DFX Intelligence
Reading the graph
Reading the graph
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Advisor at R••••••••• W•••••• L••
Rogers, AR | LITTLE ROCK, AR
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| R••••••••• W•••••• L•• | State registered | Mar 15, 2023 | n/a | yes | Rogers, AR|LITTLE ROCK, AR | Current employment |
| A• W••••• M••••••••• L•• | Bd affiliated wealth | Jul 13, 2018 | Feb 24, 2023 | no | LITTLE ROCK, AR|Little Rock, AR |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A• W••••• M••••••••• L•• | R••••••••• W•••••• L•• | Feb 24, 2023 | Mar 15, 2023 | 19 | Firm change | Ibd to state RIA |
| O• I••••••••• M••••••••• C• | A• W••••• M••••••••• L•• | Jul 18, 2018 | Jul 13, 2018 |
| O• I••••••••• M••••••••• C• | Bd affiliated wealth | Jan 22, 2016 | Jul 18, 2018 | no | Alexander, AR | Previous registration |
| A••••• W••••• M••••••••• | Independent wealth | Sep 4, 2012 | Jan 25, 2016 | no | BENTON, AR|BRYANT, AR|BRYANT, AR|BENTON, AR | Previous registration |
| U••• B•••••• I••••••••• I••• | Former SEC adviser | May 16, 2011 | Sep 4, 2012 | no | Little Rock, AR|Bryant, AR|ARKADELPHIA, AR|BISMARCK, AR|GURDON, AR|Malvern, AR|Sheridan, AR|ARKADELPHIA, AR|ARKADELPHIA, AR | Previous registration |
| V•••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Nov 3, 2003 | Apr 27, 2010 | no | EDINA, MN|BLOOMINGTON, MN|LITTLE ROCK, AR | Previous registration |
| T••••••••• F•••••••• A•••••••• L•• | Bd affiliated wealth | Oct 21, 2003 | May 26, 2011 | no | LITTLE ROCK , AR|AUSTIN, TX|LITTLE ROCK, AR | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Aug 20, 1998 | Oct 15, 2003 | no | NORTH LITTLE ROCK, AR | Previous registration |
| -5 |
| Firm change |
| Ibd to RIA |
| A••••• W••••• M••••••••• | O• I••••••••• M••••••••• C• | Jan 25, 2016 | Jan 22, 2016 | -3 | Firm change | Other |
| U••• B•••••• I••••••••• I••• | A••••• W••••• M••••••••• | Sep 4, 2012 | Sep 4, 2012 | 0 | Firm change | Other |
| T••••••••• F•••••••• A•••••••• L•• | V•••• F•••••••• A•••••••• I••• | May 26, 2011 | Nov 3, 2003 | -2,761 | Firm change after gap | Other |
| V•••• F•••••••• A•••••••• I••• | U••• B•••••• I••••••••• I••• | Apr 27, 2010 | May 16, 2011 | 384 | Firm change | Other |
| A••••••••• F•••••••• S•••••••• L•• | T••••••••• F•••••••• A•••••••• L•• | Oct 15, 2003 | Oct 21, 2003 | 6 | Firm change | Other |