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RIA / WealthAdvisor19 years in industry

JAMES HENRY SMITH

Advisor at TRILLIUM WEALTH LLC

Monroe, LA | WINTER PARK, FL

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Search this name across graphsid dfx:ria:b85e94fa-92a1-7fdd-a148-9728a2f628e2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jun 7, 2007 to Sep 15, 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: TRILLIUM WEALTH 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: Jun 7, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jul 19, 2007
First registration: Jun 7, 2007
Dual registered: no
Other names: JAIME SMITH|JAMES SMITH|JAMES HENRY SMITH|JAMES HENRY SMITH
IAPD individual key: 3120584

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
TRILLIUM WEALTH LLC	Independent wealth	May 8, 2026	n/a	yes	Monroe, LA\|WINTER PARK, FL	Current employment
CWM, LLC	Bd affiliated wealth	May 24, 2023	May 1, 2026	no	Monroe, LA\|OMAHA, NE	Previous registration
NEWEDGE ADVISORS	Bd affiliated wealth	Jun 15, 2016	May 23, 2023	no	Monroe, LA\|NEW ORLEANS, LA	Previous registration
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Feb 13, 2013	Jun 24, 2016	no	MONROE, LA	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Jun 7, 2007	Feb 13, 2013	no	RUSTON, LA\|MONROE, LA	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
CWM, LLC	TRILLIUM WEALTH LLC	May 1, 2026	May 8, 2026	7	Firm change	Ibd to new firm
NEWEDGE ADVISORS	CWM, LLC	May 23, 2023	May 24, 2023	1	Firm change	Ibd to ibd
RAYMOND JAMES & ASSOCIATES, INC.	NEWEDGE ADVISORS	Jun 24, 2016	Jun 15, 2016	-9	Firm change	Other
MORGAN KEEGAN & COMPANY, LLC	RAYMOND JAMES & ASSOCIATES, INC.	Feb 13, 2013	Feb 13, 2013	0	Bulk transfer	Other

Team moves

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

Team	Left	Joined	From	Kind
705:171351:LA:2016-06-24	Jun 24, 2016	Jun 15, 2016	MONROE, LA	Firm change

Relationships

Registered with (5)

→ TRILLIUM WEALTH LLCRegistered adviserregistration: current employment
May 8, 2026 to presentfactForm ADV
→ CWM, LLCRegistered adviserregistration: previous registration
May 24, 2023 to May 1, 2026factForm ADV
→ NEWEDGE ADVISORSRegistered adviserregistration: previous registration
Jun 15, 2016 to May 23, 2023factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Feb 13, 2013 to Jun 24, 2016factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Jun 7, 2007 to Feb 13, 2013factForm ADV

Dated events

Occurred
May 1, 2026
Advisor changed firm
James Henry Smith left Cwm, Llc for Trillium Wealth Llc (registered 2026-05-08)
Form ADVobserved 5 days ago
Occurred
May 23, 2023
Advisor changed firm
James Henry Smith left Newedge Advisors for Cwm, Llc (registered 2023-05-24)
Form ADVobserved 5 days ago