5thn Financial LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$167,133
Total clients
3
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
3
Average account size
$55,711
About
The firm provides ongoing, discretionary portfolio management to individuals, trusts, organizations and other registered investment advisers, using a percentage-of-assets billing model. It operates as a solo advisory practice and states that it does not sell annuities, insurance, or other commission-based products.
Investment decisions are guided by Modern Portfolio Theory and conditional value-at-risk concepts, with portfolios positioned on an efficient frontier tailored to each client’s constraints. The firm uses proprietary statistical, machine-learning methods to generate forward predictions and implements trades through Interactive Brokers, including trade aggregation when appropriate.
A notable distinction is that the firm offers NASAA‑approved continuing education courses for registered representatives and markets proprietary digital services and portfolio‑management software to other advisory firms — activities that are uncommon for a one‑advisor independent shop. The adviser also emphasizes an academic, engineering background and advanced coursework in machine learning and computational finance as the basis for its quantitative, model‑driven approach, and it reports modest assets under management and a very small client base while declining third‑party and performance‑based compensation.
Client services
Portfolio management
Expertise
Active portfolio management
Occupation focus
University Employee
Fee options
1.75% maximum annually, negotiable
Fee-only: Fees are based solely on percentage of assets under management; no commissions or additional compensation received.
Main office location
5thn Financial LLC
Russellville AR, United States
Number of offices
1
Most active in
5thn Financial LLC has reported serving >5 clients in these states in the last 12 months.
Arkansas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
Forms ADV
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