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H••••• D••••• S••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

H••••• D••••• S••••••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

LITTLE ROCK, AR

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Search this name across graphsid dfx:ria:71d75dec-3dd1-f813-4623-ba1c8fb9b906

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 3, 2004 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•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 17, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Jul 7, 2015	n/a	yes	LITTLE ROCK, AR	Current employment
S••••• A••• A•••• M••••••••• I•••	Former SEC adviser	Mar 11, 2005	Jul 7, 2015	no	BIRMINGHAM, AL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• A••• A•••• M••••••••• I•••	S•••••• N••••••• • C••••••• I•••••••••	Jul 7, 2015	Jul 7, 2015	0	Bulk transfer	Other
S•••••• A••• • L••••• I•••	S••••• A••• A•••• M••••••••• I•••	Dec 19, 2005	Mar 11, 2005

Relationships

Registered with (3)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Jul 7, 2015 to presentfactForm ADV
→ S••••• A••• A•••• M••••••••• I•••Registered adviserregistration: previous registration
Mar 11, 2005 to Jul 7, 2015factForm ADV
→ S•••••• A••• • L••••• I•••Registered adviserregistration: previous registration
Aug 3, 2004 to Dec 19, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:71d75dec-3dd1-f813-4623-ba1c8fb9b906
First observed: Aug 3, 2004
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.