DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Planner12 years in industry

Anthony Smith

Advisor at SECURE INVESTMENT MANAGEMENT, LLC

TUCSON, AZ | Oakland, CA

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:8f27ce71-cbd8-95e4-cec6-50573e3865ab

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Aug 6, 2019 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: SECURE INVESTMENT 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: Aug 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65
First exam: Aug 5, 2019
First registration: Aug 6, 2019
Dual registered: no
Other names: Anthony J Smith
IAPD individual key: 6983931

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
SECURE INVESTMENT MANAGEMENT, LLC	Independent wealth	Nov 17, 2025	n/a	yes	Oakland, CA\|TUCSON, AZ	Current employment
BROOKER WEALTH MANAGEMENT	Independent wealth	Aug 15, 2025	Sep 19, 2025	no	OAKLAND, CA	Previous registration
LION STREET ADVISORS, LLC	Former SEC adviser	Aug 13, 2025	Sep 18, 2025	no	San Ramon, CA\|AUSTIN, TX	Previous registration
LODESTAR PRIVATE ASSET MANAGEMENT LLC	Independent wealth	Jun 24, 2020	Dec 2, 2024	no	ALAMO, CA	Previous registration
JW HARRISON FINANCIAL, INC.	Former SEC adviser	Aug 6, 2019	Jun 19, 2020	no	WALNUT CREEK, CA	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
BROOKER WEALTH MANAGEMENT	SECURE INVESTMENT MANAGEMENT, LLC	Sep 19, 2025	Nov 17, 2025	59	Firm change	RIA to RIA
LION STREET ADVISORS, LLC	BROOKER WEALTH MANAGEMENT	Sep 18, 2025	Aug 15, 2025	-34	Firm change after gap	Ibd to RIA
LODESTAR PRIVATE ASSET MANAGEMENT LLC	LION STREET ADVISORS, LLC	Dec 2, 2024	Aug 13, 2025	254	Firm change	RIA to ibd
JW HARRISON FINANCIAL, INC.	LODESTAR PRIVATE ASSET MANAGEMENT LLC	Jun 19, 2020	Jun 24, 2020	5	Firm change	RIA to RIA

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
156845:107638:CA:2020-06-19	Jun 19, 2020	Jun 24, 2020	WALNUT CREEK, CA	Firm change

Relationships

Registered with (5)

→ SECURE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: current employment
Nov 17, 2025 to presentfactForm ADV
→ BROOKER WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Aug 15, 2025 to Sep 19, 2025factForm ADV
→ LION STREET ADVISORS, LLCRegistered adviserregistration: previous registration
Aug 13, 2025 to Sep 18, 2025factForm ADV
→ LODESTAR PRIVATE ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Jun 24, 2020 to Dec 2, 2024factForm ADV
→ JW HARRISON FINANCIAL, INC.Registered adviserregistration: previous registration
Aug 6, 2019 to Jun 19, 2020factForm ADV

Dated events

Occurred
Sep 19, 2025
Advisor changed firm
Anthony Smith left Brooker Wealth Management for Secure Investment Management, Llc (registered 2025-11-17)
Form ADVobserved 6 days ago
Occurred
Sep 18, 2025
Advisor changed firm
Anthony Smith left Lion Street Advisors, Llc for Brooker Wealth Management (registered 2025-08-15)
Form ADVobserved 6 days ago
Occurred
Dec 2, 2024
Advisor changed firm
Anthony Smith left Lodestar Private Asset Management Llc for Lion Street Advisors, Llc (registered 2025-08-13)
Form ADVobserved 6 days ago