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.

Current firm

SMITH MOORE & CO.

Current firm class

broker-dealer affiliated wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

May 1, 2014earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

8derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S66

First exam

Sep 26, 2017

First registration

Sep 27, 2017

Dual registered

yes, broker-dealer

Other names

IAN ROTHBARTH

IAPD individual key

6830585

Graph

RIA / Wealth Management

Canonical id

dfx:ria:48fc3510-da44-c066-e29a-7752109943b6

First observed

Sep 27, 2017

Last observed

Sep 14, 2026 5 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.