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RIA / WealthAdvisorCertified Financial Planner15 years in industry

James Alexander Smith

Advisor at MISSION WEALTH MANAGEMENT, LP

Washington, DC

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Search this name across graphsid dfx:ria:a0c34485-b4b6-143f-61e5-07a5d5cb95f4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 15, 2010 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: MISSION WEALTH MANAGEMENT, LP
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: Nov 11, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Nov 11, 2010
First registration: Nov 15, 2010
Dual registered: no
Other names: JAY SMITH
IAPD individual key: 5758883

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
MISSION WEALTH MANAGEMENT, LP	Independent wealth	Dec 18, 2025	n/a	yes	Washington, DC	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 9, 2020	Oct 29, 2025	no	ARLINGTON, VA\|ALEXANDRIA, VA\|ALEXANDRIA, VA\|ALEXANDRIA, VA	Previous registration
CAMPBELL WEALTH MANAGEMENT, INC.	Former SEC adviser	Mar 21, 2019	Feb 28, 2020	no	ALEXANDRIA, VA	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Jul 9, 2015	Sep 10, 2015	no	EASTON, MD	Previous registration
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	Apr 20, 2015	May 19, 2015	no	RESTON, VA	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Nov 15, 2010	May 15, 2015	no	CHEVY CHASE, MD\|Vienna, VA	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
LPL FINANCIAL LLC	MISSION WEALTH MANAGEMENT, LP	Oct 29, 2025	Dec 18, 2025	50	Firm change	Ibd to RIA
CAMPBELL WEALTH MANAGEMENT, INC.	LPL FINANCIAL LLC	Feb 28, 2020	Apr 9, 2020	41	Firm change	RIA to ibd
RBC CAPITAL MARKETS, LLC	CAMPBELL WEALTH MANAGEMENT, INC.	Sep 10, 2015	Mar 21, 2019	1,288	Firm change after gap	Ibd to RIA
ROBERT W. BAIRD & CO. INCORPORATED	RBC CAPITAL MARKETS, LLC	May 19, 2015	Jul 9, 2015	51	Firm change	Other
RBC CAPITAL MARKETS, LLC	ROBERT W. BAIRD & CO. INCORPORATED	May 15, 2015	Apr 20, 2015	-25	Firm change	Other

Relationships

Registered with (5)

→ MISSION WEALTH MANAGEMENT, LPRegistered adviserregistration: current employment
Dec 18, 2025 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Apr 9, 2020 to Oct 29, 2025factForm ADV
→ CAMPBELL WEALTH MANAGEMENT, INC.Registered adviserregistration: previous registration
Mar 21, 2019 to Feb 28, 2020factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Jul 9, 2015 to Sep 10, 2015factForm ADV
→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: previous registration
Apr 20, 2015 to May 19, 2015factForm ADV

Dated events

Occurred
Oct 29, 2025
Advisor changed firm
James Alexander Smith left Lpl Financial Llc for Mission Wealth Management, Lp (registered 2025-12-18)
Form ADVobserved 6 days ago