer or bank to another
- Kathleen M White from Sagepoint Financial, Inc.Jan 1, 2025 · Affiliated broker-dealer or bank to another
- Aaron Jeremiah Ochoa from Invest Financial CorporationJan 1, 2025 · Other
- Dan R Kessler from Arvest Wealth ManagementJan 1, 2025 · Other
- Phillip Dennis Boyd from Crown Capital Securities, L.P.Apr 22, 2024 · Affiliated broker-dealer or bank to another
- Sidney Eugene Banks from Momentum Independent Network Inc.Jan 8, 2024 · Other
- Eric Alan Sands from Impact Partnership Wealth, LLCNov 30, 2023 · RIA to affiliated broker-dealer or bank
- Ross L Wamsley from Voya Financial Advisors, Inc.Jun 29, 2023 · Affiliated broker-dealer or bank to another
- George Chui from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 4, 2023 · Wirehouse to affiliated broker-dealer or bank
- Eustis Gerard Habighorst from Secure Advisory Group, LLCMar 31, 2023 · Other
- Steve Durant Pontiff from Lincoln InvestmentJan 5, 2023 · RIA to affiliated broker-dealer or bank
- Wanda Elaine Warsinski from MML Investors Services, LLCMay 23, 2022 · Other
- Carlyle Alton Wimberly from Quincy Wells Advisors, LLCApr 4, 2022 · RIA to affiliated broker-dealer or bank
- Robert Martin Nickoson from Coppell Advisory Solutions LLCJan 5, 2022 · RIA to affiliated broker-dealer or bank
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for O'Brien Capital Advisors, LLCOct 31, 2018 · Sapulpa, Ok
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Robert Jr Keenan · Ceo, Cco, Trustee Of Robert Keenan Trustcontrolsince 03/1994 · owns less than 5%
- Robert Jr Keenan · Trusteecontrolsince 02/2012 · owns 75% or more of Robert Keenan Revocable Trust
- Mark Edward Celi · Options Principalsince 12/2019 · owns less than 5%
- Sharon Jane Dyer · Assistant Finop And Muni Principalsince 05/2017 · owns less than 5%
Entity owners
- Robert Keenan Revocable Trust · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- St. Bernard Financial Services, Inc.broker-dealerinvestment adviserinsurancereal estateyRAUM $136M
Advisers that list St. Bernard Financial Services, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Russellville, Ar · principal | 31 | 1 | 0 | ||
| Rogers, Ar | 4 | 1 | 0 | ||
| Jonesboro, Ar | 3 | 0 | 0 | ||
| Edmond, Ok | 2 | 0 | 0 | ||
| Roswell, Ga | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Rogers, AR2 employees
- Jonesboro, AR2 employees
- Tulsa, OK1 employees
- , 1 employees
- Broken Arrow, OK1 employees
- Vernon, CT1 employees
- Woodland Hills, CA1 employees
- Rogers, AR1 employees
- Ft Lauderdale, FL1 employees
- Maplewood, MN1 employees
- Riverdale, GA1 employees
- St Louis, MO1 employees
- Tucson, AZ1 employees
- West Jordan, UT1 employees
- Westfield, MA1 employees
- Rogers, AR1 employees
- , 1 employees
- San Antonio, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 841 to 798Jan 29, 2025 to May 5, 2026
- BD registered reps · 109 to 113Jan 29, 2025 to May 5, 2026
- Individual clients · 829 to 786Jan 29, 2025 to May 5, 2026
- Employees · 109 to 117Jan 29, 2025 to May 5, 2026
- HNW RAUM · $3.5M to $35.5MJan 29, 2025 to May 5, 2026
- Individual RAUM · $127M to $101MJan 29, 2025 to May 5, 2026
- Non-discretionary RAUM · $130M to $136MJan 29, 2025 to May 5, 2026
- RAUM · $130M to $136MJan 29, 2025 to May 5, 2026
- BD registered reps · 111 to 109May 1, 2024 to Jan 29, 2025
- Employees · 111 to 109May 1, 2024 to Jan 29, 2025
- Financial planning clients · 0 to 0May 1, 2024 to Jan 29, 2025
- HNW RAUM · $27.9M to $3.5MMay 1, 2024 to Jan 29, 2025
- Individual RAUM · $101M to $127MMay 1, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $129M to $130MMay 1, 2024 to Jan 29, 2025
- RAUM · $129M to $130MMay 1, 2024 to Jan 29, 2025
- Accounts · 719 to 841Jun 27, 2023 to May 1, 2024
- Advisory employees · 23 to 30Jun 27, 2023 to May 1, 2024
- Advisory activities · 2 to 3Jun 27, 2023 to May 1, 2024
- BD registered reps · 115 to 111Jun 27, 2023 to May 1, 2024
- HNW clients · 6 to 12Jun 27, 2023 to May 1, 2024
- Individual clients · 713 to 829Jun 27, 2023 to May 1, 2024
- Employees · 117 to 111Jun 27, 2023 to May 1, 2024
- Insurance-licensed employees · 5 to 6Jun 27, 2023 to May 1, 2024
- State-registered IARs · 40 to 30Jun 27, 2023 to May 1, 2024
- Other offices · 23 to 30Jun 27, 2023 to May 1, 2024
- HNW RAUM · $5.6M to $27.9MJun 27, 2023 to May 1, 2024
- Individual RAUM · $98.9M to $101MJun 27, 2023 to May 1, 2024
- Non-discretionary RAUM · $104M to $129MJun 27, 2023 to May 1, 2024
- RAUM · $104M to $129MJun 27, 2023 to May 1, 2024
- Accounts · 681 to 719Oct 26, 2022 to Feb 9, 2023
- BD registered reps · 132 to 115Oct 26, 2022 to Feb 9, 2023
- Individual clients · 675 to 713Oct 26, 2022 to Feb 9, 2023
- Employees · 135 to 117Oct 26, 2022 to Feb 9, 2023
- Insurance-licensed employees · 8 to 5Oct 26, 2022 to Feb 9, 2023
- Other offices · 22 to 23Oct 26, 2022 to Feb 9, 2023
- HNW RAUM · $5.6M to $5.6MOct 26, 2022 to Feb 9, 2023
- Individual RAUM · $127M to $98.9MOct 26, 2022 to Feb 9, 2023
- Non-discretionary RAUM · $133M to $104MOct 26, 2022 to Feb 9, 2023
- RAUM · $133M to $104MOct 26, 2022 to Feb 9, 2023
- Accounts · 502 to 681Sep 28, 2021 to Feb 11, 2022
Signals
12 dated events
- St. Bernard Financial Services, Inc. reported 30 offices beyond its principal office, up from 23 (2023-06-27 to 2024-05-01)May 1, 2024 · Office count change · derived
- St. Bernard Financial Services, Inc. reported 30 state-registered advisory representatives, down from 40 (2023-06-27 to 2024-05-01)May 1, 2024 · Advisor headcount change · derived
- Andre Normand Coulombe left St. Bernard Financial Services, Inc. for Coulombe And Sons Wealth Management (registered 2025-01-27)Apr 25, 2024 · Advisor changed firm · fact
- Steve Durant Pontiff left St. Bernard Financial Services, Inc. for Primerica Advisors (registered 2025-12-02)Dec 22, 2023 · Advisor changed firm · fact
- George Chui left St. Bernard Financial Services, Inc. for Wells Fargo Advisors (registered 2024-03-08)Dec 22, 2023 · Advisor changed firm · fact
- Eustis Gerard Habighorst left St. Bernard Financial Services, Inc. for U.S. Bancorp Investments, Inc. (registered 2023-08-29)Aug 28, 2023 · Advisor changed firm · fact
- Carlyle Alton Wimberly left St. Bernard Financial Services, Inc. for Pruco Securities, Llc (registered 2024-05-09)Dec 31, 2022 · Advisor changed firm · fact
- St. Bernard Financial Services, Inc. reported 20 offices beyond its principal office, down from 34 (2019-08-29 to 2020-01-23)Jan 23, 2020 · Office count change · derived
- St. Bernard Financial Services, Inc. reported 34 offices beyond its principal office, up from 25 (2018-06-29 to 2018-08-01)Aug 1, 2018 · Office count change · derived
- St. Bernard Financial Services, Inc. reported 44 state-registered advisory representatives, up from 24 (2018-06-29 to 2018-08-01)Aug 1, 2018 · Advisor headcount change · derived
- St. Bernard Financial Services, Inc. reported 24 state-registered advisory representatives, up from 10 (2015-09-18 to 2018-06-29)Jun 29, 2018 · Advisor headcount change · derived
- St. Bernard Financial Services, Inc. filed its initial SEC registration (Form ADV)Jun 29, 2018 · 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
- Website
- mfcenter.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 479-967-1200reportedpublic record, Form ADV, May 5, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $4.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026