DFX Intelligence

Data Factory

RIA / WealthAdvisor24 years in industry

THOMAS PATRICK SMITH

Advisor at LEGACY WEALTH MANAGEMENT, LLC

Southlake, TX

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:35fe56f6-4aa4-66d0-a425-7afaca4599c6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Jun 16, 2011 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: LEGACY WEALTH MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 1, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Sep 1, 2010
First registration: Jun 16, 2011
Dual registered: no
Other names: PAT SMITH
IAPD individual key: 429070

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LEGACY WEALTH MANAGEMENT, LLC	Independent wealth	May 23, 2024	n/a	yes	Southlake, TX	Current employment
REALTA INVESTMENT ADVISORS, INC	Bd affiliated wealth	Nov 2, 2022	May 23, 2024	no	SOUTHLAKE, TX\|WILMINGTON, DE	Previous registration
CAPITAL MARKETS IQ, LLC	Independent wealth	Aug 12, 2022	Oct 12, 2022	no	Arlington, TX\|ARLINGTON, TX	Previous registration
CENTER STREET ADVISORS, INC.	Former SEC adviser	Apr 10, 2018	Sep 8, 2022	no	Arlington, TX\|Colleyville, TX\|NASHVILLE, TN\|SOUTHLAKE, TX	Previous registration
CENTER STREET ADVISORS, INC.	Former SEC adviser	Jun 10, 2016	Aug 1, 2017	no	Arlington, TX\|NASHVILLE, TN	Previous registration
TITAN SECURITIES	n/a	Aug 9, 2011	Jun 3, 2016	no	BEDFORD, TX\|PLANO, TX\|PLANO, TX\|ARLINGTON, TX\|ARLINGTON, TX	Previous registration
NFSG CORPORATION	Bd affiliated wealth	Jun 16, 2011	Aug 5, 2011	no	BEDFORD, TX\|BOCA RATON, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
REALTA INVESTMENT ADVISORS, INC	LEGACY WEALTH MANAGEMENT, LLC	May 23, 2024	May 23, 2024	0	Firm change	Ibd to RIA
CAPITAL MARKETS IQ, LLC	REALTA INVESTMENT ADVISORS, INC	Oct 12, 2022	Nov 2, 2022	21	Firm change	RIA to ibd
CENTER STREET ADVISORS, INC.	CAPITAL MARKETS IQ, LLC	Sep 8, 2022	Aug 12, 2022	-27	Firm change	RIA to RIA
TITAN SECURITIES	CENTER STREET ADVISORS, INC.	Jun 3, 2016	Jun 10, 2016	7	Firm change	Other
NFSG CORPORATION	TITAN SECURITIES	Aug 5, 2011	Aug 9, 2011	4	Firm change	Other

Relationships

Registered with (6)

→ LEGACY WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
May 23, 2024 to presentfactForm ADV
→ REALTA INVESTMENT ADVISORS, INCRegistered adviserregistration: previous registration
Nov 2, 2022 to May 23, 2024factForm ADV
→ CAPITAL MARKETS IQ, LLCRegistered adviserregistration: previous registration
Aug 12, 2022 to Oct 12, 2022factForm ADV
→ CENTER STREET ADVISORS, INC.Registered adviserregistration: previous registration
Apr 10, 2018 to Sep 8, 2022factForm ADV
→ TITAN SECURITIESRegistered adviserregistration: previous registration
Aug 9, 2011 to Jun 3, 2016factForm ADV
→ NFSG CORPORATIONRegistered adviserregistration: previous registration
Jun 16, 2011 to Aug 5, 2011factForm ADV

Dated events

Occurred
May 23, 2024
Advisor changed firm
Thomas Patrick Smith left Realta Investment Advisors, Inc for Legacy Wealth Management, Llc (registered 2024-05-23)
Form ADVobserved 6 days ago
Occurred
Oct 12, 2022
Advisor changed firm
Thomas Patrick Smith left Capital Markets Iq, Llc for Realta Investment Advisors, Inc (registered 2022-11-02)
Form ADVobserved 6 days ago
Occurred
Sep 8, 2022
Advisor changed firm
Thomas Patrick Smith left Center Street Advisors, Inc. for Capital Markets Iq, Llc (registered 2022-08-12)
Form ADVobserved 6 days ago