State-registered independent wealth management RIA
Providence Capital
As of its Form ADV filed August 17, 2026, Providence Capital, a state-registered independent wealth management RIA in Rogers, Arkansas, reported $41.0 million in regulatory assets under management across 184 accounts, ranking #66 among independent RIAs in Arkansas by assets.
Registration
- Registration
- State-registered, Approved
- CRD number
- 328732
- SEC file number
- None (state-registered)
- Registered since
- January 31, 2024
- Latest Form ADV filing
- August 17, 2026
- Legal name
- PROVIDENCE CAPITAL LLC
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 4
Key figures
- Regulatory assets under management
- $41.0 million
- Discretionary
- $41.0 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 184 (184 discretionary)
- Clients
- 92, approximate as reported
- Employees
- 5
- Advisory staff
- 5 performing investment advisory functions
- Average account
- $222,732
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- Not reported
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
| Ranking | Nationally | In Arkansas | Value |
|---|---|---|---|
| Largest independent RIAs by assets under management | #11,331 | #66 | $41.0 million |
| Independent RIAs with the most clients | #9,163 | #58 | 92 |
| Independent RIAs with the most accounts | #8,869 | #54 | 184 |
| Independent RIAs with the most advisory staff | #2,648 | #15 | 5 |
| Independent RIAs with the most high net worth clients | #13,805 | #72 | 5 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 7, 2026 | $41.0 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 85 clients | $15.3 million | |
| High net worth individuals 5 clients | $14.9 million | |
| Pension and profit sharing plans fewer than 5 clients | $5.9 million | |
| Corporations or other businesses fewer than 5 clients | $4.9 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Pension consulting
Financial planning clients (Item 5.H): 1-10.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
None reported.
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 5
- Also registered through a broker-dealer
- 1
- Employees who are IARs (Form ADV 5.B(3))
- 5
Between 1 and 2 of the firm's 5 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
Our source has no Form ADV Item 11 detail for this firm. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Arkansas
| Firm | City | RAUM |
|---|---|---|
| Global Wealth Management, Inc. | Little Rock | $48.5 million |
| Paladin Investment Advisors | Cabot | $47.2 million |
| Deep Roots Capital | Harrison | $45.8 million |
| Round Table Financial | Little Rock | $45.6 million |
| C & S Capital Management, Inc. | Bismarck | $40.2 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Providence Capital on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: providencefp.com
- Independent RIAs in Arkansas
Firm data as of October 7, 2026, from IA_FIRM_STATE_Feed_10_07_2026.xml.gz. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 7, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.