DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Duane Ariel Smith
Feed of 09/14/2026
Also filed as Duane Ariel Smith
At current firm
3 y
since Jan 3, 2023
In the industry
31 y
since May 24, 1995 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Momentum Independent Network Inc. BD affiliated currentsince Jan 3, 2023 · Englewood, Co
- Ntb Advisors, A Division Of Ntb Financial Corporation formerMar 24, 2014 to Dec 31, 2022 · Highlands Ranch, Co
- Stifel, Nicolaus & Company, Incorporated national BDAug 29, 2008 to Mar 24, 2014 · Greenwood Village, Co
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJan 1, 1999 to Sep 5, 2008 · Englewood, Co
Moves
a registration end followed by a registration begin elsewhere
- Ntb Advisors, A Division Of Ntb Financial Corporation to Momentum Independent Network Inc.left Dec 31, 2022, registered Jan 3, 2023 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
- Stifel, Nicolaus & Company, Incorporated to Ntb Advisors, A Division Of Ntb Financial Corporationleft Mar 24, 2014, registered Mar 24, 2014 (0 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Stifel, Nicolaus & Company, Incorporatedleft Sep 5, 2008, registered Aug 29, 2008 (-7 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- Duane Ariel Smith left Ntb Advisors, A Division Of Ntb Financial Corporation for Momentum Independent Network Inc. (registered 2023-01-03)Dec 31, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address