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CRD 149579
JONESBORO, 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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| STEPHEN MICHAEL NORTHINGTON | Certified Financial Planner | LITTLE ROCK, AR | 5 | 30 | 4 | no |
| JAY MICHAEL FREDERICK | Certified Financial Planner | LITTLE ROCK, AR | 4 | 24 | 3 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| FREDERICK, JAY, MICHAEL | Member | E | yes | 08/2009 | Mar 8, 2012 | Jun 6, 2012 |
| JONES, MARVIN, WAYNE | MEMBER/CHIEF COMPLIANCE OFFICER | C | yes | 03/2009 | Mar 8, 2012 | Jun 6, 2012 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| LITTLE ROCK | Ar | United States | n/a | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2011 | Mar 24, 2012 | $15.6M | $11.5M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2011 | $15.6M | n/a | n/a | n/a | n/a | n/a | n/a | n/a | n/a |