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CRD 114560
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| STRICKLAND, NORMAN, JOSEPH | CHIEF COMPLIANCE OFFICER | Na | yes | 09/2009 | Feb 1, 2012 | Jul 30, 2020 |
| TRENT, DAVID, ALAN | PRESIDENT, CHIEF EXECUTIVE OFFICER | E | yes | 03/1996 | Feb 1, 2012 | Jul 30, 2020 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| KEVIN ANDREW CLARK | n/a | n/a | n/a | N | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Jonesboro | Ar | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2019 | Mar 5, 2020 | $201M | $166M | 8 | 5 | 1 | n/a | n/a |
| 2018 | Mar 25, 2019 | $167M | $138M | 10 | 5 | 1 | n/a | n/a |
| 2017 | Mar 14, 2018 | $175M | $148M | 9 | 5 | 1 | n/a | n/a |
| 2016 | Mar 1, 2017 | $140M | $117M | 7 | 4 | n/a | n/a | n/a |
| 2015 | Mar 2, 2016 | $144M | $123M | 7 | 4 | n/a | n/a | n/a |
| 2014 | Feb 20, 2015 | $151M | $129M | 7 | 3 | n/a | n/a | n/a |
| 2013 | Mar 18, 2014 | $137M | $118M | 7 | 5 | n/a | n/a | n/a |
| 2012 | Mar 11, 2013 | $121M | $105M | 9 | 4 | n/a | n/a | n/a |
| 2011 | Feb 1, 2012 | $99.2M | $88.0M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2019 | $201M | $167M | 20.4% | $140M | 12.9% | 8 | 10 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| LEGACY CAPITAL WEALTH PARTNERS, LLC | 5 | Mar 31, 2021 | Aug 4, 2021 | LITTLE ROCK, AR | Firm absorbed | RIA to RIA | 100.0% |