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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

METROPOLITAN CAPITAL MANAGEMENT, INC.

CRD 137713

LITTLE ROCK, AR

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cb392b5f-490b-d596-ebaa-3709679cec7f

Data as of Jun 13, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 0
On other graphs: 0
Observed: Mar 20, 2012 to Jun 13, 2012
4 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $48.2MItem 5.F on the latest filing (2012-06-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $48.2M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 184
SEC number: 801-65890
CRD: 137713
Filings on the tape: 4
First filed: Mar 20, 2012
Latest filed: Jun 13, 2012
Organised: Corporation, Arkansas

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BRIDGES, LUNSFORD, WILLIAMSON	CHAIRMAN, PRESIDENT AND DIRECTOR	Na	yes	09/2006	Mar 20, 2012	Jun 13, 2012
JENNINGS, EUGENE, FRANKLIN	TREASURER AND DIRECTOR	Na	yes	10/2009	Mar 20, 2012	Jun 13, 2012
METROPOLITAN NATIONAL BANK	Shareholder	E	yes	12/2004	Mar 20, 2012	Jun 13, 2012
ROGERS BANCSHARES, INC.	Shareholder	E	yes	12/1993	Mar 20, 2012	Jun 13, 2012
ROGERS FAMILY LIMITED PARTNERSHIP #2	Shareholder	E	yes	12/1997	Mar 20, 2012	Jun 13, 2012
ROGERS, DOYLE, WAYNE	GENERAL PARTNER AND LIMITED PARTNER	E	yes	10/1986	Mar 20, 2012	Jun 13, 2012
ROSS, LYNDA, JESTER	CHIEF COMPLIANCE OFFICER	Na	yes	12/2010	Mar 20, 2012	Jun 13, 2012
SMITH, SUSAN, FLETCHER	CORPORATE SECRETARY AND DIRECTOR	Na	yes	12/2004	Mar 20, 2012	Jun 13, 2012
MCCAIN, THOMAS, NELSON	SENIOR VICE PRESIDENT/MANAGER & DIRECTOR	Na	no	06/2009	Mar 20, 2012	Jun 13, 2012

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 20, 2012	$48.2M	$48.2M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$48.2M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LPL FINANCIAL LLC	3	Sep 2, 2015	Mar 22, 2019	LITTLE ROCK, AR	Firm absorbed	Other	50.0%
RAYMOND JAMES & ASSOCIATES, INC.	2	Sep 2, 2015	Feb 15, 2019	LITTLE ROCK, AR	Team lift out	Other	33.3%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SIMMONS FIRST INVESTMENT GROUP, INC.	3	Mar 25, 2019	Dec 17, 2014	NO LITTLE ROCK, AR	Team lift out	Other	23.1%

Relationships

Owns (1)

← MCCAIN, THOMAS, NELSONOwnerSENIOR VICE PRESIDENT/MANAGER & DIRECTOR, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV

Controls (8)

← JENNINGS, EUGENE, FRANKLINOwnerTREASURER AND DIRECTOR, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV
← ROSS, LYNDA, JESTEROwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV
← SMITH, SUSAN, FLETCHEROwnerCORPORATE SECRETARY AND DIRECTOR, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV
← BRIDGES, LUNSFORD, WILLIAMSONOwnerCHAIRMAN, PRESIDENT AND DIRECTOR, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV
← ROGERS, DOYLE, WAYNEOwnerGENERAL PARTNER AND LIMITED PARTNER, ownership code E, individual
Mar 20, 2012 to presentfactForm ADV
← METROPOLITAN NATIONAL BANKOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 20, 2012 to presentfactForm ADV
← ROGERS BANCSHARES, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 20, 2012 to presentfactForm ADV
← ROGERS FAMILY LIMITED PARTNERSHIP #2OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 20, 2012 to presentfactForm ADV

Moved with (3)

→ LPL FINANCIAL LLCRegistered adviser3 advisors, firm absorbed, same day
Sep 2, 2015 to Mar 22, 2019factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviser2 advisors, team lift out, same day
Sep 2, 2015 to Feb 15, 2019factForm ADV
← SIMMONS FIRST INVESTMENT GROUP, INC.Registered adviser3 advisors, team lift out, same day
Mar 25, 2019 to Dec 17, 2014factForm ADV

Registered with (9)

← LISA JO RABATINAdvisorregistration: previous registration
Dec 17, 2014 to Sep 2, 2015factForm ADV
← CHRIS VINCENT HARKINSAdvisorregistration: previous registration
Dec 17, 2014 to Sep 2, 2015factForm ADV
← CHAD HARRISON CARLSONAdvisorregistration: previous registration
Dec 17, 2014 to Sep 2, 2015factForm ADV
← DAMON CHRISTIAN MEYERAdvisorregistration: previous registration
Dec 17, 2014 to Sep 2, 2015factForm ADV
← TIMOTHY PATICK RAFFERTYAdvisorregistration: previous registration
Dec 17, 2014 to Sep 2, 2015factForm ADV
← JAMES WILLIAM WATKINSAdvisorregistration: previous registration
Dec 17, 2014 to Sep 2, 2015factForm ADV
← THOMAS NELSON MCCAINAdvisorregistration: previous registration
Oct 29, 2008 to Dec 12, 2014factForm ADV
← ROY WAYNE STEPHENSAdvisorregistration: previous registration
Feb 25, 2009 to Jun 25, 2010factForm ADV
← THOMAS JAMES CARLSONAdvisorregistration: previous registration
Jan 28, 2006 to Aug 29, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cb392b5f-490b-d596-ebaa-3709679cec7f
First observed: Mar 20, 2012
Last observed: Jun 13, 2012 173 months ago
Source families: Federal regulator filings
3 registered feeds 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.

METROPOLITAN CAPITAL MANAGEMENT, INC.

CRD 137713

LITTLE ROCK, AR

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cb392b5f-490b-d596-ebaa-3709679cec7f

Data as of Jun 13, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:31 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BRIDGES, LUNSFORD, WILLIAMSON

CHAIRMAN, PRESIDENT AND DIRECTOR

yes

09/2006

Mar 20, 2012

Jun 13, 2012

JENNINGS, EUGENE, FRANKLIN

TREASURER AND DIRECTOR

yes

10/2009

Mar 20, 2012

Jun 13, 2012

METROPOLITAN NATIONAL BANK

Shareholder

yes

12/2004

Mar 20, 2012

Jun 13, 2012

ROGERS BANCSHARES, INC.

Shareholder

yes

12/1993

Mar 20, 2012

Jun 13, 2012

ROGERS FAMILY LIMITED PARTNERSHIP #2

Shareholder

yes

12/1997

Mar 20, 2012

Jun 13, 2012

ROGERS, DOYLE, WAYNE

GENERAL PARTNER AND LIMITED PARTNER

yes

10/1986

Mar 20, 2012

Jun 13, 2012

ROSS, LYNDA, JESTER

CHIEF COMPLIANCE OFFICER

yes

12/2010

Mar 20, 2012

Jun 13, 2012

SMITH, SUSAN, FLETCHER

CORPORATE SECRETARY AND DIRECTOR

yes

12/2004

Mar 20, 2012

Jun 13, 2012

MCCAIN, THOMAS, NELSON

SENIOR VICE PRESIDENT/MANAGER & DIRECTOR

06/2009

Mar 20, 2012

Jun 13, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 20, 2012

$48.2M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$48.2M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Sep 2, 2015

Mar 22, 2019

LITTLE ROCK, AR

Firm absorbed

Other

50.0%

RAYMOND JAMES & ASSOCIATES, INC.

Sep 2, 2015

Feb 15, 2019

LITTLE ROCK, AR

Team lift out

Other

33.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SIMMONS FIRST INVESTMENT GROUP, INC.

Mar 25, 2019

Dec 17, 2014

NO LITTLE ROCK, AR

Team lift out

Other

23.1%