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.

Former SEC-registered adviser

Simmons First Investment Group, Inc.

Former SEC-registered adviserLittle Rock, ArkansasCRD 47439SEC 801-108161IAPD
Latest filing Apr 25, 2018
First filing on the tape Jul 15, 2016 · 13 filings
RAUM
$205M
reported, Item 5.F
Discretionary
48%
of RAUM
Private clients
100%
$205M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
26
18 advisory (5.B.1)
Offices
24
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$205M as of Mar 29, 2018
Mar 30, 2017$119M then
HNW client RAUM: $133M
State-registered IARs (5.B.3)18 as of Mar 29, 2018
Mar 30, 201715 then
Employees (5.A)26 as of Mar 29, 2018
Mar 30, 201728 then
Private funds: no history
RAUM +73% over the last fiscal yearIARs 15 to 18
Practice profile
derived from the filing of Apr 25, 2018; every figure names its basis
RAUM per advisor
$11.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
48derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$469,981derivedHNW RAUM over HNW clients
Average account
$235,864derivedRAUM over accounts (5.F.2.f)
Discretionary
48%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
0.7derived25 offices incl. principal (1.F.5)
RAUM growth, one year
+73%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$133M65%
  • Individuals$71.7M35%
Individual clients
585reported
HNW clients
283reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
868reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • James David Alger · Svp Ccocontrol
    since 01/2017 · owns less than 5%
  • Marty Dale Casteel · Directorcontrol
    since 04/2017 · owns less than 5%
  • Joe Winters III Clement · Directorcontrol
    since 12/2014 · owns less than 5%
  • Fred Gary Eason · Chairman Of Boardcontrol
    since 05/2015 · owns less than 5%
  • Robert A Fehlman · Directorcontrol
    since 05/2017 · owns less than 5%
  • Jimmy Burton Hicks · President & Ceocontrol
    since 01/2017 · owns less than 5%
  • Richard Wayne Johnson · Directorcontrol
    since 01/2017 · owns less than 5%
  • Philip Andrew Tappan · Directorcontrol
    since 06/2015 · owns less than 5%
  • Angela Leigh Johnson · Chief Financial Officer
    since 05/2017 · owns less than 5%
Entity owners
  • Simmons Bank · 100% Owner
    direct · owns 75% or more
  • Simmons First National Corp. · Shareholder
    indirect · owns 75% or more of Simmons Bank · public reporting company
Related persons
Schedule D 7.A
  • Simmons Bank
    y
  • Simmons First Insurance Services
    real estaten
Offices
Schedule D 1.F, the 25 largest
  • Conway, AR2 employees
  • Little Rock, AR1 employees
  • Fayetteville, AR1 employees
  • Little Rock, AR1 employees
  • Maumelle, AR1 employees
  • North Little Rock, AR1 employees
  • Bentonville, AR1 employees
  • Pine Bluff, AR1 employees
  • Little Rock, AR1 employees
  • Springfield, MO1 employees
  • Jonesboro, AR1 employees
  • Searcy, AR1 employees
  • Little Rock, AR1 employees
  • Jackson, TN1 employees
  • Martin, TN1 employees
  • Maryville, TN1 employees
  • Athens, TN1 employees
  • Union City, TN1 employees
  • Rogers, AR1 employees
  • Springfield, MO1 employees
  • Jackson, TN1 employees
  • Dyersburg, TN1 employees
  • Goodlettsville, TN1 employees
  • Knoxville, TN1 employees
What changed
consecutive filings, newest first
  • Individual RAUM · unset to 71725277.0
    Aug 24, 2017 to Mar 29, 2018
  • Non-discretionary RAUM · $71.8M to $106M
    Aug 24, 2017 to Mar 29, 2018
  • RAUM · $119M to $205M
    Aug 24, 2017 to Mar 29, 2018
  • Accounts · 600 to 868
    Aug 24, 2017 to Mar 29, 2018
  • Advisory employees · 15 to 18
    Aug 24, 2017 to Mar 29, 2018
  • BD registered reps · 15 to 18
    Aug 24, 2017 to Mar 29, 2018
  • HNW clients · unset to 283.0
    Aug 24, 2017 to Mar 29, 2018
  • Individual clients · unset to 585.0
    Aug 24, 2017 to Mar 29, 2018
  • Employees · 28 to 26
    Aug 24, 2017 to Mar 29, 2018
  • Financial planning clients · 1-10 to 0
    Aug 24, 2017 to Mar 29, 2018
  • State-registered IARs · 15 to 18
    Aug 24, 2017 to Mar 29, 2018
  • Other offices · unset to 24.0
    Aug 24, 2017 to Mar 29, 2018
  • Discretionary RAUM · $46.8M to $99.2M
    Aug 24, 2017 to Mar 29, 2018
  • HNW RAUM · unset to 133004494.0
    Aug 24, 2017 to Mar 29, 2018
  • Accounts · 501 to 600
    Mar 6, 2017 to Mar 30, 2017
  • Advisory employees · 20 to 15
    Mar 6, 2017 to Mar 30, 2017
  • BD registered reps · 40 to 15
    Mar 6, 2017 to Mar 30, 2017
  • Employees · 40 to 28
    Mar 6, 2017 to Mar 30, 2017
  • State-registered IARs · 20 to 15
    Mar 6, 2017 to Mar 30, 2017
  • Discretionary RAUM · $38.1M to $46.8M
    Mar 6, 2017 to Mar 30, 2017
  • Non-discretionary RAUM · $65.8M to $71.8M
    Mar 6, 2017 to Mar 30, 2017
  • RAUM · $104M to $119M
    Mar 6, 2017 to Mar 30, 2017
Signals
1 dated events
  • Simmons First Investment Group, Inc. filed its initial SEC registration (Form ADV)
    Jul 15, 2016 · 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.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026