DFX Intelligence

T•••••• P••••• R•••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

T•••••• P••••• R•••••••

Advisor at R•••••• J•••• • A••••••••• I•••

Little Rock, AR | 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:f3bafbaa-0275-4231-856b-8f1870011195

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
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: R•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 2, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Feb 15, 2019	n/a	yes	Little Rock, AR\|LITTLE ROCK, AR	Current employment
M••••••••• C•••••• M••••••••• I•••	Former SEC adviser	Dec 17, 2014	Sep 2, 2015	no	LITTLE ROCK, AR\|LITTLE ROCK, AR\|LITTLE ROCK, AR

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• F•••• I••••••••• G••••• I•••	M••••••••• C•••••• M••••••••• I•••	Feb 19, 2019	Dec 17, 2014	-1,525	Firm change after gap	Other
M••••••••• C•••••• M••••••••• I•••	R•••••• J•••• • A••••••••• I•••	Sep 2, 2015	Feb 15, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
137713:705:AR:2015-09-02	Sep 2, 2015	Feb 15, 2019	LITTLE ROCK, AR	Firm change after gap

Relationships

Registered with (6)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Feb 15, 2019 to presentfactForm ADV
→ S•••••• F•••• I••••••••• G••••• I•••Registered adviserregistration: previous registration
Apr 27, 2009 to Feb 19, 2019factForm ADV
→ M••••••••• C•••••• M••••••••• I•••Registered adviserregistration: previous registration
Dec 17, 2014 to Sep 2, 2015factForm ADV
→ M••••• S•••••• • C•• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f3bafbaa-0275-4231-856b-8f1870011195
First observed: Aug 3, 2004
Last observed: Sep 14, 2026 9 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.