DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

F• J••• D•••••••

S••••• M•••••••••independent RIANorth Little Rock, ArIA-onlyIAPD 2188904

Feed of 09/14/2026

Also filed as J••• D•••••••

At current firm

1 y

since Jan 1, 2025

In the industry

34 y

since Aug 11, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••••• M••••••••• independent RIA current
since Jan 1, 2025 · North Little Rock, Ar
F•••• F•••••••• S•••••••• L•• independent RIA
Mar 1, 2024 to Jul 16, 2024 · Little Rock, Ar
S••••• M••••••••• independent RIA
Nov 1, 2018 to Mar 5, 2024 · Little Rock, Ar
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Dec 13, 2016 to Nov 8, 2018 · Little Rock, Ar
K••••• A••••••• S•••••••• L•• BD affiliated
Apr 18, 2016 to Dec 5, 2016 · Little Rock, Ar
N•• A•••••• S•••••••• L•• former
Sep 24, 2012 to Sep 22, 2016 · Little Rock, Ar

Moves

a registration end followed by a registration begin elsewhere

F•••• F•••••••• S•••••••• L•• to S••••• M•••••••••
left Jul 16, 2024, registered Jan 1, 2025 (169 days) · RIA to RIA
S••••• M••••••••• to F•••• F•••••••• S•••••••• L••
left Mar 5, 2024, registered Mar 1, 2024 (-4 days) · RIA to a newly registered adviser · moved with a team
C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••• M•••••••••
left Nov 8, 2018, registered Nov 1, 2018 (-7 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
K••••• A••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 5, 2016, registered Dec 13, 2016 (8 days) · Other
N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
left Sep 22, 2016, registered Apr 18, 2016 (-157 days) · corporate re-registration, not a move

Signals

F• J••• D••••••• left F•••• F•••••••• S•••••••• L•• for S••••• M••••••••• (registered 2025-01-01)
Jul 16, 2024 · a•••••• firm change · fact
F• J••• D••••••• left S••••• M••••••••• for F•••• F•••••••• S•••••••• L•• (registered 2024-03-01)
Mar 5, 2024 · a•••••• firm change · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address