DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••• W••••• M•••••••••
FT SMITH, 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 |
|---|---|---|---|---|---|---|
| A••••• W••••• M••••••••• | Independent wealth | Feb 9, 2023 | n/a | yes | FT SMITH, AR|LITTLE ROCK, AR | Current employment |
| S••••••• | Bd affiliated wealth | Sep 16, 2019 | Jan 31, 2023 | no | LITTLE ROCK, AR | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••• | A••••• W••••• M••••••••• | Jan 31, 2023 | Feb 9, 2023 | 9 | Firm change | Ibd to RIA |
| V••• F•••••••• A•••••••• I••• | S••••••• | Sep 17, 2019 | Sep 16, 2019 |
| V••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Sep 30, 2016 | Sep 17, 2019 | no | DALLAS, TX|Little Rock, AR | Previous registration |
| V••• R••••••••• A•••••••• L•• | Other adviser | Dec 18, 2007 | Oct 6, 2016 | no | LITTLE ROCK, AR | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Dec 8, 2005 | Jan 17, 2006 | no | SPRINGFIELD, MA|SPRINGFIELD, MA | Previous registration |
| M•••••• I••••••••• F••• S••••••• L•• | n/a | Jun 10, 2004 | Dec 31, 2005 | no | ALPHARETTA, GA | Previous registration |
| C•••••••• G••••• M•••••• I••• | Bd affiliated wealth | Aug 6, 2002 | Jun 23, 2004 | no | LITTLE ROCK, AR | Previous registration |
| Firm change |
| Ibd to ibd |
| V••• R••••••••• A•••••••• L•• | V••• F•••••••• A•••••••• I••• | Oct 6, 2016 | Sep 30, 2016 | -6 | Firm change | Other |
| M•• F•••••••• S•••••••• I••• | V••• R••••••••• A•••••••• L•• | Jan 17, 2006 | Dec 18, 2007 | 700 | Firm change after gap | Other |
| M•••••• I••••••••• F••• S••••••• L•• | M•• F•••••••• S•••••••• I••• | Dec 31, 2005 | Dec 8, 2005 | -23 | Bulk transfer | Other |
| C•••••••• G••••• M•••••• I••• | M•••••• I••••••••• F••• S••••••• L•• | Jun 23, 2004 | Jun 10, 2004 | -13 | Firm change | Other |