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.
Firms
SEC-registered investment advisers
One row per CRD, from the adviser’s latest Form ADV. The class is a rule over Item 5.D (where the RAUM sits) and Item 7.A (related broker-dealer or bank); the wirehouses and national broker-dealers are a short curated list. Advisors is the count of representatives IAPD registers through the firm today, which is not the same as the firm’s own Item 5.B answer.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Stephens CRD 3496 | Little Rock, AR | BD affiliated | $18B | 79% | 244 | $74.0M | 20 | 0 |
| Stephens Investment Management Group, LLC CRD 136369 | Little Rock, AR | asset manager | $9.5B | 1.3% | 11 | $868M | 1 | 0 |
| Sowell Management CRD 127145 | North Little Rock, AR | independent RIA | $4.8B | 89% | 109 | $44.1M | 70 | 0 |
| A••••• W••••• M••••••••• CRD 42057 | Lowell, AR | independent RIA | $3.4B | 85% | 205 | $16.8M | 178 | 0 |
| 3• N•••• C•••••• M••••••••• L•• CRD 317557 | Bentonville, AR | institutional | $2.7B | 0.0% | 3 | $890M | 0 | 0 |
| G•••••••• G•••••••• L•• CRD 110379 | Fayetteville, AR | independent RIA | $2.0B | 94% | 20 | $98.6M | 2 | 1 |
| N•••••• W•••••• L•• CRD 311508 | Little Rock, AR | independent RIA | $1.9B | 92% | 16 | $117M | 1 | 0 |
| S••••••• G•••• A•••• M••••••••• L•• CRD 288981 | Little Rock, AR | independent RIA | $1.7B | 77% | 3 | $568M | 1 | 0 |
| L••••• C•••••• W••••• P•••••••• L•• CRD 291960 | Little Rock, AR | independent RIA | $1.5B | 93% | 17 | $89.2M | 2 | 0 |
| F••••••••• R••••••• M••••••••• I••• CRD 116359 | Little Rock, AR | independent RIA | $1.1B | 69% | 5 | $228M | 0 | 0 |
| B••• A•• B•••• I••• CRD 300557 | Little Rock, AR | independent RIA | $1.0B | 87% | 7 | $146M | 0 | 0 |
| L•••••• I••••••••• M••••••••• C•••••• CRD 334458 | Little Rock, AR | independent RIA | $1.0B | 63% | 3 | $337M | 0 | 0 |
| T•• A••••••• F•••••••• G••••• I••• CRD 104808 | Little Rock, AR | independent RIA | $971M | 99% | 5 | $194M | 0 | 0 |
| H•••••• C•••••• P•••••••• L•• CRD 305850 | Rogers, AR | independent RIA | $965M | 64% | 5 | $193M | 0 | 0 |
| T•• C•••••• P•••••••• L•• CRD 335750 | Little Rock, AR | independent RIA | $868M | 65% | 4 | $217M | 0 | 0 |
| M••••••• I••••••••• A••••••• CRD 110216 | Little Rock, AR | mixed wealth | $862M | 44% | 4 | $215M | 0 | 0 |
| B• C••••• M••••••••• L•• CRD 315265 | Little Rock, AR | asset manager | $713M | 0.0% | 0 | n/a | 3 | 8 |
| W•••••••• W••••• D•••••• L•• CRD 342236 | Fayetteville, AR | independent RIA | $633M | 100% | 7 | $90.4M | 0 | 0 |
| N•••••• C•••••• P•••••••• L•• CRD 281487 | Bentonville, AR | asset manager | $584M | 0.0% | 0 | n/a | 0 | 5 |
| G•••••••• J•••• W••••• M••••••••• L•• CRD 324403 | Little Rock, AR | independent RIA | $569M | 91% | 3 | $190M | 1 | 0 |
| M••••• F•••••••• G••••• L•• CRD 298195 | Rogers, AR | independent RIA | $546M | 99% | 9 | $60.7M | 0 | 0 |
| I•••• F•••••••• S•••••••• I••• CRD 136925 | Little Rock, AR | independent RIA | $489M | 90% | 9 | $54.3M | 2 | 0 |
| C••••• A•••• M••••••••• CRD 151418 | Fayetteville, AR | asset manager | $472M | 0.0% | 3 | $157M | 1 | 0 |
| M•••••• S••• W••••• M••••••••• CRD 117737 | Magnolia, AR | independent RIA | $449M | 94% | 9 | $49.9M | 5 | 0 |
| H•••••• C•••••• M••••••••• I••• CRD 115711 | Little Rock, AR | independent RIA | $435M | 52% | 1 | $435M | 0 | 0 |
| N•• W••• W••••• A••••••• CRD 323414 | Springdale, AR | independent RIA | $387M | 99% | 6 | $64.5M | 1 | 0 |
| A•••••• C•••••• L•• CRD 166175 | Little Rock, AR | independent RIA | $358M | 100% | 9 | $39.7M | 1 | 0 |
| L•••••••• R••••••• A•• C•••••• G••••• L•• CRD 108576 | Fayetteville, AR | independent RIA | $355M | 100% | 1 | $355M | 0 | 0 |
| G•••••••• W••••• A•••••••• L•• CRD 319481 | Little Rock, AR | independent RIA | $329M | 96% | 5 | $65.9M | 0 | 0 |
| C••••••••• W••••• M••••••••• L•• CRD 120286 | Little Rock, AR | independent RIA | $303M | 100% | 2 | $151M | 1 | 0 |
| M••••• C•••••• M••••••••• L•• CRD 311919 | Little Rock, AR | independent RIA | $272M | 81% | 2 | $136M | 0 | 0 |
| F••••• H••• C••••••• L•• CRD 129667 | Little Rock, AR | independent RIA | $249M | 73% | 0 | n/a | 1 | 1 |
| T•• C••••••••• G•••• L•• CRD 159012 | Little Rock, AR | asset manager | $240M | 0.0% | 0 | n/a | 0 | 4 |
| I•••• A•••••• G•••• CRD 318010 | Little Rock, AR | independent RIA | $236M | 96% | 3 | $78.7M | 0 | 0 |
| M••••••••• C•••••• A•••••••• L•• CRD 108641 | Little Rock, AR | independent RIA | $232M | 92% | 2 | $116M | 0 | 0 |
| N•••••• C•••••• CRD 306002 | Fayetteville, AR | asset manager | $226M | 0.0% | 0 | n/a | 1 | 10 |
| F•••••••• M••••••••• I••• CRD 108350 | Little Rock, AR | mixed wealth | $224M | 43% | 8 | $28.1M | 0 | 0 |
| B•••• C•••••• M••••••••• L•• CRD 174101 | Little Rock, AR | independent RIA | $216M | 94% | 4 | $54.0M | 0 | 0 |
| L••••••• • A••••••••• I••• CRD 42578 | Little Rock, AR | mixed wealth | $198M | 40% | 1 | $198M | 0 | 1 |
| C•••• • A••••••••• I••• CRD 8052 | Little Rock, AR | BD affiliated | $181M | 90% | 33 | $5.5M | 9 | 0 |
| F••••• L••••• P••••••• CRD 294277 | Bentonville, AR | independent RIA | $169M | 96% | 3 | $56.4M | 1 | 0 |
| F•••• T•••• E••••••• A•••••••• L•• CRD 157712 | Bentonville, AR | independent RIA | $168M | 92% | 1 | $168M | 1 | 0 |
| W••••••• A•••• M••••••••• L•• CRD 174408 | Little Rock, AR | asset manager | $163M | 0.0% | 3 | $54.2M | 0 | 3 |
| C•••••• • C••• I••• CRD 104730 | Little Rock, AR | independent RIA | $162M | 89% | 3 | $54.0M | 0 | 0 |
| F•••••••• L••••• M••••••••• N•• CRD 136348 | Little Rock, AR | independent RIA | $155M | 100% | 4 | $38.8M | 1 | 0 |
| T••••••• • C••••••• W••••• M••••••••• L•• CRD 293532 | Bentonville, AR | independent RIA | $151M | 98% | 1 | $151M | 0 | 0 |
| R•••••••• W••••• CRD 329595 | Little Rock, AR | independent RIA | $143M | 100% | 4 | $35.8M | 3 | 0 |
| O•••••• W••••• A•••••••• I•• CRD 153993 | Fort Smith, AR | independent RIA | $142M | 91% | 2 | $70.8M | 0 | 0 |
| S•• B•••••• F•••••••• S•••••••• I••• CRD 36956 | Russellville, AR | BD affiliated | $136M | 100% | 31 | $4.4M | 30 | 0 |
| V•••• F••••• F•••••••• CRD 115798 | North Little Rock, AR | independent RIA | $134M | 96% | 2 | $67.2M | 0 | 0 |
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59 advisers match.