Little Rock, AR Executive Center Drive Office
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CWM, LLC
Enterprise
Firm-wide stats for CWM, LLC
About
CWM, LLC is an SEC‑registered investment adviser that serves a broad mix of individuals, high‑net‑worth families, foundations, endowments, corporations and institutional clients through a network of partner offices and more than 600 advisors. The firm offers portfolio management, financial planning, variable sub‑account management, sub‑advisory services, and a suite of retirement‑plan services including a Carson Retirement Program with delegated 3(38) and consulting options.
CWM typically manages accounts on a discretionary basis using model portfolios governed by an in‑house Investment Committee and combines fundamental and technical analysis, third‑party sub‑advisors and trade‑signal providers, and customization tools such as Orion Custom Indexing and access to alternative investments via iCapital. The brochure emphasizes ongoing fiduciary processes for retirement plans (e.g., FI360 toolkit and IPS‑driven monitoring), centralized custody and platform relationships (Fidelity, Schwab, Vestwell), and regular client reviews and reporting.
Several features in the brochure distinguish CWM from many enterprise peers: it discloses multiple sponsor and revenue‑sharing arrangements (for example, a Flourish revenue‑sharing program and parent‑company investments in Vanilla), a paid Premier Partner investment universe, and a lead‑generation/matching platform and trust administration offering — all accompanied by explicit conflict‑of‑interest disclosures. The firm’s materials also note that it advertises predecessor performance (a relatively uncommon practice for large advisers) and place heavier operational emphasis on retirement plan, institutional and platform services than on charity‑focused practice areas.
Based on CWM, LLC
Expertise
Based on CWM, LLC
Location
10809 Executive Center Drive, Suite 319
Little Rock AR 72211
Advisors at this office
3
Advisors at this office
Ronald L
Series 63, Series 65
Little Rock, AR
CWM, LLC
Ronald Lee is an investment advisor at CWM, LLC with 28 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at firms including Wealth Management, Inc., Cetera Wealth Services, LLC, and LPL Financial, LLC. Outside his advisory role, he serves as an ordained deacon and school board member at Our Lady of Fatima Catholic Church in Benton, Arkansas. CWM, LLC is an SEC-registered investment adviser serving individuals, high-net-worth families, foundations, endowments, corporations, and institutional clients through a network of over 600 advisors. The firm employs discretionary portfolio management using model portfolios, combines fundamental and technical analysis with third-party sub-advisors, and offers a variety of retirement-plan services.
Caroline R
Series 66
Little Rock, AR
CWM, LLC
Caroline Rodriguez is a financial advisor at CWM, LLC with two years of industry experience. She holds a Series 66 designation and has worked at several firms, including Edward Jones and Cetera Wealth Services, prior to joining CWM. Outside of advisory work, she manages a vacation rental property in Hot Springs, Arkansas. CWM, LLC is an SEC-registered investment adviser serving a diverse client base including individuals, high-net-worth families, foundations, and institutions. The firm offers portfolio management, financial planning, and retirement-plan services, utilizing discretionary model portfolios overseen by an in-house Investment Committee.
Robert H
Series 63, Series 65
Little Rock, AR
CWM, LLC
Robert Holdford is a financial advisor with CWM, LLC based in Little Rock, AR, holding Series 63 and Series 65 licenses and bringing 37 years of industry experience. He has been involved with Cetera Wealth Services, LPL Financial, and Wealth Management, Inc., among other roles. Outside of advising, he is an author and owner of a publishing company, a musician in a pop/rock cover band, and a life coach contributing to personal development content. CWM, LLC is an SEC-registered investment adviser serving individuals, high-net-worth families, foundations, endowments, corporations, and institutional clients through a network of over 600 advisors. The firm provides portfolio management, financial planning, retirement-plan services, and sub-advisory options, utilizing model portfolios governed by an in-house Investment Committee and a combination of fundamental and technical analysis.
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