CLIENTFIRST WEALTH MANAGEMENT, LLC
Adviser information for CLIENTFIRST WEALTH MANAGEMENT, LLC last updated from Form ADV on March 13th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Arkansas, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 52 | $221.6M |
| Non-Discretionary | 0 | $0 |
| Total | 52 | $221.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 7 | $4.2M |
| HNW Individuals | 45 | $217.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Principal Office
1501 N. UNIVERSITY AVENUESUITE 715
LITTLE ROCK
AR
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: (501) 603 - 0406, Fax: (501) 603 - 0405
Chief Compliance Officer
EDWARD P. MAHAFFY
PRESIDENT AND SENIOR PORTFOLIO MANAGER,
1501 N. UNIVERSITY AVENUE
SUITE 715
LITTLE ROCK
AR
United States
Tel:
(501) 603 - 0406
Fax:
(501) 603 - 0405
E*@******************************M
(Full email address available in API data)
Regulatory Contact
TAMI BORLAND
DIRECTOR OF OPERATIONS
1501 N. UNIVERSITY AVENUE
SUITE 715
LITTLE ROCK
AR
United States
Tel:
(561) 262 - 5225
T***@****************M
(Full email address available in API data)
Industry Affiliates
| FIDUCIARY WEALTH MANAGEMENT, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MAHAFFY, EDWARD, PRICE | Individual | – | PRESIDENT, SENIOR PORTFOLIO MANAGER AND CHIEF COMPLIANCE OFFICER | 11/2001 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed November 7th, 2023 for period ending September 30th, 2023
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| AMAZON COM INC | COM | 226K | 2K | – |
| APPLE INC | COM | 3M | 15K | – |
| DILLARDS INC | CL A | 48M | 148K | – |
| INVESCO DB COMMDY INDX TRCK | UNIT | 317K | 13K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 906K | 6K | – |
| ISHARES TR | 1 3 YR TREAS BD | 1M | 13K | – |
| ISHARES TR | 7-10 YR TRSY BD | 207K | 2K | – |
| ISHARES TR | CORE S&P500 ETF | 1M | 2K | – |
| ISHARES TR | MSCI EAFE ETF | 364K | 5K | – |
| ISHARES TR | MSCI INDIA ETF | 379K | 9K | – |
| ISHARES TR | PFD AND INCM SEC | 973K | 33K | – |
| ISHARES TR | RUS 1000 GRW ETF | 8M | 28K | – |
| ISHARES TR | RUS 1000 VAL ETF | 2M | 15K | – |
| ISHARES TR | RUS 2000 VAL ETF | 205K | 2K | – |
| ISHARES TR | RUSSELL 2000 ETF | 1M | 6K | – |
| ISHARES TR | S&P 500 VAL ETF | 638K | 4K | – |
| ISHARES TR | S&P MC 400GR ETF | 308K | 4K | – |
| ISHARES TR | S&P MC 400VL ETF | 223K | 2K | – |
| ISHARES TR | SELECT DIVID ETF | 247K | 2K | – |
| JPMORGAN CHASE & CO | COM | 217K | 2K | – |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 203K | 3K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 3M | 8K | – |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 2M | 4K | – |
| SPDR SER TR | DJ REIT ETF | 518K | 6K | – |
| VANGUARD ADMIRAL FDS INC | 500 VAL IDX FD | 2M | 10K | – |
| VANGUARD BD INDEX FDS | SHORT TRM BOND | 485K | 6K | – |
| VANGUARD CHARLOTTE FDS | TOTAL INT BD ETF | 220K | 5K | – |
| VANGUARD INDEX FDS | EXTEND MKT ETF | 223K | 2K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 3M | 7K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 237K | 1K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 446K | 11K | – |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 1M | 30K | – |