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.

Current firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Current firm class

broker-dealer affiliated wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Feb 13, 1992earliest registration or exam on IAPD

Years in industry

34derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

2

Exams

S65|S63

First exam

Feb 13, 1992

First registration

Feb 24, 2006

Dual registered

yes, broker-dealer

Other names

ERNIE SMITH

IAPD individual key

2205253

• Occurred

  Apr 6, 2026
  Advisor departed, no destination yet

  Ernest Liddell Smith no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:ede84f32-3e16-4d3b-d99c-1f9e50be0df0

First observed

Feb 24, 2006

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.