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

Keith Smith

RBC Rochdale, LLCBD affiliatedNew York, Ny dual registrantIAPD 1147300

Feed of 09/14/2026

At current firm

2 y

since Feb 7, 2024

In the industry

26 y

since Feb 10, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

RBC Rochdale, LLC BD affiliated current
since Feb 7, 2024 · New York, Ny
Citigroup Global Markets Inc. BD affiliated
Jan 20, 2022 to Jan 4, 2024 · New York, Ny
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Sep 8, 2015 to Jan 25, 2022 · New York, Ny
Northwestern Mutual Investment Services,LLC no RAUM
Sep 22, 2014 to Sep 10, 2015 · Staten Island, Ny
Smith Portfolio Review Service, L.L.C. unclassified
Jul 7, 2009 to Oct 20, 2009 · East Windsor, Nj
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Feb 10, 2000 to Mar 30, 2009 · Pennington, Nj

Moves

a registration end followed by a registration begin elsewhere

Citigroup Global Markets Inc. to RBC Rochdale, LLC
left Jan 4, 2024, registered Feb 7, 2024 (34 days) · Affiliated broker-dealer or bank to another
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Citigroup Global Markets Inc.
left Jan 25, 2022, registered Jan 20, 2022 (-5 days) · Wirehouse to affiliated broker-dealer or bank
Northwestern Mutual Investment Services,LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Sep 10, 2015, registered Sep 8, 2015 (-2 days) · Other
Smith Portfolio Review Service, L.L.C. to Northwestern Mutual Investment Services,LLC
left Oct 20, 2009, registered Sep 22, 2014 (1798 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Smith Portfolio Review Service, L.L.C.
left Mar 30, 2009, registered Jul 7, 2009 (99 days) · Other

Signals

Keith Smith left Citigroup Global Markets Inc. for Rbc Rochdale, Llc (registered 2024-02-07)
Jan 4, 2024 · Advisor changed firm · fact
Keith Smith left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Citigroup Global Markets Inc. (registered 2022-01-20)
Jan 25, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address