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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)23 years in industry

George Wallace Smith

Advisor at RIDGEGATE ADVISORS, LLC

ENGLEWOOD, CO

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Search this name across graphsid dfx:ria:cdeb5d80-37ef-1eee-eb82-63a5516f52c5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Sep 27, 2004 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: RIDGEGATE ADVISORS, 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: Jul 1, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Designations: Chartered Financial Consultant
Exams: S65|S63
First exam: Jun 9, 2004
First registration: Sep 27, 2004
Dual registered: yes, broker-dealer
Other names: GEORGE WALLACE SMITH|GEORGE WALLACE SMITH|GEORGE WALLACE SMITH|Wally Smith
IAPD individual key: 4844156

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
RIDGEGATE ADVISORS, LLC	Independent wealth	Jul 28, 2025	n/a	yes	ENGLEWOOD, CO	Current employment
AE WEALTH MANAGEMENT, LLC	Bd affiliated wealth	Feb 4, 2020	Dec 23, 2025	no	Greenwood Village, CO\|Englewood, CO\|Englewood, CO	Previous registration
RIDGEGATE FINANCIAL, LLC	n/a	Aug 1, 2009	Apr 21, 2022	no	GREENWOOD VILLAGE, CO	Previous registration
ARAX ADVISORY PARTNERS	Bd affiliated wealth	Mar 28, 2005	Mar 28, 2008	no	DENVER, CO\|NEW YORK, NY	Previous registration
SENIOR FINANCE & HEALTH, LLC	n/a	Sep 27, 2004	Feb 7, 2005	no	HIGHLANDS RANCH, CO	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
AE WEALTH MANAGEMENT, LLC	RIDGEGATE ADVISORS, LLC	Dec 23, 2025	Jul 28, 2025	-148	Firm change after gap	Ibd to new firm
RIDGEGATE FINANCIAL, LLC	AE WEALTH MANAGEMENT, LLC	Apr 21, 2022	Feb 4, 2020	-807	Firm change after gap	Other
ARAX ADVISORY PARTNERS	RIDGEGATE FINANCIAL, LLC	Mar 28, 2008	Aug 1, 2009	491	Firm change after gap	Other
SENIOR FINANCE & HEALTH, LLC	ARAX ADVISORY PARTNERS	Feb 7, 2005	Mar 28, 2005	49	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
282580:334233:CO:2025-12-23	Dec 23, 2025	Jul 28, 2025	ENGLEWOOD, CO	Firm change after gap

Relationships

Registered with (5)

→ RIDGEGATE ADVISORS, LLCRegistered adviserregistration: current employment
Jul 28, 2025 to presentfactForm ADV
→ AE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 4, 2020 to Dec 23, 2025factForm ADV
→ RIDGEGATE FINANCIAL, LLCRegistered adviserregistration: previous registration
Aug 1, 2009 to Apr 21, 2022factForm ADV
→ ARAX ADVISORY PARTNERSRegistered adviserregistration: previous registration
Mar 28, 2005 to Mar 28, 2008factForm ADV
→ SENIOR FINANCE & HEALTH, LLCRegistered adviserregistration: previous registration
Sep 27, 2004 to Feb 7, 2005factForm ADV

Dated events

Occurred
Dec 23, 2025
Advisor changed firm
George Wallace Smith left Ae Wealth Management, Llc for Ridgegate Advisors, Llc (registered 2025-07-28)
Form ADVobserved 6 days ago
Occurred
Apr 21, 2022
Advisor changed firm
George Wallace Smith left Ridgegate Financial, Llc for Ae Wealth Management, Llc (registered 2020-02-04)
Form ADVobserved 6 days ago