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L••••• F••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor38 years in industry

L••••• F••••••

Advisor at S••••• M•••••••••

NORTH LITTLE ROCK, AR | Good Hope, GA

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Search this name across graphsid dfx:ria:03eb5ba7-5cd8-5338-f556-23b6daea8bc4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 12, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: S••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 11, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• M•••••••••	Independent wealth	Sep 21, 2016	n/a	yes	NORTH LITTLE ROCK, AR\|Good Hope, GA	Current employment
C•••••• W••••• M•••••••••	Former SEC adviser	Apr 27, 2012	Dec 31, 2016	no	SAN JOSE, CA\|ELMHURST, IL\|WATKINSVILLE, GA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• W••••• M•••••••••	S••••• M•••••••••	Dec 31, 2016	Sep 21, 2016	-101	Firm change after gap	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	C•••••• W••••• M•••••••••	May 2, 2012	Apr 27, 2012

Relationships

Registered with (3)

→ S••••• M•••••••••Registered adviserregistration: current employment
Sep 21, 2016 to presentfactForm ADV
→ C•••••• W••••• M•••••••••Registered adviserregistration: previous registration
Apr 27, 2012 to Dec 31, 2016factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Apr 12, 1998 to May 2, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:03eb5ba7-5cd8-5338-f556-23b6daea8bc4
First observed: Apr 12, 1998
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.