DFX Intelligence

C•••••• W• S•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

C•••••• W• S•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Batesville, AR

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Search this name across graphsid dfx:ria:859fbdc2-7ca5-e446-1363-36d521311b47

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 4, 1999 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 7, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jun 22, 2018	n/a	yes	Batesville, AR\|Batesville, AR	Current employment
I••••••••• P••••••••• I•••	Former SEC adviser	Jun 4, 1999	Sep 25, 2018	no	BATESVILLE, AR\|SAN ANTONIO, TX\|LITTLE ROCK, AR\|BATESVILLE, AR\|SAN ANTONIO, TX\|LITTLE ROCK, AR\|SAN ANTONIO, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• P••••••••• I•••	A••••••••• F•••••••• S•••••••• L••	Sep 25, 2018	Jun 22, 2018	-95	Bulk transfer	Ibd to ibd

Relationships

Registered with (2)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 22, 2018 to presentfactForm ADV
→ I••••••••• P••••••••• I•••Registered adviserregistration: previous registration
Jun 4, 1999 to Sep 25, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:859fbdc2-7ca5-e446-1363-36d521311b47
First observed: Jun 4, 1999
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.