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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

Nathan Frederick Smith

Advisor at SCHWAB WEALTH ADVISORY, INC.

Westlake, TX | SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:a2198da3-17a4-f173-c24e-bf22b0dbf081

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 5, 2008 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: SCHWAB WEALTH ADVISORY, INC.
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 19, 2005
First registration: Feb 5, 2008
Dual registered: yes, broker-dealer
Other names: NATHAN F SMITH|NATHAN FREDERICK SMITH|Nathan Smith|Nathan Frererick Smith
IAPD individual key: 4905366

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
SCHWAB WEALTH ADVISORY, INC.	No RAUM reported	Sep 26, 2025	n/a	yes	Westlake, TX\|SAN FRANCISCO, CA	Current employment
CHARLES SCHWAB & CO., INC.	National bd RIA	Jan 26, 2022	Apr 5, 2025	no	Southlake, TX\|Westlake, TX	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 5, 2008	Sep 7, 2023	no	FORT WORTH, TX\|SOuthlake, TX\|Westlake, TX	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 5, 2008	Oct 14, 2022	no	WestLake, TX\|FORT WORTH, TX\|FORT WORTH, TX	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
CHARLES SCHWAB & CO., INC.	SCHWAB WEALTH ADVISORY, INC.	Apr 5, 2025	Sep 26, 2025	174	Channel change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	Sep 7, 2023	Jan 26, 2022	-589	Bulk transfer	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Feb 5, 2008	-5,365	Bulk transfer	Other

Relationships

Registered with (4)

→ SCHWAB WEALTH ADVISORY, INC.Registered adviserregistration: current employment
Sep 26, 2025 to presentfactForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jan 26, 2022 to Apr 5, 2025factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 5, 2008 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 5, 2008 to Oct 14, 2022factForm ADV

Dated events

No dated event names this entity yet.