Intentional, Llc
- Regulatory AUM
- $176M
- Discretionary
- $176M
- Clients
- 400
- Avg AUM / client
- $440K
- Accounts
- 395
- Employees
- 3
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 04, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 353 | $79.4M | 45.1% |
| High net worth individuals | 42 | $89.1M | 50.7% |
| Pension and profit sharing plans | 5 | $7.3M | 4.16% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James E Roberts | Chief Compliance Officer | CFP | Jan 2022 (5y) | ≈ 37.5% – 75% via The Roberts Companies, Inc |
| Dale Winters Rice | Owner | CFP | Apr 2022 (4y) | ≈ 37.5% – 75% via Rice Financial Llc |
| Patrick Ryan Ferguson | Registered representative | Jan 2025 (2y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Rice Financial Llc | Holding Company | Apr 2022 | A | 50% – 75% |
| The Roberts Companies, Inc | Holding Company | Apr 2022 | A | 50% – 75% |
Estimated effective ownership (look-through of filed bands):
- James E Roberts: 75% – 100% of The Roberts Companies, Inc × 50% – 75% direct ≈ 37.5% – 75% of the firm
- Dale Winters Rice: 75% – 100% of Rice Financial Llc × 50% – 75% direct ≈ 37.5% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/04/2026 | 960 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Raymond James $169M (96% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 04, 2026.
View current Form ADV (SEC/IAPD) ↗